PERFORMANCE OBJECTIVES AND CRITERIA

Transcription

1 Performance Objectives and Criteria December 2012 PERFORMANCE OBJECTIVES AND CRITERIA Rev. 0 GENERAL DISTRIBUTION

2 GENERAL DISTRIBUTION: Copyright 2012 by the Institute of Nuclear Power Operations. Not for sale or for commercial use. This document may be used or reproduced by INPO members and participants. Not for public distribution, delivery to, or reproduction by any third party without the prior agreement of INPO. All other rights reserved. NOTICE: This information was prepared in connection with work sponsored by the Institute of Nuclear Power Operations (INPO). Neither INPO, INPO members, INPO participants, nor any person acting on the behalf of them (a) makes any warranty or representation, expressed or implied, with respect to the accuracy, completeness, or usefulness of the information contained in this document, or that the use of any information, apparatus, method, or process disclosed in this document may not infringe on privately owned rights, or (b) assumes any liabilities with respect to the use of, or for damages resulting from the use of any information, apparatus, method, or process disclosed in this document

3 FOREWORD The performance objectives in this document are standards for plant and corporate performance intended to promote excellence in the operation, maintenance, support, and governance of commercial nuclear power plants. This document was developed with significant international input, primarily through the World Association of Nuclear Operators, and as a result represents the global standard for nuclear excellence. This edition will become effective on July 1, 2013 and will supersede INPO , Performance Objectives and Criteria, dated May 2005, at that time. The performance objectives typically describe the expected results of effective programs and activities. Supporting criteria provide breadth and depth to each objective. Member utilities strive to achieve the performance objectives, rather than focusing on the supporting criteria. Guidelines, principles documents, and other documents are available to assist member utilities in achieving these performance objectives. Utilities do not need to meet each specific criterion in an objective to achieve excellence in an area. Members are expected to meet the intent of the guidelines that support the performance objectives and criteria. The performance objectives support achievement of a set of outcomes that reflect excellence in important aspects of nuclear plant operations. These outcomes include sustained high levels of plant performance; sustained event-free operations; avoidance of unplanned, long-duration shutdowns; well-managed and understood safety, design, and operating margins; high levels of plant worker safety; a highly skilled, knowledgeable, and collaborative workforce; and readiness to respond effectively in an emergency situation. The performance objectives also reflect the need for all organizations to have a strong nuclear safety culture such that each individual accepts the unique responsibility inherent with using nuclear technology. The performance objectives are grouped into four sections: Foundations, Functional Areas, Cross-Functional Areas, and Corporate Areas. The Foundations are objectives that should be reflected in the behaviors of all nuclear workers, regardless of their positions in the organization, and emulated every day. The Foundations objectives address attributes of a nuclear professional, describe leadership behaviors, and are applicable to every worker. The Functional Areas address operations, maintenance, chemistry, engineering, radiological protection, and training areas that generally correspond to nuclear station organizational functions. Cross-Functional performance objectives focus on processes and behaviors that cross organizational boundaries and that address organizational integration and interfaces. All applicable foundational, functional, and cross-functional objectives should be considered when using this document to conduct self-assessments of specific functions and activities. The Corporate objectives are comprised of basic corporate functions, including leadership, governance, oversight, and support with emphasis on human resources and communications. The objectives are written to encompass single-site corporate organizations as well as large nuclear fleet organizations. Recognizing that the nuclear industry has taken diverse approaches to corporate functions, the performance objectives are written to describe excellence with the flexibility to consider a utility s chosen organizational operating structure. As such, several specific criteria in each performance objective describe activities and organizational structures, i

4 such as peer groups and functional area managers, that are not directly applicable to single-site corporate organizations, yet the underlying concept is applicable to all. Engaged, Thinking Organizations A review in 2010 of a number of significant operational events revealed weaknesses in important barriers to sustained high levels of nuclear safety. The underlying causes of these events involved all levels of the organization and included inadequate assessment of risk, weaknesses in the application of significant operating experience, tolerance of low-level equipment or personnel problems, and a slow and incremental drift in standards. Organizational and leadership shortfalls allowed these weaknesses to go unrecognized or uncorrected. The lessons learned from these events are included throughout the performance objectives. As with other aspects of this document, some objectives and criteria are closely interrelated, and integrated implementation is essential in achieving excellence. For example, risk management includes the integrated set of behaviors and processes used to identify, reduce, and manage the inherent risks associated with the operation of commercial nuclear plants. Integrated risk management encompasses nuclear, radiological, personal, environmental, and business risks; these elements must be implemented in concert to achieve desired and lasting results. Nuclear Accident at the Fukushima Daiichi Nuclear Station The nuclear accident at the Fukushima Daiichi nuclear station reinforced that nuclear excellence is a combination of operational excellence and emergency response excellence. Lessons learned from the 2011 accident at Fukushima Daiichi, as they are known, are included in this revision. The cultural contributors to the accident are included in the Organizational Effectiveness objectives. Specific lessons with direct application to emergency preparedness and response were included in the associated performance objectives. For greater clarity, the previous emergency preparedness area was expanded into three emergency preparedness performance objectives: Emergency Planning Leadership, Emergency Preparedness, and Emergency Response. Other lessons learned have more specific applicability and have been incorporated into relevant functional and cross-functional areas of the performance objectives and criteria. Fundamentals Another prominent theme from a number of recent events was shortfalls in fundamentals. At the core of many events were individuals who did not fully understand or anticipate the effects of their actions. Follow-on work in these areas determined that efforts are needed to ensure that nuclear professionals exhibit the essential knowledge, skills, behaviors, and practices needed to conduct their work safely and reliably. Strong fundamentals are needed to improve overall industry performance. Such fundamentals ensure workers understand the potential impacts of their actions, result in better contingency planning for when an evolution does not go as expected, and provide the industry with margin when station guidance such as procedures, work instructions, and troubleshooting plans do not cover the conditions encountered. The Functional Areas fundamentals for operations, maintenance, engineering, chemistry, radiation protection, and training are focused on those aspects that are unique to each specific area. Beyond the Functional Areas, there are aspects of fundamentals that are expected of all workers at the ii

5 nuclear plant. These were developed and refined to criteria that establish expectations for the nuclear professional and are in the Foundations section. Nuclear Safety Culture This revision incorporates the nuclear safety culture common language that was developed through a collaborative effort by the U.S. and international nuclear operating communities, representatives from the U.S. Nuclear Regulatory Commission, the public, and the staff of the Institute of Nuclear Power Operations. Operating Experience In addition to consideration of recent significant events, a systematic review was performed and significant operating experience lessons learned were incorporated in appropriate Functional Areas as part of this revision. Leaders should understand and appreciate the significant operating experience lessons and be aware of the associated events that provide the lessons. In addition, important operating experience from significant events should be used to shape the organizational culture. Definitions The performance objectives included in this document are standards for plant and corporate performance intended to promote excellence in the operation, maintenance, support, and governance of operating nuclear electric generating stations. Each plant and corporate organization may have its own unique structure. The following definitions are provided to explain how these terms are used in the performance objectives and are not a mandate of any particular organizational structure. LEADER an individual who inspires, coaches, and influences people to accomplish organizational goals while adhering to core values A leader intervenes, when appropriate, to shape behaviors, attitudes, and perceptions and motivates others to pursue actions, focus thinking, shape decisions, actively support change, and strive for excellence. MANAGEMENT SYSTEMS the programs and processes including but not limited to work management, corrective action, succession planning, system health, and observations programs that support achievement of the organization s mission, vision, and goals MANAGER an individual assigned to a managerial or supervisory position Managers control, direct, plan, organize, coordinate, and staff the organization to achieve safe, reliable station operations, event-free outage performance, successful project execution, and effective emergency response. They monitor performance and adjust programs and processes as necessary to achieve excellence. NUCLEAR PROFESSIONAL all personnel who perform work at or support the safe operation of the nuclear station This includes supplemental personnel who perform work at the station. iii

6 SENIOR LEADERS/SENIOR MANAGERS Senior leaders and senior managers can be one and the same team but have different functions, as defined below. SENIOR LEADERS personnel comprising the senior site executive(s), plant manager, and their direct reports who act in a leadership role to inspire, coach, and influence people to accomplish organizational goals and pursue excellence Senior leaders work to establish the vision, values, strategies, and culture that support safe, reliable station operations, event-free outages, and effective emergency response. They establish and reinforce standards of excellence based on industry top performance and intervene at early signs of performance decline. SENIOR MANAGERS personnel comprising the senior site executive(s), plant manager, and their direct reports who are responsible for the execution of business activities These activities include but are not limited to setting priorities, planning, organizing, directing, resourcing, training, monitoring performance, and adjusting processes to achieve excellence. This edition will become effective on July 1, 2013 and will supersede INPO , Performance Objectives and Criteria, dated May 2005, at that time. iv

7 TABLE OF CONTENTS Section Page FOREWORD... i SECTION I FOUNDATIONS...1 Foundations...2 Nuclear Professionals...3 Leadership...5 SECTION II FUNCTIONAL AREAS...9 Operations...10 Operations Fundamentals...11 Conduct of Operations...14 Maintenance...17 Maintenance Fundamentals...18 Conduct of Maintenance...21 Chemistry...24 Chemistry Fundamentals...25 Chemistry Controls...27 Effluent Controls...28 Engineering...29 Engineering Fundamentals...30 Technical Authority...33 Radiological Protection...34 Radiological Protection Fundamentals...35 Radiation Dose Control...38 Radioactive Contamination Control...40 Radioactive Material Control...42 Training...43 Training...44 SECTION III CROSS-FUNCTIONAL AREAS...47 Operational Focus...48 Operational Priorities...49 Operational Risk...50 v

8 Response to Emergent Operational Challenges...52 Work Management...53 On-Line and Outage Work Management...54 Fueling Activities...58 Project Management...60 Equipment Reliability...62 Equipment Performance...63 Equipment Failure Prevention...64 Long-Term Equipment Reliability...66 Materials Reliability...68 Configuration Management...70 Design and Operating Margin Management...71 Operational Configuration Control...72 Design Change Processes...74 Nuclear Fuel Management...76 Radiological Safety...80 Radiological Safety...81 Performance Improvement...83 Performance Monitoring...84 Solutions Analysis, Identification, and Planning...86 Solutions Implementation...87 Operating Experience...88 Operating Experience...89 Organizational Effectiveness...91 Nuclear Safety Culture...92 Nuclear Organization Structure and Traits...93 Manager Fundamentals...95 Management Systems...98 Leader and Manager Development Independent Oversight Human Performance Industrial Safety vi

9 Fire Protection Fire Protection Emergency Preparedness Emergency Preparedness Leadership Emergency Preparedness Emergency Response SECTION IV CORPORATE Corporate Areas Corporate Leadership Corporate Governance Corporate Oversight and Monitoring Corporate Independent Oversight Corporate Support and Performance Corporate Human Resources Corporate Communications vii

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11 Section I - Foundations SECTION I FOUNDATIONS 1

12 Foundations FOUNDATIONS NP.1 LF.1 Nuclear Professionals Leadership 2

13 Nuclear Professionals PERFORMANCE OBJECTIVE (NP.1) NUCLEAR PROFESSIONALS Nuclear professionals apply the essential knowledge, skills, behaviors, and practices needed to conduct their work safely and reliably. CRITERIA 1. Nuclear professionals understand the risk associated with assigned jobs and apply the appropriate measures to manage risk. They first and foremost implement their work in a way that protects the operation of the reactor core and the barriers to the release of radioactivity. They also manage the potential operational, radiological, industrial, and environmental risks associated with their work. 2. Nuclear professionals understand and anticipate the effects of their actions and are aware of their surroundings to include potential hazards and sensitive equipment. 3. Nuclear professionals question assumptions, identify anomalies, and stop and place their work in a safe condition when they experience or see conditions different than those expected. 4. Nuclear professionals have high ownership for the preparation and safe execution of assigned work activities. They consider the most likely undesired consequence of their activities and validate contingency actions. They actively participate in briefings and are focused and engaged in the tasks they execute. 5. Nuclear professionals understand and apply error prevention techniques. They understand management expectations and the bases for applying each technique to avoid plant events. 6. Nuclear professionals understand and apply standards for procedure use and adherence. They use procedures or other approved written guidance to manipulate plant equipment under the conditions for which the procedures were developed. If procedures cannot be followed as written, nuclear professionals stop and correct the procedures. 7. Nuclear professionals understand what is expected of them regarding radiological protection; they perform work in accordance with station radiological work instructions and postings and practice ALARA. Nuclear professionals correctly respond to dosimeter, contamination, and radiation alarms. 8. Nuclear professionals understand what is expected of them regarding industrial safety; they perform work in accordance with established safety standards and expectations. They select the appropriate safety equipment for each task and use personal protective and safety equipment correctly. Nuclear professionals view their own and co-workers safety as a personal responsibility. 3

14 Nuclear Professionals 9. Nuclear professionals maintain high personal responsibility for their performance. They are receptive to feedback and strive to continuously learn to perform their jobs better. Nuclear professionals coach and provide feedback to each other. 10. Nuclear professionals attend and actively participate in training. They perform tasks for which they are qualified. 11. Nuclear professionals learn from operating experience and use this knowledge to improve performance. 12. Nuclear professionals have a low threshold for reporting problems, and they recommend improvements. Nuclear professionals promptly engage their supervisors and others with questions and concerns. They do not tolerate long-standing issues, and they pursue solutions continuously. 13. Nuclear professionals understand their assigned emergency preparedness responsibilities, including assembly and evacuation, and are well prepared to perform their emergency response organization duties. 14. Nuclear professionals practice good housekeeping and control of work areas to minimize the potential for injuries and the spread of contamination. This includes minimizing the generation of radioactive waste. 4

15 Leadership PERFORMANCE OBJECTIVE (LF.1) LEADERSHIP Leaders, by commitment and example, inspire, motivate, and align the organization to achieve safe and reliable station operations, event-free outages, and effective emergency response. They establish and reinforce standards of excellence based on industry top performance to continually strive for improvement and intervene to correct performance at early signs of decline. CRITERIA Vision and Values 1. Leaders establish the vision, direction, and strategies to achieve excellence. 2. Leaders regularly communicate, model, and reinforce the vision, values, standards, expectations, and strategies to align the organization to achieve excellence. 3. Leaders communicate the bases for decisions frequently so that employees understand why the decisions were made, including the linkage to core values, vision, and nuclear safety. 4. Leaders understand and reinforce the importance of technical considerations in decisionmaking to preserve the plant design, safety margins, and licensing bases. 5. Leaders challenge the thoroughness of the analyses and rationale used as the bases for the decisions and recommendations to ensure the potential consequences of decisions, especially those that affect nuclear safety, are clearly defined, understood, and communicated. 6. Leaders demonstrate a firm and unwavering commitment to nuclear, radiological, industrial, and environmental safety, event-free outages, and effective emergency response. 7. Leaders maintain focus on safe and reliable plant operations during periods of significant change or other potential distractions. 8. Leaders ensure training standards are maintained, particularly during significant station challenges and distractions. 9. Leaders demonstrate their commitment to organizational learning and professional growth. 10. Leaders are agents of change, and they influence, inspire, motivate, and energize the workforce to achieve excellence and organizational goals. 11. Leaders demonstrate high levels of integrity, sound judgment, and a capacity to think tactically and strategically. 5

16 Leadership Teamwork 12. Leaders encourage and support teamwork in their organization by creating and fostering an open and collaborative work environment to achieve the organization s vision. 13. Leaders support one another and the efforts of others by demonstrating shared ownership for station performance, including improving human and technical aspects of the entire organization, not just their areas of specific functional responsibility. 14. Leaders reinforce the importance of individuals executing their assigned team roles and challenge team members who do not meet the intent or who step out of their assigned roles. 15. Leaders demonstrate a low threshold for identifying problems, and they work collaboratively to resolve those problems. 16. Leaders foster mutual trust and respect through active engagement of station and supplemental personnel in project planning and implementation as well as issue resolution. 17. Leaders develop healthy relationships with the leaders of industry organizations and provide support to industry initiatives, programs, processes, and activities. 18. Leaders establish a culture in which personnel work together to communicate and promptly address any equipment issues and degraded conditions that could detract from nuclear safety and equipment reliability. Accountability 19. Leaders provide prompt, positive reinforcement for station and supplemental employee adherence to defined standards and expectations. They address performance shortfalls in a timely manner. 20. Leaders model and reinforce healthy accountability at the individual and organizational levels. 21. Leaders evaluate and take prompt action to correct organizational and cultural contributors to inappropriate behaviors. 22. Leaders demonstrate ownership for organizational decisions and align the workforce to ensure successful outcomes of decisions. 23. Leaders instill in the workforce behaviors that drive the mind-set and capabilities to be accountable for demonstrating core values, helping others, owning issues, solving problems, and implementing solutions to achieve desired results in support of the station vision and plan. 6

17 Leadership Employee Engagement 24. Leaders coach, motivate, and engage the workforce to strive for excellence. 25. Leaders have a visible presence in the field and foster an environment that promotes effective feedback and continual improvement in worker performance. 26. Leaders frequently reinforce that coaching, providing feedback, and correcting performance and behavior shortfalls are expectations for all employees regardless of their positions, duties, and responsibilities. 27. Leaders communicate changes in priorities effectively and follow through on change and improvement initiatives to resolve conflicts and to clarify expectations. 7

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19 Section II - Functional Areas SECTION II FUNCTIONAL AREAS 9

20 Operations OPERATIONS OP.1 OP.2 Operations Fundamentals Conduct of Operations 10

21 Operations Fundamentals PERFORMANCE OBJECTIVE (OP.1) OPERATIONS FUNDAMENTALS Operations personnel apply the essential knowledge, skills, behaviors, and practices needed to operate the plant safely and reliably. CRITERIA Monitor Closely 1. Operators monitor plant parameters at a frequency based on importance and plant conditions, and they communicate to other crewmembers when needed by describing the parameter its value, trend, and action needed or taken. 2. Operators increase the frequency of monitoring key parameters during transients. 3. Operators identify adverse parameter and equipment trends. 4. Operators validate the accuracy and proper function of indications through multiple independent means, if available, avoiding undue focus on any single indicator. 5. Operators validate expected system response to equipment operation and status changes. 6. Operators investigate to understand unexpected trends and alarms, take action to restore systems and parameters to normal, and request assistance when needed. 7. Operators establish increased monitoring, as appropriate, for any disabled alarm function. 8. Field operators perform detailed rounds and take prompt actions to address abnormal conditions. Important information from monitoring field equipment and parameters is reported promptly to control room operators. Control Precisely 9. Operators establish limits for controlling parameters within the specified bands and at specified rates. Supervisors clearly communicate action points to all crewmembers. 10. Operators anticipate automatic trips and equipment protective features, preemptively taking manual actions or ensuring expected automatic actions occur, where appropriate. 11. Operators verify and report automatic system actuations or responses, including operator actions if the plant has not responded as expected. 12. Operators verify that indications and initial plant conditions are appropriate for the procedure before implementing a procedure section or step. 11

22 Operations Fundamentals 13. Operators know the objective of the procedure and the basis for procedure steps prior to manipulation. They operate the plant in accordance with approved, up-to-date operating procedures and information. 14. Operators identify steps that could result in undesirable consequences if not performed correctly. They ensure appropriate contingencies are established. 15. Operators use appropriate equipment labels and lineups for equipment manipulations and verifications. Conservative Bias 16. Operators ensure the equipment needed to support effective plant operation is available and is operating properly, including that backup indications are available, controllers are tuned and in automatic, and redundant equipment is operational. 17. Operators manage scheduled activities and emergent work to avoid simultaneous evolutions that have the potential to overload control room personnel and hamper plant monitoring. 18. Operators understand plant conditions and know the appropriate action to take when plant or component control cannot be maintained, including stopping the evolution and involving supervision. 19. Operators question conditions and situations that are out of the ordinary, that are unexpected, or that could erode margins to operating the plant conservatively. They resolve these issues before continuing. 20. Operators set conservative bands for critical parameters to ensure that operating margins to undesirable states are maintained. 21. Operators control operating bands and rates to create and maintain sufficient operating margins. 22. Operators establish contingency plans, commensurate with the associated risk, to mitigate potential adverse consequences during plant evolutions. Effective Teamwork 23. Operating crewmembers ask questions to obtain necessary information. 24. Operating crewmembers question when an action is being taken that appears inappropriate or when the expected action for a given condition is not being taken. 25. Operating crewmembers resolve conflicts to achieve the best solutions and to improve team effectiveness. 12

23 Operations Fundamentals 26. Operating crewmembers are critical of team performance so that they can identify performance improvements. 27. Operators provide thorough and accurate turnovers when relieved during or at the completion of a duty shift. 28. Operators fulfill their assigned roles and do not assume another team role without a proper turnover. During transients, those roles include the following: Lead operating crews to diagnose plant conditions and implement abnormal and emergency procedures effectively. Maintain oversight of the plant and crew to ensure crew actions are performed correctly and in accordance with procedures. Provide an independent assessment of operator actions and plant responses to ensure safety functions are maintained and mitigation strategies are implemented effectively. Promptly communicate important information about plant conditions and actions taken, as well as clearly presenting positions to the team. Understand Sciences, Engineering Principles, and Plant Design 29. Before operating a component, operators confirm an understanding of its function and interactions with other components. 30. Operators understand the risk associated with plant configuration, including the collective risk of having multiple, diverse components out of service or in off-normal conditions. 31. Operators establish a culture of intellectual curiosity a learning environment among crewmembers that encourages questioning, challenging, and knowledge reviews. 32. Operators ask for simulator scenarios that challenge fundamental knowledge of sciences, engineering principles, and plant design. 33. Licensed operators have a strong understanding of the basic core fundamental principles of reactor theory, electrical theory, and thermodynamics. Operators apply this knowledge to anticipate expected responses as they operate the plant. 34. Operators regularly evaluate crewmember knowledge of sciences, engineering principles, and plant design. 35. Operators discuss expected system and parameter changes and their bases during prejob briefings. 13

24 Conduct of Operations PERFORMANCE OBJECTIVE (OP.2) CONDUCT OF OPERATIONS Operations programs, processes, and activities are implemented in a manner that promotes sustained high levels of safe and reliable operation. CRITERIA Operations Management and Leadership 1. Operations managers verify, through active monitoring, that on-duty shift managers provide requisite oversight of operational activities and control room crew performance. Managers also ensure shift managers are appropriately integrated into the management team. 2. Operations managers ensure that operator fundamentals are clearly defined, taught, and reinforced in training and are actively monitored during operations. This includes reviews after significant plant transients and scrams to identify potential weaknesses in behaviors, knowledge, and practices. 3. Operations managers verify, through active monitoring, that the senior licensed supervisors in the control room remain in a supervisory role by directing plant operations and the control room crew. 4. Operations managers establish and maintain training and programs that support control room teamwork. Training and program aspects should include the importance of staying in role, challenging other team members who do not meet the intent of their roles or step out of their roles, and working together to control and monitor the plant effectively. 5. Operations leaders establish clear roles, responsibilities, and procedure guidance for the interface between reactor engineers and the operations organization with respect to reactivity management. 6. Supervisors understand operations must-know significant operating experience and the importance of using significant operating experience and job-related operating experience to prevent events. Control Room Activities 7. Control room activities are conducted in a businesslike and formal manner, reflecting the highest standards of professionalism. Control room access is limited to authorized personnel, and additional restrictions are imposed on personnel entering the controls area. 8. Plant activities, including emergent work, are scheduled and coordinated to avoid simultaneous evolutions that have the potential to overload control room personnel and hamper plant monitoring. 14

25 Conduct of Operations 9. Activities that change reactivity are performed in a deliberate and controlled manner. Detailed procedures are followed, human error prevention techniques are used, and increased supervisor oversight is provided to minimize the probability and consequences of a reactivity management event. Administrative Controls 10. Administrative processes are established to ensure the proper authorization and controls are in place for those times when safety systems need to be bypassed or removed from service. 11. Operators have a low threshold for identifying operational problems. Interim corrective actions are taken, and problems are communicated to supervision and entered into the appropriate process for resolution. 12. Senior reactor operators provide prompt, accurate initial assessments of equipment operability and reporting requirements for identified deficiencies. Senior reactor operators are authorized to draw on other technical resources to help address plant issues. 13. Administrative controls are in place to document entry into and compliance with the requirements of technical specification action statements. Shift management is cognizant of and responsible for entry into action statements and verifies that appropriate actions are taken. 14. System operating, alarm response, abnormal operating, and emergency operating procedures are written with clear and accurate guidance for plant equipment operation. Emergency operating procedures are current with owners group guidance. 15. Clear and specific policies are in place to allow operations personnel to identify and make procedure changes necessary to support the safe operation of the plant. The method used should provide adequate controls to ensure changes are within the scope allowed for on-thespot changes and require peer review to ensure these changes are accurate. Operations Staffing 16. The composition of operating crews takes into account operator experience, backgrounds, and personalities to enhance crew teamwork. 17. A long-term operations workforce plan is established to maintain sufficient operations staffing and includes the following attributes: The number of qualified operators is sufficient to permit rotation of operators to other departments and groups after on-shift crews have been fully staffed. 15

26 Conduct of Operations Senior managers provide oversight for and endorse the workforce plan to ensure it is supported with the resources needed to implement it and to ensure organizational alignment on workforce plan expectations and maintenance. A thorough and comprehensive strategy is in place for attracting, hiring, and developing the highly skilled workforce necessary to operate the plant as well as to support operations. Recruiting and hiring strategies help obtain the operators needed to achieve the organization s mission and goals. A rigorous process is used to identify, screen, select, and qualify operators. A tailored orientation program is implemented for license program candidates who lack significant plant specific experience. This program ensures the candidates have sufficient base knowledge of plant systems, plant layout, overall plant operations, and plant organizational structure and management to be successful in licensing classes. 16

27 Maintenance MAINTENANCE MA.1 MA.2 Maintenance Fundamentals Conduct of Maintenance 17

28 Maintenance Fundamentals PERFORMANCE OBJECTIVE (MA.1) MAINTENANCE FUNDAMENTALS Maintenance personnel apply the essential knowledge, skills, behaviors, and practices to improve equipment performance, contributing to safe and reliable operation. CRITERIA Maintenance Personnel Knowledge 1. Maintenance personnel know the basic design and key functions of equipment and components. 2. Maintenance personnel recognize the importance of the equipment being maintained to operations and plant safety. 3. Maintenance personnel understand the application and limitation of tools, equipment, and practices used to maintain equipment. 4. Maintenance personnel know how to use reference materials, such as drawings and vendor manuals. High-Quality Corrective and Preventive Maintenance 5. Maintenance personnel perform precision work by ensuring equipment is reassembled to exacting specifications. 6. Maintenance personnel ensure high-quality preventive maintenance is performed to support equipment reliability and that feedback is provided that accurately reflects equipment performance. 7. Maintenance personnel prepare in advance for work by performing required walkdowns, reviewing instructions, verifying qualifications, and participating in prejob briefings. 8. Maintenance personnel perform work only when authorized and only on equipment that is properly aligned for the maintenance. Work activities are performed in accordance with controlled procedures. 9. Maintenance personnel recognize the importance of configuration control during maintenance and troubleshooting so that plant design is retained. 10. Maintenance personnel apply proper maintenance practices and use the correct repair parts. 11. Maintenance personnel determine needed tools and test equipment and ensure these are used properly. 18

29 Maintenance Fundamentals 12. Maintenance personnel use programmatic controls for temporary equipment, including scaffolding, combustible materials, and other support materials needed to perform maintenance. 13. Maintenance personnel keep work areas and open equipment clean and free of foreign material during work. They leave the job site in a better condition than it was found. 14. Maintenance personnel maintain situational awareness to prevent inadvertent equipment actuation, misposition, or damage, as well as to prevent injury to self and others. 15. Maintenance personnel recognize and report abnormal conditions during repairs, troubleshooting, and preventive maintenance. 16. Maintenance personnel plan and perform rigging, lifting, and material-handling activities to high standards that ensure equipment and personnel safety. Deliberate and Conservative Actions 17. Maintenance personnel anticipate and validate equipment condition and response during maintenance and postmaintenance testing. 18. Maintenance personnel stop and obtain help or clear direction from supervision when faced with uncertainty, unexpected results, or changing conditions. 19. Maintenance personnel minimize equipment out-of-service time through meticulous preparation for and accomplishment of activities. Communication of Technical Information 20. Maintenance personnel clearly communicate work plans and work status during briefings, turnovers, and handoffs. They advocate the maintenance technical position in troubleshooting, maintenance strategies, and operating practices. 21. Maintenance personnel provide feedback to improve work instructions, procedures, and processes. Ownership of Plant Performance 22. Maintenance personnel are engaged in station projects and initiatives to improve plant, equipment, and work processes. Maintenance personnel are involved in solving emergent equipment problems. 23. Maintenance personnel are intolerant of unplanned equipment failures, and they assist in identifying the reasons for such failures. 19

30 Maintenance Fundamentals 24. Maintenance personnel understand and support policies and procedures that govern the conduct of maintenance. 25. Maintenance personnel are self-critical and frequently provide feedback to improve plant performance, processes, plans, procedures, and training. 26. Maintenance personnel ensure rework is identified, documented, and trended. Supplemental Personnel 27. Supplemental personnel understand how the work they are performing contributes to nuclear safety and station reliability. 28. Supplemental personnel possess the knowledge and skills required for the assigned task qualification similar to station maintenance personnel with the same qualification. The technical competencies of supplemental personnel are verified and are appropriate for the tasks. 29. Supplemental personnel understand their roles and responsibilities specific to the tasks they are performing. 20

31 Conduct of Maintenance PERFORMANCE OBJECTIVE (MA.2) CONDUCT OF MAINTENANCE Maintenance activities are conducted in a manner that promotes safe and reliable plant operation. CRITERIA Excellence in Equipment Performance 1. Maintenance managers ensure high-quality preventive maintenance is performed to support equipment reliability and that preventive maintenance feedback is provided that accurately reflects equipment performance. 2. Maintenance managers and supervisors understand their roles in addressing the corrective and elective maintenance backlogs and focus on keeping the backlogs and average backlog age low. 3. The use of station and industry operating experience is evident in maintenance activities. Benchmarking is used to identify best practices, which are subsequently implemented. 4. Postmaintenance or postmodification testing is performed and the results are reviewed before equipment is released for service. First-Line Supervision 5. First-line supervisors have uncompromising, high standards. They hold workers, peers, and senior members of the organization accountable and have a vision of excellence for their work groups. 6. The first-line supervisor is knowledgeable of industry performance, especially in assigned areas, remains current on industry excellence, and encourages craft ownership of equipment. 7. First-line supervisors influence managers and senior leaders during decision-making and then communicate management decisions to employees, with personal ownership. 8. First-line supervisors display a deep-seated passion for the business, openly discuss teamwork and promote excellence, and are effective at both celebrating group success and capitalizing on learning opportunities. 9. Supervisors understand maintenance must-know significant operating experience and the importance of using significant operating experience and job-related operating experience to prevent events. 10. The first-line supervisor reinforces favorable employee behaviors and coaches incorrect behaviors in a professional manner. 21

32 Conduct of Maintenance Programs and Processes 11. Maintenance work is authorized, controlled, and documented properly. Work activities and component manipulations are performed in accordance with controlled procedures, instructions, manuals, and drawings. 12. Programmatic controls exist for the use of temporary equipment, including scaffolding, combustible materials, special equipment, and other support material needed to perform maintenance. 13. Maintenance procedures and documents are clear and technically accurate, provide appropriate direction, and are used to support safe and reliable plant operation. Applicable operating experience is incorporated during document preparation and revision. 14. Measuring and test equipment is calibrated and controlled to provide for accuracy and traceability. Out-of-tolerance test equipment is removed from service. Plant equipment found to be maintained with out-of-tolerance test equipment is evaluated in a timely manner for operability, and deficiencies are corrected. 15. Maintenance rework is identified, documented, and trended. Actions are taken to determine causes, including periodic reviews for common or generic implications; and subsequent corrective actions are taken to prevent recurrence. 16. Maintenance activities are planned and performed to prevent the introduction of foreign material into components and systems. Programs are implemented to clearly establish a foreign material prevention philosophy and provide guidance for the recovery of foreign material. 17. Rigging, lifting, and material-handling activities are planned and performed to high standards that ensure equipment and personnel safety. 18. Maintenance facility size, arrangement, and equipment promote safe work and training. Appropriate facilities are provided for work on radioactive components and hazardous materials. 19. A maintenance training and qualification program serves to develop, maintain, and improve the fundamental knowledge and skills that maintenance personnel need to perform their assignments effectively. 20. Maintenance personnel performance trends are analyzed to identify areas of knowledge and skill that need improvement. 21. Maintenance personnel engage in training as subject-matter experts and training review committee members. They view providing useful, critical feedback as important to the training process. 22

33 Conduct of Maintenance Supplemental Personnel 22. Maintenance and station line managers clearly identify and reinforce accountabilities for supplemental personnel performance. 23. Maintenance or other site managers communicate standards and expectations to supplemental personnel thoroughly and confirm that those standards and expectations are understood. 24. Maintenance or other site managers create an effective means of feedback that promotes continual improvement in supplemental personnel performance. 25. Maintenance or other site managers regularly provide oversight of supplemental personnel, especially during critical work activities and when supplemental personnel perform work independently. 23

34 Chemistry CHEMISTRY CY.1 CY.2 CY.3 Chemistry Fundamentals Chemistry Controls Effluent Controls 24

35 Chemistry Fundamentals PERFORMANCE OBJECTIVE (CY.1) CHEMISTRY FUNDAMENTALS Chemistry personnel apply the essential knowledge, skills, behaviors, and practices needed to implement chemistry activities that support safe and reliable plant operation. CRITERIA Sample and Analyze 1. Chemistry technicians obtain representative samples, at the correct frequency, from plant systems and the environment. 2. Chemistry technicians analyze samples accurately using the laboratory quality control program with the appropriate analytical chemistry method. 3. Chemistry technicians review, evaluate, and document chemistry data in a manner such that adverse trends are identified and corrected promptly before exceeding station goals and limits. Monitor, Assess, and Respond 4. Chemistry personnel monitor system chemistry conditions accurately and coordinate chemical addition or dilutions to minimize material corrosion rates. 5. Chemistry personnel identify degrading conditions and act to improve chemical treatment programs and materials. 6. Chemistry personnel routinely evaluate chemistry strategies, operating practices, and evaluation techniques (such as hideout return and impurity mass balance studies) for effectiveness and to ensure they are integrated into station performance monitoring and corrosion control initiatives. Chemistry Knowledge 7. Chemistry personnel are knowledgeable of chemical degradation mechanisms and integrate strategies for normal and abnormal conditions, including startup and shutdown. 8. Chemistry personnel understand the bases, capabilities, and limitations of chemistry sampling and analytical methods. 9. Chemistry personnel use diverse information sources to understand technical issues and provide recommendations for decisions that affect plant chemistry. 25

36 Chemistry Fundamentals 10. Chemistry personnel are knowledgeable of industry technical concerns, advances in technology, and industry operating experience. They use this knowledge to optimize chemistry controls that protect plant assets. 11. Supervisors understand chemistry must-know significant operating experience and the importance of using significant operating experience and job-related operating experience to prevent events. Communicate and Advocate 12. Chemistry personnel identify and report adverse chemistry trends in a timely manner and communicate to operations and engineering personnel those trends that can impact the operation of plant systems. Preemptive actions are taken to maintain system chemistry contaminants as low as reasonably achievable, anticipating potential results of adverse trends. 13. Chemistry personnel advocate prompt resolution for critical chemistry equipment issues. 14. Chemistry personnel minimize the generation of radioactive and chemical waste. Chemical Control 15. Chemistry personnel work with other station groups to properly control the use of chemicals throughout the station. 16. Chemistry personnel ensure laboratory chemicals are labeled, dated, segregated, and disposed of properly. 17. Chemistry personnel prevent the use of impure or ineffective process chemicals by verifying quality specifications and key parameters upon receipt through on-site laboratory analysis or by reviewing the certificate of analysis from the vendor. 26

37 Chemistry Controls PERFORMANCE OBJECTIVE (CY.2) CHEMISTRY CONTROLS Chemistry personnel maintain proper chemistry conditions during all phases of plant operations. CRITERIA 1. Chemistry personnel proactively monitor, evaluate, and trend chemistry results to control chemistry parameters within a technically defined range and take actions to prevent or minimize the ingress of contaminants. 2. Chemistry personnel promptly communicate recommendations to resolve adverse chemistry trends, anomalous conditions, and out-of-specification parameters. 3. Chemistry personnel control makeup water closely to ensure it is consistently of high quality. 4. Chemistry personnel maintain and use off-normal procedures to address abnormal conditions and have contingency plans for minimizing chemistry excursions and restoring plant systems to normal operating conditions. 5. Chemistry personnel evaluate diesel fuel oil conditions to ensure a high quality of fuel oil is maintained during normal and accident conditions. 6. Chemistry personnel monitor specific parameters to validate that intended cooling water treatment is effective. 27

38 Effluent Controls PERFORMANCE OBJECTIVE (CY.3) EFFLUENT CONTROLS Station effluents are monitored and controlled to protect the environment. CRITERIA 1. Managers control and direct activities, including shutdown and startup, to minimize dose and the generation of liquid and gaseous radioactive waste. Liquid and gaseous waste processing is managed to reduce dose to workers and the public. 2. Plant personnel delay releasing radioactive gaseous and liquid waste as long as practicable to allow for radioactive decay. 3. Plant personnel maintain radiological effluent monitors operational and calibrated to accurately measure and provide alarms for key effluent parameters. 4. Plant personnel identify, monitor, and mitigate groundwater radioactive contamination. The identification of contamination sources and the corrective actions to resolve the issues are timely. 5. Plant personnel determine, record, and track total curie content and volume of plant effluents. The results are compared to current industry performance, and improvement opportunities are identified. 6. Chemistry personnel closely monitor cooling waters that are chemically treated and returned to the environment. They promptly investigate and correct adverse trends. 28