Integration of Human and Organization Factors in Canada Presented to International Atomic Energy Agency Technical Meeting on the Interaction between Individuals Technology and Organization A Systemic Approach to Safety in Practice Presented by Suzanne Dolecki Human and Organizational Factors Specialist June 11, 2014 e-doc # 4439938 nuclearsafety.gc.ca
Outline CNSC Regulatory Framework Safety and Control Area (SCA) Framework Human and Organizational Factors (HOF) Examples of HOF Integration Minimum Staff Complement (MSC) 2
CNSC Regulatory Framework: Human & Organizational Factors Act Regulations Licences Regulatory Documents Management system Human performance Minimum staff complement Training Certification and examination Policy on human factors Minimum staff complement Human factors engineering program plans Certification of persons working at NPPs All regulatory documents: nuclearsafety.gc.ca 3
SCA Framework The technical topics CNSC staff use across all regulated facilities and activities to assess, evaluate, review, verify and report on licensee compliance with regulatory requirements An integrated approach to gathering, collecting, managing and presenting information The CNSC Regulatory Document Structure is based on the SCA framework 4
SCA Framework Functional Area Management Facility and Equipment Safety and Control Area 1. Management Systems HOF integration formalized 2. Human Performance Management 3. Operating Performance 4. Safety Analysis 5. Physical Design 6. Fitness for Service HOF integration not formalized 7. Radiation Protection Core Control Processes 8. Conventional Health and Safety HOF not integrated at this time 9. Environmental Protection 10. Emergency Management and Fire Protection 11. Waste Management 12. Security 13. Safeguards 14. Packaging and Transport 5
HOF in the SCA Safety and Control Area Specific Areas 1. Management System Management System Organization Performance Assessment and Management Review Operating Experience Change Management Safety Culture Configuration Management Records Management Management of Contractors 2. Human Performance Management 3. Operating Performance Human Performance Programs Personnel Training Personnel Examination and Certification Minimum Staff Complement Fitness for Duty Procedures Reporting and Trending Accident Management and Recovery 4. Safety Analysis Human Actions in Safety Analysis 5. Physical Design Human Factors in Design 6
Directorate of Safety Management Directorate of Safety Management Management Systems Division Personnel Certification Division Human and Organizational Performance Division Training Program Evaluation Division 7
Understanding HOF Human Factors influence human performance as it relates to the safety of a nuclear facility or activity over all phases, including design, construction, commissioning, operation, maintenance and decommissioning. Human Performance - The outcomes of human behaviours, functions and actions in a specified environment, reflecting the ability of workers and management to meet the system s defined performance under the conditions in which the system will be employed. 8
Human Performance Model Human Performance Organization Technology Worker Management system Safety Culture Assessment & continuous improvement Organizational Structure Plant design Equipment design & user interface Task design and allocation Physical work environment Training, qualification & certification Work practices: 3-way communication, procedure adherence, independent verification Examples of Factors Supporting Human Performance Roles and Responsibilities Minimum staff complement Procedures Fitness for duty Hours of work Human and organizational factors related to the organization, technology, and worker can be conceptualized as the foundation that supports human performance. 9
Minimum Staff Complement (MSC) Minimum number of qualified workers who must be present at all times to ensure the safe operation of the nuclear facility and to ensure adequate emergency response capability This includes licensed and non-licensed operators, maintenance and emergency staff. 10
MSC Normal Operations Emergency Operations Normal Operation and maintenance of the plant: includes outages, shutdowns, testing, fuelling etc. Event Response Goal is to control, cool and contain the reactor and monitor critical safety parameters Emergency Response Goal is to protect staff, the public and the environment and liaise with external authorities 11
Minimum Staff Complement Systematic Analysis Identify the most resource-intensive conditions under all operating states, design basis accidents and emergencies Analysis of documentation Events identified in the Safety Report Probabilistic Safety Analysis Credited operator actions Emergency Operating Procedures Operating Strategies Determine the number and qualifications of staff required 12
Minimum Staff Complement Validation Process of determining the degree to which the design of the system facilitates the achievement of the overall safety goals Validation is an iterative process using methods with progressively higher degrees of fidelity to confirm and refine analysis Table top exercises Field walk-downs Integrated validation exercises Demonstrate the adequacy of the MSC 13
Example of Multi-disciplinary Team Examining Minimum Staff Complement Levels 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 14
Fukushima Action Plan Action Plan approved May 2012 Generic action items issued across the industry Closure criteria included HOF aspects Equipment upgrades and modifications Severe Accident procedure development and usability Habitability studies Staffing and workload Training needs analysis Large scale integrated validation exercises conducted at NPPs to demonstrate adequate response 15
Darlington Exercise Unified Response Full-scale national nuclear exercise response to a severe accident Objective - Improve collective emergency preparedness and response Involved 50+ organizations from all levels of government and other stakeholders Demonstration of improvements as a result of the Fukushima Action Plan 16
Examples of HOF Integration Multi-disciplinary inspection teams and development of integrated inspection guides Facility Assessment and Compliance Teams (FACT) CNSC Regulatory Documents Safety Culture self assessment National Standards Management System Requirements for Nuclear Facilities Human Factors in Design (Draft) 17
Conclusions: SCA Framework demonstrates that the cross cutting areas of HOF are considered throughout the regulatory activities of the CNSC Regulatory framework improvement initiatives formalize the integration of HOF through the CNSC s oversight activities 18
nuclearsafety.gc.ca
Regulatory Framework Initiatives Discussion Papers New requirements related to human performance and fitness for duty in General Nuclear Safety and Control Regulations http://www.nuclearsafety.gc.ca/eng/acts-andregulations/consultation/history/dis-13-02.cfm Safety Culture http://www.nuclearsafety.gc.ca/eng/acts-andregulations/consultation/history/dis-12-07.cfm Fitness for Duty http://www.nuclearsafety.gc.ca/eng/acts-andregulations/consultation/history/dis-12-03.cfm Regulatory Document Managing Worker Fatigue and Hours of Work http://www.nuclearsafety.gc.ca/eng/acts-and-regulations/regulatorydocuments/history/regdoc2-2-1.cfm 20