HOF IAEA safety standards 1/OP2_HOF_IAEA sa… · [email protected] THANK YOU . Title: HOF IAEA...

IAEA International Atomic Energy Agency

Technical Meeting on Regulatory Oversight of Human and Organizational

Factors

Vienna, Austria | 14-18 December 2015

Overview of HOF-related IAEA safety standards

IAEA

Content

1. Introduction

2. Safety Fundamentals

3. Importance of HOF for Safety

4. What to look at?

5. Regulatory Functions

6. Conclusions

December 2015 TM on Regulatory Oversight of HOF 2

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1. Introduction


Fukushima has shown again that safety

is the outcome of the interaction

between individuals, technology and

organizations

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1. Introduction

• The extreme natural events (Seism and Tsunami) triggered the accident

but the accident was the final results of factors such as:

• Belief that a severe accident and loss of defence in depth was unlikely:

failure of imagination

• Underestimation of tsunami height: design / technological failure

• Lack of regulatory independence and the existence of a complex ‘chain of

command’: failure to deal with organizational interdependencies

• Lack of cross-functional discussions: communication failure

• Inadequate knowledge and training related to severe accidents: training

failure

• Failure to expect the unexpected

• Improper consideration of the need to

strengthen safety measures: decision

making failure


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1. Introduction


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2015 Leadership and Management for Safety 7

The fundamental safety objective is: To protect people and the environment from

harmful effects of ionizing radiation

Protective

Actions to

Reduce Existing

Or Unregulated

Radiation Risks

Emergency

Preparedness

and Response

Prevention

of Accidents

Responsibility

for Safety

Role of

Government

Leadership and

Management

for Safety

Justification of

Facilities and

Activities

Optimization

of Protection

Limitation of

Risks to

Individuals

Protection of

Present and

Future

Generations

IAEA


• Fundamental Safety Principle 2: Role of government

• An effective legal and governmental framework for safety, including an independent regulatory body, must be established and sustained

• 3.8. A properly established legal and governmental framework provides for the regulation of facilities and activities that give rise to radiation risks…

• Fundamental Safety Principle 3: Leadership and Management for Safety

• Effective leadership and management for safety

must be established and sustained in organizations

concerned with, and facilities and activities that

give rise to, radiation risks


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3. Importance of HOF for safety

Fundamental Safety Principle 3

• 3.14. An important factor in a management system is the

recognition of the entire range of interactions of individuals at all

levels with technology and with organizations. To prevent

human and organizational failures, human factors have to

be taken into account and good performance and good

practices have to be supported

GSR Part 4 Safety Assessment for Facilities and Activities

• Requirement 11: Assessment of human factors

4.38. The safety of facilities and activities will depend on actions carried out

by the operating personnel, and all such human interactions with the facility

or activity are to be assessed.


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3. Importance of HOF for safety

GSR Part 3: Radiation Protection and Safety of Radiation Sources

• 2.52. The principal parties and other parties having specified

responsibilities in relation to protection and safety, as appropriate, shall take

into account human factors and shall support good performance and

good practices to prevent human and organizational failures

GSR Part 1 Governmental, Legal & Regulatory Framework for Safety

• 4.3. The objective of regulatory functions is the verification and assessment

of safety in compliance with regulatory requirements (…) The regulatory

process shall provide a high degree of confidence, until the release of

facilities and activities from regulatory control


Regulatory body should pay special attention to not only

technical, but also human and organizational issues

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4. What to look at?

• GSR Part 3 - Human factors

• Ergonomic principles are followed in equipment design and

development of procedures, to facilitate the safe operation and use of

equipment: to minimize the possibility of errors that could lead to accidents,

to reduce the possibility that indications of normal conditions and abnormal

conditions could be misinterpreted

• Appropriate equipment, safety systems and procedural requirements are

provided, and other necessary provision is made:

i. To reduce, as far as practicable, the possibility that human errors or inadvertent

actions could give rise to accidents or to other incidents leading to the exposure

of any person

ii. To provide means for detecting human errors and for correcting or compensating

for them

iii. To facilitate protective actions and corrective actions in the event of failures of

safety systems or failures of measures for protection and safety


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4. What to look at?

• SSR-2/1: Safety of Nuclear Power Plants: Design

• Requirement 32: Design for optimal operator performance

Systematic consideration of human factors, including the human–

machine interface, shall be included at an early stage in the design

process and shall be continued throughout the entire design process

• Minimum number of operating personnel required to perform all the

simultaneous operations necessary to bring the plant into a safe state

• Design to support staff in the fulfilment of their responsibilities and in the

performance of their tasks, to limit the effects of errors on safety

• Human–machine interface to provide staff with comprehensive but

manageable information, in accordance with

the necessary decision times and action

• Workplaces and working environment of

personnel, in accordance with ergonomic

concepts, etc.


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4. What to look at?

• SSR-2/2: Safety of NPP: Commissioning and Operation

• Requirement 3: Structure and functions of the operating

organization

• The structure of the operating organization and the functions, roles and

responsibilities of its personnel shall be established and documented

• Requirement 7: Qualification and training of personnel

• The operating organization shall ensure that all activities that may affect

safety are performed by suitably qualified and competent persons

• Requirement 8: Performance of safety related activities

• Written communication; The working environment; Effectiveness and

fitness of personnel for duty; Questioning attitude; To make appropriate

and conservative decisions

• Requirement 26: Operating procedures

• Level of detail for a particular procedure shall be appropriate…


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4. What to look at?

• NS-R-4: Safety of Research Reactors

• Design: The systematic consideration of the human–machine

interface and human factors

• Application of ergonomic principles in the design of the control

room and reactor systems as appropriate…

• NS-R-5: Safety of Nuclear Fuel Cycle Facilities Safety

Requirements

• Human factors and human–machine interfaces shall be

considered throughout the design process

• The design shall minimize the demands on operators in normal

operations and in anticipated operational occurrences and accident

conditions…


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GSR part 1: Governmental, Legal and Regulatory

Framework for Safety

• Establishes international consensus on requirements for applying the

fundamental safety objectives and principles

• Defines responsibilities and functions of

• Government

• Regulatory body (RB)

• Covers all phases of facility lifetime until

release from regulatory control


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“CORE” Functions of the Regulatory Body

- Establish or adopt and maintain REGULATIONS

& GUIDES (Req. 32-34)

- REVIEW & ASSESSMENT of information relevant

to safety (Req. 32-34)

- AUTHORIZATION of facilities and activities (Req. 23, 24)

- INSPECTION of facilities and activities (Req. 27-29)

- ENFORCEMENT of compliance with regulations and standards

(Req. 30-31)

December 2015 16 TM on Regulatory Oversight of HOF

The use of regulatory functions provides opportunities to address

HOF and how they are taken into account

by the licensee to ensure a positive

contribution for safety

IAEA


EXAMPLE

Regulatory framework should include key objectives and

criteria to ‘regulate’ HOF, even performance based approach, e.g.,

a) A human and organizational factors programme shall be established, implemented, and periodically enhanced to prevent shortcomings in and enhance the performance of humans and organization.

b) All safety-related activities shall be prepared and performed taking account of human capabilities and limitations and of factors that could influence the performance of individuals and safety

Inspections are performed to verify compliance with the

regulatory requirements and with the conditions

specified in the authorization

• Is a programme established and implemented?

Inspections are opportunity to observe, discuss and

collect evidences and data related to HOF


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Collecting data

and results

Identifying trends

and conclusions

Conducting

integrated Safety

Assessments


• GSR Part 1 – Requirements 25 and 26

• 4.46. Integrated Safety Assessment

• The RB shall:

• Organize the results obtained in a systematic

manner

• Identify trends and conclusions drawn from

inspections, from reviews and assessments

• This integrated safety assessment shall be repeated

periodically

• 4.48 The results of reviews and assessments shall

be used as feedback information for the regulatory

process


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• GSR Part 1 – Requirement 21

• The RB shall establish formal and informal mechanisms of

communication with authorized parties on all safety related

issues, conducting a professional and constructive liaison

• 4.23. (…) The RB, while maintaining its independence, shall liaise with

authorized parties to achieve their common objectives in ensuring

safety. Meetings shall be held as necessary to fully understand and

discuss the arguments of each party on safety related issues.

• 4.24. The RB shall foster mutual understanding and respect on the part

of authorized parties through frank, open and yet formal relationships,

providing constructive liaison on safety related issues.


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• GSR Part 1 – Requirements 25 and 26

• 4.46. Integrated Safety Assessment (be repeated

periodically). The RB shall:

• Organize the results obtained in a systematic manner

• Then identify trends and conclusions drawn from

inspections, from reviews and assessments

• Feedback information shall be provided to the

authorized party

• Foster mutual understanding and respect

providing constructive liaison on safety related

issues


Providing

feedback to and

discussing with

Licensee

Improving

Safety

Collecting data

and results

Identifying trends

and conclusions

Conducting

integrated Safety

Assessments

IAEA

Principle 3

Leadership and

Management

for Safety

6. Conclusions

• Human and organizational factors are (positive or

adverse) contributors to safety: Recognized and addressed at Safety

Fundamental Level

• The IAEA safety standards establish numerous requirements and

guidance related to human and organizational factors: What and

How

• Should be used to develop a sound regulatory system and effective

regulatory oversight mechanisms

• Performance of regulatory functions aims at determining whether

the licensee comply with regulatory requirements and conditions

• Need to establish regulatory objectives and criteria (General or specific)

• Also opportunity to collect data in order to identify trends and conclusions for

discussion with the licensee as part of a constructive and professional liaison

on safety issues (GSR Part 1 – Req. 21)


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6. Conclusions

http://www-ns.iaea.org/standards/


IAEA 23

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HOF IAEA safety standards 1/OP2_HOF_IAEA sa… · [email protected] THANK YOU . Title: HOF IAEA...

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