cnsc’s regulatory oversight of human and organizational factors … 2/np7_canada.pdf ·...
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nuclearsafety.gc.ca
15th, December, 2015 e-Docs # 4873780
CNSC’s regulatory oversight of Human and Organizational
Factors (HOF) Alice F Salway
2 Canadian Nuclear Safety Commission
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
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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
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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
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CNSC Regulatory Framework and Human & Organizational Factors
Act
Regulations
Licences
Regulatory Documents
• 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
• management system
• human performance
• procedures
• probabilistic safety analyses
• minimum staff complement
• training, certification and examinations
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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
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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
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Example of a CNSC multidisciplinary review team
Technical Support Branch
Assessment & Analysis
Safety Management
Security & Safeguards
Environmental & Radiation
Protection & Assessment
Regulatory Operations Branch
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
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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
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HOF in the SCA framework
Functional Area Safety and Control Area
Management 1. Management Systems 2. Human Performance Management 3. Operating Performance
Facility and Equipment 4. Safety Analysis 5. Physical Design 6. Fitness for Service
Core Control Processes
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
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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
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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
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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
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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
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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
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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
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Human Performance Management
• Human performance program • Personnel training • Personnel certification • Initial certification examinations and
requalification tests • Work organization and job design • Fitness for duty
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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
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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
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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…
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Organization-Technology-Individual
Human Performance
Consideration of the individuals, organization and technology is the foundation that supports human performance.
Training, qualification & certification
Work practices: 3-way communication, procedure adherence, independent verification
Fitness for duty
Hours of work
Individual Organization Technology
Plant design
Equipment design & user interface
Task design and allocation
Physical work environment
Procedures
Management system
Safety Culture
Assessment & continuous improvement
Organizational Structure
Roles and Responsibilities
Minimum staff complement
Examples of factors that influence
human performance
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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
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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
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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
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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
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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
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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
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Integrated approach to Human Performance
management and supervision organization (structure and processes)
culture training
work organization and job design fitness for duty
procedures (development and use)
physical design (human factors in design)
performance assessment, improvement and management review
operating experience and lessons learned
personnel certification safety analysis (human actions)
reporting and trending behavioural safety initiatives and human performance tools
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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
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