nuclearsafety.gc.ca

Integration of Human and Organization Factors in Canada

June 11, 2014

e-doc # 4439938

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

Canadian Nuclear Safety Commission 2

Outline

• CNSC Regulatory Framework

• Safety and Control Area (SCA) Framework

• Human and Organizational Factors (HOF)

• Examples of HOF Integration

• Minimum Staff Complement (MSC)

Canadian Nuclear Safety Commission 3

Act

Regulations

Licences

Regulatory Documents

CNSC Regulatory Framework:

Human & Organizational Factors

•Policy on human factors

•Minimum staff complement

•Human factors engineering program plans

•Certification of persons working at NPPs

All regulatory documents: nuclearsafety.gc.ca

•Management system

•Human performance

•Minimum staff complement

•Training

•Certification and examination

Canadian Nuclear Safety Commission 4

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

Canadian Nuclear Safety Commission 5

SCA Framework

Functional Area Safety and Control Area

Management

1. Management Systems HOF integration formalized

2. Human Performance Management

3. Operating Performance

Facility and Equipment

4. Safety Analysis

5. Physical Design

6. Fitness for Service HOF integration not formalized

Core Control Processes

7. Radiation Protection

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

Canadian Nuclear Safety Commission

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

•Human Performance Programs

•Personnel Training

•Personnel Examination and Certification

•Minimum Staff Complement

•Fitness for Duty

3. Operating

Performance

•Procedures

•Reporting and Trending

•Accident Management and Recovery

4. Safety Analysis •Human Actions in Safety Analysis

5. Physical Design •Human Factors in Design 6

Canadian Nuclear Safety Commission

Directorate of Safety

Management

Management Systems Division

Personnel Certification

Division

Human and Organizational Performance

Division

Training Program

Evaluation Division

Directorate of Safety Management

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Canadian Nuclear Safety Commission

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.

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Canadian Nuclear Safety Commission

Human Performance Model

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•Human Performance

•Human and organizational factors related to the organization,

technology, and worker can be conceptualized as the

foundation that supports human performance.

•Training, qualification &

certification

•Work practices: 3-way

communication, procedure

adherence, independent

verification

•Fitness for duty

•Hours of work

•Worker •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

Supporting

Human

Performance

Canadian Nuclear Safety Commission

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.

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Canadian Nuclear Safety Commission

MSC

Normal Operations

Emergency Operations

Event Response Emergency

Response

Goal is to control, cool and contain

the reactor and monitor critical

safety parameters

Goal is to protect staff, the public

and the environment and liaise with

external authorities

Normal Operation

and maintenance of

the plant: includes

outages, shutdowns,

testing, fuelling etc.

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Canadian Nuclear Safety Commission

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

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Canadian Nuclear Safety Commission

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

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Canadian Nuclear Safety Commission

Example of Multi-disciplinary Team Examining

Minimum Staff Complement Levels

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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Canadian Nuclear Safety Commission

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

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Canadian Nuclear Safety Commission

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

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Canadian Nuclear Safety Commission

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)

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Canadian Nuclear Safety Commission

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

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nuclearsafety.gc.ca

Canadian Nuclear Safety Commission

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-and-

regulations/consultation/history/dis-13-02.cfm

• Safety Culture • http://www.nuclearsafety.gc.ca/eng/acts-and-

regulations/consultation/history/dis-12-07.cfm

• Fitness for Duty • http://www.nuclearsafety.gc.ca/eng/acts-and-

regulations/consultation/history/dis-12-03.cfm

Regulatory Document • Managing Worker Fatigue and Hours of Work

• http://www.nuclearsafety.gc.ca/eng/acts-and-regulations/regulatory-documents/history/regdoc2-2-1.cfm

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