ML18178A224

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Enclosure 9 - APR1400-E-I-NR-14006-NP, Rev. 3, Treatment of Important Human Actions Implementation Plan
ML18178A224
Person / Time
Site: 05200046
Issue date: 05/31/2018
From:
Korea Hydro & Nuclear Power Co, Ltd, Korea Electric Power Corp
To:
NRC/NRO/DNRL
Shared Package
ML18178A202 List:
References
MKD/NW-18-0091L APR1400-E-I-NR-14006-NP, Rev 3
Download: ML18178A224 (32)
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Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 Treatment of Important Human Actions Implementation Plan Revision 3 Non-Proprietary May 2018 Copyright 2018 Korea Electric Power Corporation &

Korea Hydro & Nuclear Power Co., Ltd All Rights Reserved KEPCO & KHNP

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 REVISION HISTORY Revision Date Page Description December 0 All First Issue 2014 vi Appendix B added to TOC.

(Table of R_315-8091(56R)

Contents) Appendix C added to TOC.

R_510-8650(127) 4 Terminology changed. (safety analysis -> systems (3.2) safety engineering)

R_250-8282(27) 7 Editorial correction.

(3.5.4) R_373-8481(97) 7 Description that IHAs included in TIHA ReSR added.

(3.5.5) R_128-7980(19) 7 Description that IHAs included in TIHA ReSR added.

(3.5.6) R_128-7980(20) 8 Description that I&C engineering SMEs with PRA (4.1) knowledge extract RIHA added.

R_510-8650(127)

March 1

2017 8, 9 Terminology changed. (HSI/I&C SMEs -> I&C (4.1) engineering SMEs)

R_250-8282(27) 8 Definition of time available modified.

(4.1) R_315-8091(42) 9 Post LOCA long term phase deleted from exception (4.2) example of DIHA selection process.

R_128-7980(22) 10 Description for manual action of containment spray (4.2) deleted R_128-7980(21) 10, 11 Terminology changed. (safety analysis -> systems (4.2) safety engineering, safety analysis engineering -> plant operations or systems safety engineering)

R_250-8282(27) 12 Terminology changed. (HSI/I&C -> I&C engineering, (Table 5-1) safety analysis or plant operations -> plant operations KEPCO & KHNP ii

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 Revision Date Page Description or systems safety engineering)

RIHA and DIHA independent review added to TIHA activity.

R_250-8282(27) 13 Description that TIHA ITAAC included in Tier 1 deleted.

(6) R_128-7980(15) 14 References about PRA added.

(7) R_510-8650(127) 14 Reference added.

(7) R_250-8282(27)

B1 List of DIHA added.

(Appendix B) R_315-8091(56R)

C1-C3 List of RIHA added.

(Appendix C) R_510-8650(127) 5, 14 Editorial corrections (typos, references)

(Overall) 4 Terminology changed. (Type A Type A variables)

(3.2) Supplemental description for DIHA extraction added.

9, 10, 11, 12 Editorial correction. (system safety engineering SMEs (4.2, 5) systems safety engineering SMEs) 2 January 2018 11E47-CR-17-J-220 8, 10 Supplemental description for preliminary TIHA output.

(4.1, 4.2) R_553-9084(133) 4 Editorial corrections. (duplicate sentence, typos) 3 May 2018 (3.2) R_128-7980(18R)

KEPCO & KHNP iii

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 This document was prepared for the design certification application to the U.S. Nuclear Regulatory Commission and contains technological information that constitutes intellectual property of Korea Hydro & Nuclear Power Co., Ltd.

Copying, using, or distributing the information in this document in whole or in part is permitted only to the U.S.

Nuclear Regulatory Commission and its contractors for the purpose of reviewing design certification application materials. Other uses are strictly prohibited without the written permission of Korea Electric Power Corporation and Korea Hydro & Nuclear Power Co., Ltd.

KEPCO & KHNP iv

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 ABSTRACT This document is the implementation plan (IP) for the human factors engineering (HFE) of important human actions (TIHA) program element (PE), which is one of 12 PEs in the Advanced Power Reactor 1400 (APR1400) HFE program. This IP governs the technical activities of the TIHA PE by defining the scope methodology output products and the qualifications of the personnel conduct the PE.

The primary purpose of the TIHA PE is to create a list of important human actions (IHAs) and the HFE characteristics assumed for the actions (e.g. stress levels, decision/action complexity, time required).

IHAs are used in other APR1400 HFE PEs.

IHAs consist of:

  • Deterministically important human actions, which are extracted from the defense-in-depth and diversity coping analysis in Chapter 7 of the APR1400 DCD, Instrumentation and Controls; and from Chapter 15, Transient and Accident Analyses, of the APR1400 DCD.

The TIHA IP describes the method of extracting and documenting IHAs. The TIHA IP also provides an overview of how IHAs are addressed in the following other HFE PEs:

  • Functional Requirements Analysis and Function Allocation
  • Task Analysis
  • Staffing and Qualifications
  • Procedure Development
  • Training Program Development
  • Human System Interface Design
  • Human Factors Verification and Validation (V&V)
  • Design Implementation (DI)

The TIHA is conducted after the human actions (HAs) are identified in the APR1400 PRA, transient and accident analyses, and diversity and defense-in-depth coping analysis. The TIHA is a one-time, nonrecurring HFE PE whose closure is marked by the TIHA results summary report (ReSR).Plant design changes are conducted in accordance with engineering change procedures, which include an evaluation of the IHAs. During the APR1400 design process, the list of IHAs is revised as needed in accordance with the engineering change process; IHA revisions are available for regulatory inspection. After completion of the V&V, site-specific changes, including any required changes to the list of IHAs, are managed within the DI PE, which is a recurring PE for each plant.

Section 1 of this document defines the TIHA purpose; Section 2 establishes the scope, Section 3 provides a methodology overview, Section 4 provides the details of the methodology (implementation) are provided in Section 4, including the format and content of each TIHA output product, and Section 5 establishes the qualification requirements for the TIHA implementation team. Section 6 defines the required content of the TIHA ReSR, which demonstrates that the TIHA PE was conducted in accordance with this IP. Appendix A demonstrates conformance of this IP to the NUREG-0711 review criteria for TIHA.

KEPCO & KHNP v

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 TABLE OF CONTENTS

_Toc475715005

1. PURPOSE ............................................................................................................... 1
2. SCOPE .................................................................................................................... 2
3. METHODOLOGY OVERVIEW .................................................................................. 3 3.1 Risk-Important Human Actions ........................................................................................................... 4 3.2 Deterministically-Important Human Actions ....................................................................................... 4 3.3 Independent Review........................................................................................................................... 4 3.4 TIHA Interfaces with Other HFE Program Elements .......................................................................... 5 3.5 Operating Experience Review............................................................................................................ 5 3.5.1 Functional Requirements Analysis and Function Allocation ....................................................... 5 3.5.2 Task Analysis............................................................................................................................... 6 3.5.3 Staffing and Qualifications .......................................................................................................... 6 3.5.4 Human-System Interface Design ................................................................................................ 6 3.5.5 Procedure Development ............................................................................................................. 7 3.5.6 Training Program Development .................................................................................................. 7 3.5.7 Human Factors Verification and Validation ................................................................................. 7 3.5.8 Design Implementation ............................................................................................................... 7 3.5.9 Human Performance Monitoring ................................................................................................. 7 3.6 Treatment of Important Human Actions Interface with the APR1400 Plant Design ........................... 7
4. IMPLEMENTATION ................................................................................................. 9 4.1 Risk-Important Human Actions ........................................................................................................... 9 4.2 Deterministically-Important Human Actions Analyses ...................................................................... 10
5. IMPLEMENTATION TEAM ..................................................................................... 13
6. RESULTS

SUMMARY

REPORT ............................................................................. 14

7. REFERENCES ....................................................................................................... 15
8. DEFINITIONS ....................................................................................................... 16 APPENDIX-A NUREG-0711, REV. 3, REVIEW CRITERIA CONFORMANCE TABLE ......... A1 APPENDIX-B PRELIMINARY TIHA OUTPUT FOR DIHAS............................................... B1 APPENDIX-C PRELIMINARY TIHA OUTPUT FOR RIHAS............................................... C1 KEPCO & KHNP vi

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 LIST OF TABLES Table 4-1 TIHA Output for RIHAs ................................................................................................................ 10 Table 4-2 TIHA Output for DIHAs ................................................................................................................ 12 Table 5-1 TIHA Implementation Summary .................................................................................................. 13 LIST OF FIGURES Figure 3-1 Treatment of Important Human Actions Overview ....................................................................... 3 KEPCO & KHNP vii

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 ACRONYMS AND ABBREVIATIONS APR1400 Advanced Power Reactor 1400 BTA basic task analysis CCF common cause failure COL combined license D3CA diversity and defense-in-depth coping analysis DCD design control document DI design implementation DIHA deterministically identified important human action DPS diverse protection system ESF engineered safety feature FA function allocation FRA functional requirements analysis FSAR Final Safety Analysis Report HA human action HD human-system interface design HED human engineering discrepancy HFE human factors engineering HEP human error probability HP human performance HPM human performance monitoring HSI human-system interface I&C instrumentation and controls IEEE Institute of Electrical and Electronics Engineers IHA important human action IP implementation plan ISV integrated system validation KEPCO Korea Electric Power Corporation KHNP Korea Hydro & Nuclear Power Co., Ltd.

LBLOCA large break loss-of-coolant accident LCS local control station MCR main control room KEPCO & KHNP viii

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 NRC U.S. Nuclear Regulatory Commission OER operating experience review PD procedure development PE program element PPS plant protection system PRA probabilistic risk assessment ReSR results summary report RG Regulatory Guide RIHA risk-important human action RT reactor trip S&Q staffing and qualifications SDCV spatially dedicated continuously visible SGTR steam generator tube rupture SME subject matter expert TA task analysis TAA transient and accident analysis TIHA treatment of important human actions TPD training program development TS trade secret TTA task timing analysis V&V verification and validation KEPCO & KHNP ix

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 Page intentionally blank KEPCO & KHNP x

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3

1. PURPOSE This document is the implementation plan (IP) for the human factors engineering (HFE) treatment of important human actions (TIHA) program element (PE), one of 12 PEs in the APR1400 HFE program.

This IP governs the technical activities in the TIHA PE by defining the scope, methodology, products, and qualifications of the personnel conduct the PE.

The TIHA is performed to create a list of important human actions (IHAs) IHAs, and the HFE characteristics assumed for the actions (e.g., stress levels, decision/action complexity, time required). The IHAs are used in other APR1400 HFE PEs.

  • Risk-important human actions (RIHAs), which are extracted from Chapter 19, Probabilistic Risk Assessment, of the APR1400 Design Control Document (DCD) (Reference 4)
  • Deterministically identified important human action (DIHAs), which are extracted from the from the APR1400 defense-in-depth and diversity coping analysis (D3CA) in Chapter 7 of the APR1400 DCD, Instrumentation and Controls; and Chapter 15, Transient and Accident Analyses, of the APR1400 DCD This TIHA IP describes the process for extracting the IHAs from the DCD sources, and the information that is included in that extraction process.

This TIHA IP also provides an overview of how the IHAs identified in the TIHA are addressed in subsequent APR1400 HFE PEs. The details of how IHAs are addressed in the other HFE PEs are described in the IPs of these HFE PEs.

As demonstrated in Appendix A, this IP conforms to the review criteria in Section 7 of NUREG-0711, Human Factors Engineering Program Review Model. Rev. 3 (Reference 3). This TIHA IP defines the qualifications of the SMEs required to conduct the TIHA and its independent review. This TIHA IP also defines the required content of the TIHA results summary report (ReSR), which demonstrates that the TIHA was conducted in accordance with this IP.

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Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3

2. SCOPE The TIHA encompasses the RIHAs defined by the APR1400 PRA, and the DIHAs defined by the APR1400 TAA and D3CA. Some of the RIHAs identified in the PRA may also be DIHAs identified in the TAA and D3CA.

These APR1400 analyses encompass actions taken by operators from the main control room (MCR) and other plant areas. Abnormal and accident conditions include both normal and degraded human-system interface (HSI) conditions, as defined in the analyses.

KEPCO & KHNP 2

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3

3. METHODOLOGY OVERVIEW TS Figure 3-1 Treatment of Important Human Actions Overview KEPCO & KHNP 3

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 3.1 Risk-Important Human Actions TS 3.2 Deterministically-Important Human Actions TS KEPCO & KHNP 4

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 TS 3.3 Independent Review TS 3.4 TIHA Interfaces with Other HFE Program Elements TS 3.5 Operating Experience Review TS 3.5.1 Functional Requirements Analysis and Function Allocation TS KEPCO & KHNP 5

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 TS 3.5.2 Task Analysis TS 3.5.3 Staffing and Qualifications TS 3.5.4 Human-System Interface Design TS KEPCO & KHNP 6

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 TS 3.5.5 Procedure Development TS 3.5.6 Training Program Development TS 3.5.7 Human Factors Verification and Validation TS 3.5.8 Design Implementation TS 3.5.9 Human Performance Monitoring TS 3.6 Treatment of Important Human Actions Interface with the APR1400 Plant Design TS KEPCO & KHNP 7

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 TS KEPCO & KHNP 8

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3

4. IMPLEMENTATION TS 4.1 Risk-Important Human Actions TS KEPCO & KHNP 9

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 TS Table 4-1 TIHA Output for RIHAs TS TS 4.2 Deterministically-Important Human Actions Analyses TS KEPCO & KHNP 10

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 TS KEPCO & KHNP 11

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 TS Table 4-2 TIHA Output for DIHAs TS TS KEPCO & KHNP 12

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3

5. IMPLEMENTATION TEAM TS Table 5-1 TIHA Implementation Summary TS KEPCO & KHNP 13

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3

6. RESULTS

SUMMARY

REPORT The results of the TIHA are documented in the ReSR, which demonstrates that the TIHA PE was conducted in accordance with this IP.

The TIHA ReSR includes the following:

  • The TIHA results overview, which describes the principal findings of the HFE program element
  • Name of each TIHA team member, SME position fulfilled, and the TIHA outputs generated by each team member
  • The TIHA execution results, including the following details, which demonstrate conformance with Sections 3 and 4 of this IP:

o Identified RIHAs, the source of the RIHAs in the PRA, and the HFE characteristics assumed in the PRA o Identified DIHAs, the source of the DIHAs in the TAA or D3CA, the HFE characteristics assumed in those analyses, and the basis for concluding any HAs identified in those analyses are not DIHAs

  • A conclusion that the TIHA:

o Has been conducted in accordance with the TIHA IP o Demonstrates that the IHAs identified in the TIHA output reflect all of the RIHAs from the PRA and all DIHAs from the TAA and D3CA o Has consolidated the IHAs with an adequate level of detail for use in other HFE PEs The TIHA is a one-time, nonrecurring HFE PE whose closure is marked by the TIHA ReSR. The HSI to support IHAs is ultimately reflected in the APR1400 HSI design, which is tested during V&V. After completion of V&V, site-specific changes, including any required changes to the TIHA output, are managed within the DI PE, which is a recurring PE for each plant.

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Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3

7. REFERENCES
1. IEEE Std. 497-2002, IEEE Standard Criteria for Accident Monitoring Instrumentation for Nuclear Power Generating Stations, Institute of Electrical and Electronics Engineers, 2002.
2. Regulatory Guide 1.97, Criteria For Accident Monitoring Instrumentation for Nuclear Power Plants, Rev. 4, U.S. Nuclear Regulatory Commission, June 2006.
3. NUREG-0711, Human Factors Engineering Program Review Model, Rev. 3, U.S. Nuclear Regulatory Commission, November 2012.
4. APR1400-K-X-FS-14002, "APR1400 Design Control Document Tier 2, Rev.2, KHNP, January 2018.
5. APR1400-E-I-NR-14011-P, Basic Human-System Interface, Rev. 3, KHNP, May 2018.
6. APR1400-E-I-NR-14001-P, Human Factors Engineering Program Plan, Rev. 3, KHNP, May 2018.
7. Full Power Level 1 PRA - Human Reliability Analysis (1-035-N463-105), Rev. 1, KEPCO E&C, April 2015.
8. Low Power and Shutdown PRA - Human Reliability Analysis Notebook (1-035-N463-705), Rev.

0, KEPCO E&C, April 2015.

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Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3

8. DEFINITIONS The following terms are used in this document.

Control Lowest decomposition of a success path within the FRA. Control actions are allocated to humans or machine in the FA.

Diagnosis Examination and evaluation of data from the HSI to determine the condition of the plant or the cause of the condition.

Human action Manual response by a member of the plants operating crew.

Human error Mismatch between a performance demand and the diagnosis or execution of tasks to satisfy the demand.

Human-system interface Alarms, indications, controls, and procedures used by the plant operating crew to monitor the plant, supervise automation, and execute HAs.

Local control station HSI control device that is not located in the main control room or the remote shutdown room; includes single function panels (e.g., controls for a single breaker or valve) and multifunction panels (e.g., controls for a group of plant components) .

Performance-based testing Testing using dynamic simulation and plant operators that includes scenarios targeted to confirm the design of specific HSI features.

Performance-shaping factor Factor that influences HEP, such as availability of procedural guidance and time available to perform an action.

Recovery Restoration actions to transition from an abnormal state to a normal state.

Task Collection of activities with a common purpose, often occurring in temporal proximity, with identifiable start and end points. Control actions are defined and allocated to humans or machine in the FRA/FA PE. HAs are decomposed into tasks, which are analyzed in the TA PE.

Time available Amount of time from the presentation of a cue for HA or equipment response to when adverse consequences will occur if no action is taken.

Time required Time it takes an operator to complete the action that prevents adverse consequences.

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Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.3 APPENDIX-A NUREG-0711, REV. 3, REVIEW CRITERIA CONFORMANCE TABLE NUREG-0711 Rev. 3 Review Criteria IP Section 7.4 Review Criteria Subsections 3.1, (1) The applicant should identify risk-important HAs from the PRA/HRA. 4.1 Additional Information: The NRCs technical branch responsible for PRA reviews the acceptability of the applicants methodology for identifying risk-important human actions. The human factors engineering staff is responsible for ensuring that risk-important HAs included in the HFE design process are the same as those identified in Chapter 19. NRC reviewers should be aware that risk- important HAs may be distributed throughout multiple Chapter 19 tables, a practice that has caused delays in completing reviews.

(2) Applicants should identify deterministically important HAs from the Subsections 3.2, following licensing analyses: 4.2

  • operator actions credited in the DCD/FSAR Chapter 15 accident and transient analyses
  • operator actions identified in the D3 coping analyses performed for DCD/FSAR Chapter 7, as specified in Section 1 and 2 of Interim Staff Guidance DI&C-ISG-02, Diversity and Defense in Depth (D3) Issues (NRC, 2009)

Additional Information: The HFE reviewer should coordinate with the appropriate NRC technical staff to ensure that the operator actions credited in the Chapter 15 accident and transient analysis and D3 coping analyses are correctly identified.

(3) The applicant should specify how important HAs are addressed by the Subsections 3.4.1 HFE program, in Function Allocation, Task Analysis, HSI design, 3.4.10 Procedural Development, and Training Program Development, in order to minimize the likelihood of human error and facilitate error-detection and recovery capability.

Additional Information: The applicants treatment of important HAs will help ensure that the design supports these actions, and that they are within acceptable human performance capabilities (e.g., within time and workload requirements).

(4) Additional Considerations for Reviewing the HFE Aspects of Plant Not applicable Modifications KEPCO & KHNP A1

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.2 APPENDIX-B PRELIMINARY TIHA OUTPUT FOR DIHAs TS The Values of Time Available for All Important Human Actions (IHAs) from Chapter 15 Abbreviations

1. ADV atmospheric dump valve
2. AFW auxiliary feedwater
3. SG steam generator
4. SI safety injection KEPCO & KHNP B1

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.2 The Values of Time Available for All Important Human Actions (IHAs) from CCF Coping Analysis TS Abbreviations

1. CIAS containment isolation actuation signal
2. CSAS containment spray actuation signal
3. EDG emergency diesel generator
4. RCP reactor coolant pump
5. SG steam generator KEPCO & KHNP B2

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.2 APPENDIX-C PRELIMINARY TIHA OUTPUT FOR RIHAs TS Table 1. Risk-Important Human Actions (RIHAs) at Power from Chapter 19 KEPCO & KHNP C1

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.2 TS KEPCO & KHNP C2

Non-Proprietary TIHA Implementation Plan APR1400-E-I-NR-14006-NP, Rev.2 Table 2. Risk-Important Human Actions (RIHAs) at LPSD from Chapter 19 TS KEPCO & KHNP C3

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