ML20024E689
| ML20024E689 | |
| Person / Time | |
|---|---|
| Issue date: | 08/31/1983 |
| From: | Office of Nuclear Reactor Regulation |
| To: | |
| References | |
| NUREG-0985, NUREG-0985-V01, NUREG-985, NUREG-985-V1, NUDOCS 8309060100 | |
| Download: ML20024E689 (75) | |
Text
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NUREG-0985 Volume 1 l
U.S. Nuclear Regulatory Commission Human Factors Program Plan U.S. Nuclear Regulatory
' Commission Offica of Nuclear Reactor Regulation f. arc,
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NOTICE Availability of Reference Materials Cited in NRC Publications Most documents cited in NRC publications will be available from one of the following sources:
- 1. The NRC Public Document Room,1717 H Street, N.W.
Washington, DC 20555
- 2. The NRC/GPO Sales Program, U.S. Nuclear Regulatory Commission, Washington, DC 20555
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Referenced documents available for inspection and copying for a fee from the NRC Public Docu-ment Room include NRC correspondence and internal NRC memoranda; NRC Office of Inspection and Enforcement bulletins, circulars, information notices, inspection and investigation notices; Licensee Event Reports; vendor reports and correspondence; Commission papers; and applicant and licensee documents and correspondence.
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GPO Pnnted copy price: 13D_ _ ____
j 1
NUREG-0985 Volume 1
.U.S. Nuclear Regulatory Commission Human Factors Program Plan M:nuscript Completed: July 1983 Data Published: August 1983 Offics of Nuclear Reactor Regulation U.S. Nuclear Regulatory Commission Wmhington, D.C. 20665 g a,,,
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i FOREWORD The U.S. Nuclear Regulatory Commission's Policy and Planning Guidance for 1982 (NUREG-0885, Issue 1) called for development of a long range human factors program plan. An initial version of-that Plan was submitted to the Commission in November, 1982. Following Commission review, a revised version of the plan, incorporating Commission comments and revisions to update the Plan, was prepared and submitted to the Commission in April, 1983.
The Plan has been further revised to reflect allocations of the estimated FY 1984 budget and to respond to the requirements of section 306 of the Nuclear Waste Policy Act of 1982 (PL 97-425). That revision is presented here as NUREG-0985.
Responsibility for Plan maintenance rests with the Office of Nuclear Reactor Regulation, Division of Human Factors Safety.
Project Manager for the Plan is Dr. Daniel B. Jones, Division of Human Factors. Safety.
It is anticipated that the Plan will be revised on an annual basis. Comments or ! uggestions for Plan revisions can be sent to Dr. Jones at the following address:
Dr. Daniel B. Jones, Chairman Human-Factors Review Group Division of Human Factors Safety U.S. Nuclear Regulatory Commission Washington, D.C.
20555 iii
TABLE OF CONTENTS-I.
INTRODUCTION........................
1 II. -SPECIAL ISSUES._
6 III. PROGRAM ELEMENTS......................
9 1.
Staffing and Qualifications..............
9 2.
Training.......................
16 L
.3.
Licensing Examinations................
21 4.
Procedures......................
26 5.
Man-Machine Interface.................
3D 6.
Management and Organization..............
38 7.
Human Reliability................... 42 APPENDIX A.
TMI ACTION PLAN STATUS............... A-1 APPENDIX b.
HUMAN FACTORS SOCIETY RECOMMENDATIONS AND THEIR CORRELATION WITH STAFF PROGRAMS IN HUMAN. FACTORS...................
B-1 APPENDIX C.
PROGRAM ELEMENT SCHEDULES.............
C-1 I
I i
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Nomenclature AE00 Office of Analysis and Evaluation of Operational Data ANS American Nuclear Society ANSI American National Standards Institute AOP Abnormal Operating Procedure BWR Boiling Water Reactor CAI Computer Assisted Instruction CFR Code of Federal Regulations CRGR Committee to Review Generic Requirements CRT Cathode Ray Tube DF0 Division of Facility Operations DHFS Division of Human Factors Safety DOE Department of Energy E00 Executive Director for Operations EEI Edison Electric Institute E0P Emergency Operating Procedure EPRI Electric Power Research Institute ERF Emergency Response Facility EXAM Examination FAA Federal Aviation Administration FY Fiscal Year
'HFB Human Factors and Safeguards Branch HFEB Human Factors Engineering Branch HFRG Human Factors Review Group HFS Human Factors Society HRA Human Risk Analysis INP0 Institute for Nuclear Power Operation ISD Instructional System Development ISEG Independent -Safety Evaluation Group JPA-Job Performance Aid LER Licensee Event Report LMFBR Liquid Metal Fast Breeder Reactor LQB Licensee Qualifications Branch LWR Light Water Reactor LMAN/ MACH Man-Machine MGMT & ORG Management and Organization MMI Man-Machine Interface M0V Memorandum of Understanding MP Maintenance Procedure NASA-National Aeronautics and Space Agency NMSS Office of Nuclear Material Safety and Safeguards NPP Nuclear Power Plant NPRDS Nuclear Power Reliability Data System NPSRS Nuclear Power Safety Reporting System NRC U. S. Nuclear Regulatory Commission NRR-Office of Nuclear Reactor Regulation NSSS Nuclear Steam Supply System vii
p Nomenclature (Continued)
OIE Office of Inspection and Enforcement
- 0&M Operations and Maintenance OL
' Operating License OP Operating Procedure OR Operating Reactor ORM Office of Resource Management PAT Performance Appraisal Team PRA Probabilistic Risk Assessment PROC Procedures PTSB Procedures and Systems Review Branch PWR Pressurized Water Reactor R&D Research and Development RES Office of Nuclear Regulatory Research R0 -
Reactor Operator SALP Systematic Appraisal of Licensee Performance SAT Systems Approach to Training SPDS Safety Parameters Display System SR0 Senior Reactor _0perator SRP Standard Review Plan SS Shift Supervisor STAFF & QUAL Staffing and Qualifications TSD Training System Development viii
I l
HUMAN FACTORS PROGRAM PLAN JULY 1983 I
l I.
INTRODUCTION PURPOSE The purpose of the NRC Human Factors Program Plan is to ensure that proper consideration is given to human factors in the design, operation, and maintenance of nuclear facilities.
This initial plan addresses nuclear power plants (NPP) and describes (1) the technical assistance and research activities planned to provide the technical. bases for the resolution of the remaining human factors related tasks described in NUREG-0660, "The NRC Action Plan Developed as a Result of the TMI-2 Accident," and NUREG-0737,
" Clarification of TMI Action Plan Requirements," and (2) the additional human factors efforts identified during implementation of the Action Plan that should receive NRC attention. The plan represents a systematic and compre-hensive' approach for addressing human factors concerns important to NPP safety in the FY-83 through FY-85 time frame.
BACKGROUND A thorough understanding of functions, capabilities, and limitations of the personnel involved must be included to evaluate the safety of NPPs. The accident at Three Mile Island Unit 2 (TMI-2), identified the need to bring human factors consideration into the mainstream of NPP' regulation and operatio'n. NUREG-0660 described a number of tasks to be performed by the nuclea'r industry and the U. S. Nuclear Regulatory Commission (NRC). A significant number of these tasks were aimed at improving NPP safety through increased attention to the human element. Considerable progress has been made on many of these Action Plan items. _ Appendix A tabulates those Action Plan items that have been or are being implemented, and those items that are in the process of being resolved as part of this plan.
CURRENT ACTIVITIES In June and December.1980, the Commission issued Policy Statements augmenting the Commission's regulations with the requirements in NUREG-0737,
" Clarification of TMI Action Plan Requirements." To date, over twenty licensing reviews have been completed with increased attention having been given to the following human factors areas:
review of NPP staffing to ensure that the numbers, functions, and qualifications of personnel are adequate for safe operation; review of training programs for both licensed and non-licensed NPP. staff
-to_ ensure that personnel are able to meet existing job performance requirements ;.
y HUMAN FACTORS PROGRAM PLAN JULY 1983 review of procedures and startup testing prograns to ensure their adequacy and effectiveness; review of NPP control roons and remote shutdown panels to ensure that they are designed to facilitate the man-machine interface (NMI);
review of utility management and organization to ensure its adequacy to support safe NPP operation.
The Commission has also recognized the need to codify the need for human factors involvement in NPP design, construction and operation. Three proposed 10 CFR Part 50 Appendix A General Design Criteria (GDC) have been The three criteria, draf ted and are currently being reviewed by the staff.
proposed GDC 65, 66 and 67, address human factors engineering; operability, surveillance and maintainability; and organization and management.
More recently, the Commission approved SECY-82-111, " Requirements for Emergency Response Capability." These requirements were published as Supplement 1 to_ NUREG-0737, and transmitted to the industry as Generic Letter 82-33. This action applies important human factors requirements to operating plants, primarily in the -areas of MMI, upgraded procedures,.and related training. This effort will be the major focus for human factors activities for operating plants during the next three years.
The schedule for accomplishing these activities will be established through negotiation between Office of Nuclear Reactor Regulation (NRR) Project Managers and the utilities.
PROGRAM PLAN AND RESOURCES The Human Factors Program Plan is structured as follows:
Section II describes a number of special issues which either affect all aspects of the program or require involvement of more than one program element for their resolution.
Section III addresses the seven major program elements to be addressed in FY-83 through FY-85.
Staffing and Qualifications Training.
Licensing Examinations
)
Procedures Man-Machine Interfaces Management and Organization Human Reliability
HUMAN. FACTORS PROGRAM PLAN-JULY 1983 Activities planned for these program elements will provide the technical bases for developing guidance for the nuclear industry and will improve the capability of the staff to perform licensing activities effectively.
They will also support decisions regarding the degree of regulation required to resolve the' technical issues.
If the results of the programs indicate that new requirements should be' promulgated, such proposals will undergo the normal review process, including review by the Committee ~to Review Generic Requirements (CRGR).
Appendix B provides the staff's initial. response to the recormendations provided by the Human Factors Society in NUREG/CR-2833, Critical Human Factors Issues in Nuclear Power Regulation and a Reconmended Comprehensive Human Factors Long-Range Plan."
Appendix C provides the schedule of activities for each of the seven program elements. Activities are those either planned or underway for NRC Offices and for related major activities initiated at the Institute of Nuclear Power Operations (INP0), the Electric Power Research Institute (EPRI), the Edison Electric Institute (EEI), and the Halden project.
PROGRAM MANAGEMENT, COORDINATION AND INTEGRATION The success of this human-factors program plan relies on effective interactions within the NRC and between the NRC and ' industry. The-systems approach taken in this plan is intended to provide assurance that NRC human factors activities are appropriately integrated and that adequate and accurate human factors information is developed. The plan recognizes that activities initiated within INP0, EPRI, EEI, Owners' Groups, and individual utilities often provide essential information to complement the activities described. To assure that available information is effectively and i
efficiently used, these activities, and those at other federal agencies and i
in foreign countries, will be coordinated and integrated with those described-in this plan. Memoranda of Understanding (M0U) with industry groups will be developed where industry activities will affect the scheduling of staff efforts.
Interaction between NRR, RES, and other NRC Offices, NRC contractors and the industry is' also necessary to ensure program success.
Beginning in the second quarter of FY-83, working level meetings will be held as outlined below to ensure that the programs identified in this plan are fulfilling the objectives of this plan. These meetings will provide a mechanism to enhance the integration of all interactions.
It is anticipated that the Hunan
d HUMAN FACTORS PROGRAM PLAN JULY 1983 Factors Program Plan will be updated, formally, once a year. This will be prior to the initiation of the annual budget cycle. Specifically, the following program management activities are envisioned:
Three program reviews will be conducted each year at approximately four month intervals: October, February and June.
Branch Chiefs will be asked to present the status of their respective programs.
The October review will be the yearly updating of projects accomplished during the prior fiscal year. The status of ongoing projects and current plans for the next fiscal year, consistent with available budget and resources, will be presented.
The February review will be a status update and will include a discussion of any identified requirements for new or revised projects for future fiscal years. The results of this review will be the annual revision of the Human Factors Program Plan.
The June review will emphasize accomplishments and will finalize information and data needed to update the Human Factors Program Plan for the upcoming fiscal year.
The principal program plan reviewers will be the Director, DHFS and the Director, DF0.
Senior staff members will be included.
Industry representatives with programs relevant to the plan (e.g., INP0 and EPRI) will be invited to attend and participate.
They will be asked to report the status of their programs such as job / task analyses, maintenance programs, accreditation of training, and management and organization practices.
The Director, NRR has overall responsibility for assuring that the NRC Integrated Human Factors Program Plan is properly executed.
To assist the Director in his responsibilities, a Human Factors Review Group (HFRG) will be established. The HFRG will be made up of representatives-from the Offices of Nuclear Reactor Regulation, Nuclear Regulatory Research, Nuclear Materials Safety and Safeguards, Inspection and Enforcement, Analysis and Evaluation of Operational Data, and Resource Management; a Region representative, and a representative from the' staff of the Executive Director for Operations.
The HFRG will be chaired by the NRR representative.
The Director, NRR is responsible for implementing the plan for NPPs.
Implementation of the plan for fuel cycle facilities is the respone'bility of the Director, NMSS. The human factors'research program required to meet user needs is the i
responsibility of the Director, DF0. The research will be carried out in accordance with the February 3,1982 established procedures for the NRC i
HUMAN FACTORS PROGRAM PLAN JULY 1983 research process. The HFRG will prepare quarterly staff reports which will include the status of and schedules for those plan activities that include development of specific regulatory documents, a comparison of planned and expended staff resources, and a discussion of accomplishment vs. planned ef forts.
I
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HUMAN FACTORS PROGRAM PLAN JULY 1983 SPECIAL ISSUES Several substantive concerns and issues have been identified and are discussed below.
These issues will have varying degrees of impact on all the programs described in Section III.
A.
Prioritization The staff recognizes that there must be orders of priority among the plan elements, and among activities of individual elements. While all plan elements and activities are important, some have nore immediate application to improved plant safety, or result in products which are essentia! to the conduct of related plant activities.
Among the seven plan elements, top priority is assigned to the training, staffing and qualifications, and licensing examination elements. Within each element, priorities have been assigned to the planned activities and to the end products of that element.
In general, activities and end products associated with regulatory documents will be given top priority.
B.
Regionalization The regionalization process for the human factors area has been initiated for operator licensing examinations. Additional technical review activities will be implemented by the Regions during FY-85 and beyond, including reviews of procedures, modified training programs and management. NRC headquarters will retain the responsibility for developing policy guidance for human factors issues, and will issue guidance to ensure consistency of reviews among Regions, conduct generic audits, and train regional reviewers.
Once policy guidance has been developed, sufficient time must be provided to allow adequate training of appropriate regional personnel and, to the extent needed, human factors professionals added to the regional staffs.
It is probable that except for operator licensing and emergency operating procedure (EOP) reviews, no major changes in human factors reviews will take place during the FY-83 through FY-85 time frame.
The actual number of reviews to be done by the Regions will be determined based on timing of regionalization and the resources available to the Regions to develop a review plan responsive to the headquarter's policy guidance.
C.
" Hardware" vs. " Training / Procedures" Solutions to Problems Frequently, solutions to design-related human factors problems in operating
/
NPPs are based on people-oriented changes (e.g., modifications to operator
- trainingorprocedures). While this may be an appropriate resolution of some issues, overuse of this approach may overload both operators and operator training programs. Any decisions to adopt training as a solution to a safety issue instead of a design modification must recognize and incorporate the L._m
HUMAN FACTORS PROGRAM PLAN JULY 1983 continuing cost of expanded training, increase of crew size, and increase in number of shifts in the cost / benefit evaluation.
D.
Maintenance The primary issue in the maintenance area is one of determining the need for and extent of regulatory involvement by NRR.
Risk studies, maintenance assessment activities, and incidents at NPPs have established the importance of maintenance to safety.
Program plan activities will address design for maintainability, maintenance procedures and documentation, maintenance personnel qualifications and training, preventive maintenance, maintenance work authorization and control, outage planning and management inventory control, and management of maintenance activities.
Results of these activities will indicate the extent to which regulatory attention should be focused on maintenance.
Design criteria when developed will be evaluated for use as part of rulemaking, or as a part of regulatory guidance.
E.
Simulators Simulators are used throughout.the industry for training operators.
Recently, simulator examinations have been required for initial and requalification examinations at sites with plant-specific simulators.
However, a clear regulatory position on the role of simulators, and their required level of fidelity to control room and plant design for training purposes, has not been established.
Such a position including regulatory guidance on the use of simulators in training, plant drills, and examinations will be developed on the basis of the activities of the program plan addressing simulators.
F.
Probabilistic Risk Assessment (PRA)
Human reliability data and techniques for assessing risk during NPP operations and maintenance activities are limited. Where such data and techniques exist in other fields (e.g., military, aerospace), their appli-cability or adaptability to a NPP setting are unkncwn and difficult to l
verify. RES has ongoing and planned research on methodologies and techniques l
for collecting credible NPP human error data from operating plants, training simulators, expert judgment and computer simulations; for storing, updating r
and retrieving NPP human error data; and for applying NPP human error data in human risk analysis (HRA) segments of PRAs.
It is anticipated that methods and techniques for substantially improving collection and use of NPP human error data in HRA segments of PRAs will emerge from this research during the FY 1983 through FY 1985 time frame.
G.
Advanced Technologies Existing nuclear plant designs are currently being modified to make use of I
HUMAN FACTORS PROGRAM PLAN JULY 1983 advanced technologies. Additional modifications are expected to be introduced, based on these and on developing technologies.
For example, Supplement 1 of NUREG-0737 requires that a safety parameter display system (SPDS) be provided in plant control rooms. Most of the SPDS designs are based on computer technology and cathode-ray tube (CRT) display techniques.
Since these technologies are being introduced into existing NPP designs, it i
is anticipated that these expanded data and information management capa-
)
bilities will be applied to other plant processes.
As these new control and display technologies are being developed, guidance pertinent to the interface between them and the operator will be developed.
H.
Other NRC Human Factors This plan does not include all NRC human factors activities, especially those of a unique circumstance such as the psychological effects of TMI-1 restart or the activities in NMSS.
Future revisions to the plan will incorporate additional human factors' activities within the NRC and reflect the experience and lessons learned from the application of this plan.
I.
Implementation As a rule, schedules for human f actors program plan activities (Apper. dix C) leading to regulatory end products reflect only the staff's development efforts associated with these products.
The usual end products of these activities will be recommendations for or against specific regulatory positions, a proposed regulatory position, or a proposed rule. A range of administrative processes and procedures will then be required before these end products may be implemented.
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L-
HUMAN FACTORS PROGRAM PLAN JULY 1983 III. PROGRAM ELEMENTS A major purpose of this Human Factors Program Plan is to develop the technical basis for establishing human performance criteria to support j
regulatory decisions.
The NRC, EPRI, EEI, INP0, Department of Energy (00E),
organizations in foreign countries, and individual utilities are all collecting data and information that will be useful. This section describes the NRC efforts for FY-83 through FY-85 to develop the technical bases for regulatory review for NPP Staffing and Qualifications, Training, Licensing Examinations, Procedures, Man-Machine Interface, Management and Organization, and Human Reliability.
If results of the programs indicate that new require-ments should be promulgated, such proposals will be carefully considered and subjected to all regulatory review processes. Schedules for the seven pro-gram elements are shown in Appendix C.
The numbering system of this Section corresponds to that of Appendix C.
l 1.
Staffing and Qualifications The goal of this element is to ensure that staffing is adequate for safe operation and support of NPPs. This goal will be met by developing guidelines and regulatory requirements addressing (1) the numbers and functions of NPP staff needed to safely perform all required plant operations, maintenance, and technical support activities for each operational mode; (2) the minimum qualifications of plant personnel, in terms of education, skill, knowledge, training, and fitness for duty; and (3) appropriate limits and conditions for shift work including overtime, shift duration, and shift rotation.
On January 7, 1983, the Nuclear Waste Policy Act of 1982 was signed into law (Public Law 97-425). Section 306 of the Act directs the NRC to promulgate regulations and guidance on the training and qualification of NPP personnel. The planned activities and end products of this element have been adjusted to ensure that the requirements of PL 97-425 for developing regulations and guidance addressing personnel qualification are a part of the goal.
The benefits which result from accomplishing the goal are:
- . reduced risk to the public by reducing human error based on improved operating personnel qualifications for responding to unanticipated events; reduced risk to the public by reducing human error based on improved work scheduling activities; better definition of what operators are expected to do in light of the perception that safety issues are being resolved by training / procedures modifications.
HUMAN FACTORS PROGRAM PLAN JULY 1983 The issues in this element are:
the possible impact on safety due to the lack of sufficiently qualified individuals; the need for a technical basis for developing requirements for training, experience, and education (e.g., need for college degrees).
1.1 NPP Staffing Requirements In order to determine the appropriate minimum shift staffing requirements for NPP personnel, the following activities will be performed:
survey current staffing practices of both domestic and foreign utilities to provide data required to evaluate current practices and regulations and correlate staffing levels with variables such as plant size, control room size, and plant / control' room layout (NRR/RES) (High Priority);
evaluate the need for engineering expertise on shift through determination of the functions and duties required, using results from job / task analysis and evaluation of the current shift technical advisor experience (NRR) (High Priority);
develop manpower projection and allocation models for operations, maintenance, and support functions through development of job performance measures, and collection and evaluation of job / task analysis data to provide a prediction method for' future changes in requirements or plant design and simulator experimentation (NRR/RES) (High Priority).
1.2 NPP Personnel Qualifications Requirements The implementation of SECY-82-162A, "An Integrated Plan on Shift Crew
-Qualifications" will integrate industry and NRC efforts to determine the appropriate minimum training, education, and experience requirements for
' shift operating crews. The results of the following activities will address the overall issue of NPP staff qualifications:
evaluate job / task analyses data to determine knowledges, skills and abilities needed to perform jobs and establish minimum I
qualifications requirements (RES and industry) (High Priority);
conduct simulator experiments that will yield job performance
(
measures and crew interaction results applicable to curriculum development (RES) (Medium Priority);
I HUMAN FACTORS PROGRAM PLAN JULY 1983 assess the relationship between education, training and experience requirements, and job performance to identify the trade-offs among these related factors (NRR/RES) (Me & : Priority);
evaluate the feasibility and value of licensing or certifying NPP personnel other than licensed operators (NRR/RES) (Medium Priority);
1.3 Guidance on Limits and Conditions of Shift Work In order to determine the appropriate limits and conditions of shift work, activities are planned (1) to determine the effects of varying shift duration using NPP simulators (RES); and (2) to survey and assess experience of other industries with job requirements similar to the nuclear industry with regard to shift arrangements and rotations (NRR/RES).
This effort will allow the NRC to establish trade-offs among factors affecting shift work and overall safe performance requirements.
At this time, the effects of different shift rotation schedules have not been identified as a significant cause of performance decrement or unique human error. A specific research project to evaluate shif t rotation effects will be planned if shift rotation is found to be a source of serious human factor problems.
(Medium Priority) 1.4 Maintenance Staffing And Qualification In order to determine appropriate staffing and qualifications of maintenance personnel for NPP maintenance and repair, the following activities will be performed:
identify, document and evaluate problem areas assciated with qualifications, staffin maintenance personnel (NRR) g, training and overtime of NPP (High Priority);
review complexity and criticality of selected maintenance jobs /
tasks to determine the effects of certification of maintenance personnel on plant safety (NRR/RES) (High Priority);
conduct job / task analyses for maintenance tasks and develop)a maintenance certification program.
(NRR/RES)(High Priority 1.5 Fitness for Duty The following activities will be performed in establishing fitness for duty requirements:
conduct studies to establish a technical basis for fitness for duty and access authorization requirements.
(RES)(LowPriority) e
i HUMAN FACTORS PROGRAM PLAN JULY 1983 1.6 Industry Activities fr4P0's survey of industry staffing levels and its program on job / task analysis for operating and support personnel provide a data source for developing criteria for staffing levels and qualifications of personnel.
EEI has completed work on selection testing instruments for NPP operators which will be used in NRC efforts on qualifications.
Industry connittees (ANS 3.1) are also developing reconnendations on staffing and qualifications.
1.7 End Products The products of the activities outlined in this element are:
a policy) statement on engineering expertise on shift (FY-84)(High Priority ;
a rule on licensed operator staffing at NPPs (FY-83) (High Priority);
a rule on degree requirements for operating staff (FY-83) (High Priority);
a rule on fitness for duty (FY-83) (Medium Priority);
a regulatory position regarding licensing / certification of others (FY-86)(Medium Priority);
a revised Standard Review Plan for Staffing and qualifications (FY-85)(medium priority);
assessment criteria and guidelines for utility staffing (FY-85)(medium priority);
a rule on minimum qualifications of shift crews (FY-85) (High Priority);
a rule revising 10 CFR Part 73 (FY-83) (Medium Priority);
proposed revisions to ANSI /ANS 3.1, " Selection, Qualifications and Training of Personnel for Nuclear Power Plants" (FY-85) (Medium Priority);
revision of Regulatory Guide 1.8, " Personnel, Selection, and Training" (FY-85) (Medium Priority).
Figure III-1 describes the sequence of activities leading to these end products.
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HUMAN FACTORS PROGRAM PLAN 15 -
JULY 1983 1.8 Responsibility The responsibility for implementation of the activities described in this program element is divided.
The Chief, Licensee Qualifications Branch (LQB), NRR, is responsible for the conduct of all NRR activities listed in Sections 1.1 through 1.4, identifying research and standards needs to assist in implementing the regulatory process, identifying required dates for products from research for standards, and managin9-the NRR technical assistance program.
The Chief, Human Factors Branch, RES is responsible for developing and managing the research to meet NRR requirements and for delivery of the products in a timely manner consistent with quality and programmatic constraints.
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be carried out in accordance with the February 3,1982 established procedures for the NRC research process.
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HUMAN FACTORS PROGRAM PLAN JULY 1983 2.
Training The goal of this element is to provide.means for ensuring that personnel are able to meet job performance requirements, that training properly accounts for pertinent safety issues, and that.a mechanism exists for upgrading and assuring the quality of' training programe. This goal will be met by (1) developing a training rule with supporting regulatory guidance, and (2) developing and implementing reliable and objective procedures for use by NRR and Regional Offices in assessing the adequacy and effectiveness of training
, programs. On January.7, 1983, Congress, through'the Nuclear Waste Policy Act
- of 1982 Section 306 (PL 97-425), directed the: NRC to promulgate regulations and guidance for..the training of nuclear power plant personnel. Areas to be addressed include simulator. training requi_rements, operator requalification programs, team training, instructional requirements for training programs, and the administration of-examinations. The_ planned activities and end products of this element have' been adjusted to comply with the provisions of the Act.
Implementation of PL 97-425 will mark accomplishment of much of the goaliof this element.
Th'e benefits which result from accomplishing this goal are:
reduced human errors during operation and maintenance; increased licensed operator knowledge, skill, and ability to respond to unexpected events;
--improved:cffectiveness.and efficiency of licensed and non-licensed
~
< training programs; focusing the utility training programs to the knowledges,. skills and abilities' required to operate the NPP safely;.
definition of the role of simulators in training;
_a systematic methodology for' evaluating training programs; definition of the role of team training in training programs.
The' issues in this element are:
schedules for the implementation of a Rule' and the issuance of guidance -
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for the training of. nuclear _ power. plant personnel;-
3
' extent to which accreditation can lead to reduced regulatory activities; need for a systematic approach to the development of current utility-training programs; quality and effectiveness of training as a function of number of hours
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HUMAN FACTORS PROGRAM PLAN JULY 1983 2.1 Development of Training Regulation and Guidance In response to Public Law 97-425, Section 306, NRR has initiated a program to develop regulations and regulatory guidance for the training and qualification of civilian nuclear power plant operators, supervisors, technicians and other appropriate operating personnel.
Such regulation will direct the utilities to review their training programs to assure that a systematic approach is applied to their development. A Regulatory Guide which discusses implementation of systematic approaches to training program development and criteria for evaluating the training programs will also be prepared. Where appropriate, this program will recognize the relationship to INP0's accreditation effort and INP0's effort to develop a handbook on application of systematic approaches to training. The training regulation, guidance and evaluation criteria will be developed through the investigation or application of:
systems approaches to training such as the Instructional System Development (ISD) process (NRR/RES)andtheTrainingSystem Development (TSD) process (INP0) to ensure integration of training programs (High Priority);
needs assessments from INP0 and RES that will identify knowledges, skills and abilities, and results of Task Analyses that will lead to curriculum development for licensed and non-licensed personnel training programs (NRR/RES/INP0) (High Priority);
the role of simulators, and their requisite fidelity and type, in training programs (NRR/RES) (High Priority);
the relative effectiveness of differing training methodologies to the extent they are determined uniquely different (RES) (Medium Priority).
the role of team training in training programs (NRR)(High Priority) 2.2 NRC Training Assessment Procedures In order to provide adequate criteria and procedures for performing consistent and objective reviews of NPP training programs for their compliance with the Section 306 training rule, the following activities will be performed:
develop training assessment guidelines and criteria based on a systems approach to training (NRR) (High Priority);
develop revised training inspection modules for use by Regional Offices (NRR/0ffice of Inspection Enforcement (0IE)) (High Priority);
HUMAN FACTORS PROGRAM PLAN JULY 1983 revise SRP chapter 13.2 for use by LQB staff in evaluating training programs of applicants for operating licenses (NRR)(Medium Priority);
establish a regulatory position with respect to INP0'S accreditation program (NRR)(High Priority);
examine the effectiveness of NRC-initiated training efforts (NRR)(MediumPriority).
2.3 Industry Activities INP0 has undertaken a major program to ensure the adequacy of utility training programs. This effort has resulted in the establishment of an accreditation process that will serve to enhance utility training INP0 has also developed technical reports presenting guide-programs.
lines and criteria for training and qualifications for both licensed and non-licensed NPP personnel. Their job / task analysis will identify knowledges and skills to be used as the foundation for the development of curriculum for training programs for licensed and selected non-licensed personnel.
INP0 is also preparing a handbook for industry trainers to be used in developing systems based training programs.
2.4 End Products The products of this program element will include:
a training Rule and guidance for the training of NPP personnel (FY-84) (NRR) (High Priority);
Regulatory Guides to accompany the Section 306 training Rule (FY-84) (NRR) (High Priority);
a definition of the role of simulators in training (FY-84) (NRR)
(High Priority);
Priority)y guidance for simulator certification (FY-85)(NRR regulator guidelines for Team Training (FY-84) (NRR) (High Priority);
revisions to 10 CFR Parts 50 and 55 (FY-84)(NRR)(High Priority);
.f guidelines and criteria for evaluating industry training programs for NPP personnel (FY-85) (NRR) (High Priority);
modifications to Regulatory Guide 1.8-(FY-84-85) (NRR/RES) (High
-Priority);
HUMAN FACTORS PROGRAM PLAN JULY 1983 criteria for Training Instructor qualifications (FY-85)(NRR)(High Priority);
4 revision of ANSI /ANS 3.1 (FY-85) (NRR/RES) (Medium Priority);
revised Chapter 13.2 of NUREG-0800, " Standard Review Plan" (SRP),
FY-85) (NRR) (Medium Priority);
improved 0IE inspection modules (FY-85) (NRR/0lE) (High Priority).
job performance measurement criteria and techniques for evaluating individual / team training (FY-85)(NRR)(Medium Priority);
a regulatory position with respect to accreditation '
(FY-85)(NRR)(High Priority).
Figure III-2 describes the sequence of activities leading to these end products.
2.5 Responsibility The responsibility for implementation of the activities described in this program element is divided.
The Chief, LQB, NRR, is responsible for the conduct of all NRR activities listed in Sections 2.1 and 2.2, identifying research and standards needs to assist in implementing the regulatory process, identifying required dates for products from research and for standards, and managing the NRR technical assistance program. OIE is responsible for the development of modified Inspection Modules based on input from NRR.
The Chief, Human Factors Branch, RES, is responsible for developing and managing the research to meet NRR requirements and for delivering the products in a timely manner consistent with quality and programmatic constraints.
The research will be carried out in accordance with the February 3,1982 established procedures for the NRC research process.
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HUMAN FACTORS PROGRAM PLAN JULY 1983 3.
Licensing Examinations There are two major goals of this element:
(1) to develop valid and reliable reactor operator (RO) and senior reactor operator (SR0) licensing examina-tions to ensure the adequacy of training and the capability of candidates to safely operate fiPPs; and (2) to develop and implement a standardized examining process that will ensure consistency, reliability and efficiency dCross examiners, facilities, and regions.
The benefits which result from accomplishing this goal are:
improved confidence that individuals that are licensed have those knowledges, skills and abilities required to perform on the job; better focused utility training programs; efficient use of licensee and NRC resource requirements to prepare and administer the operator licensing examinations.
The issues of concern in this element are:
modifying the examination process without unnecessary impact to current license candidates and training prograns; the need to ensure that the licensing examination is a valid measure of the operator's ability to perforn necessary tasks and functions; the need to correlate the licensing examination with improved training programs; the need for more consistent examinations and examining practices by NRC examiners; 3.1 The Examination Content In order to identify the proper content of R0 and ~SR0 licensing examinations, the following activities will be performed:
identify the R0 and SR0 tasks and duties and required knowledges, skills and abilities necessary for safe performance using available generic job / task analyses verified by subject matter experts (NRR/RES) (High Priority);
develop test specifications for licensing examinations to provide examination blueprints outlining the necessary types and levels of knowledge for safe operator (R0/SRO) performance (NRR) (High Priority);
HUMAN FACTORS PROGRAM PLAN JL'LY 1983 develop and update a computerized bank of examination questions for use in test construction and examination validation.
The bank will include a content categorization scheme linked to the job / task analysis and item analysis indices (e.g., item difficulty, discriminability) to provide feedback to examiners on test score results (NRR) (High Priority);
evaluate the feasibility of identifying / developing adequate on-the-job performance reasures for use in assessing the ability of the examination to predict operator competence (NRR/RES) (High Priority);
develop lono-tenn examination development / validation strategies based on results of current exemination modificatior.s and content validation (NRR) (Medium Priority).
3.2 The Examination Process New examination procedures will be evaluated to increase the efficiency, The reliability, and validity of the licensing examination process.
following activities will be performed:
assess the problems and issues involved in the current examination process from examiner, candidate, and utility perspectives (NRR)
(High Priority);
review examination practices ir other applicable organizations (e.g., FAA, airlines, 000, NASA, Coast Guard, and Educational Testing Service) (NRR) (High Priority);
obtain industry training staff and operator inputs on problems / issues underlying the licensing examination (NRR) (High Priority);
identify optimal format and procedures for each examination component, including:
- written (e.g., open-ended vs. objective cuestions);
- simulator (e.g., general vs. plant-specific);
oral (e.g., standardized vs. individual questions);
to provide a model for evaluating proposed changes to the current examination process (NRR/RES) (High Priority);
i HUMAN FACTORS PROGRAM PLAN JULY 1983 develop standardized examination practices and guidelines, and train examiners on test development, administration and techniques to assure consistency and reliability (NRR) (grading High Priority);
update 10 CFR Part 50 to reflect changes made in the examination and examination process (NRR) (High Priority).
3.3 Long-Term Efforts A long-term effort will be undertaken in FY-84 to apply state-of-the-art advances in testing, measurement, licensing and validation to NPP f
operator examinations. New strategies of licensing such as FAA's
" check-pilot concept" will be explored, and better training audit procedures will be used to assure candidate capability.
Technological advances in operator licensing (e.g., computerized testing systems) will be evaluated.
Objective measures of on-the-job performance, if available, will be used to evaluate the performance-based validity of any new system selected.
(Medium Priority) 3.4 Industry Activities INP0's control room operator job / task analysis will be a major input in the development of content-valid examinations and will provide a basis for attempting to establish operator performance criteria.
Plant-specific job / task analyses performed at individual sites will be used to the extent available. Utility training programs will be monitored to ensure consistency between training program curriculum and objectives, and the content and level of knowledge assessed in NRC examinations. Subject-matter experts from utility operating staffs will also be used in the development of content-valid examinations.
3.5 End Products l
l The products of this program element include:
a computerized test item bank for examiner use in developing examinations (continuing task) (High Priority);
test specifications for use as examination blueprints in l
constructing examinations (FY-84) (High Priority);
improved administrative examination procedures; oral, written and simulator (FY-85) (High Priority);
statistical analysis and content validation of examinations and test items (FY-85) (High Priority);
1.
HUMAN FACTORS PROGRAM PLAN JULY 1983 new/rovised standardized guidance and training for examiners (FY-85)
Higt, Priority);
revisions to 10 CFR Part 55 (FY-85) (High Priority);
revision of Regulatory Guide 1.149, " Nuclear Power Plant Simulators for Use in Operator Training" (FY-85) (High Priority).
long -term improvements to examinations and examination processes (FY-85) (Medium Priority).
Figure III-3 depicts the sequence of activities leading tc these end products.
3.6 Responsibility The responsibility for implementation of the activities described in this program element is divided. The Chief, Operator Licensing Branch (OLB), NRR, is responsible for assuring regulatory requirements for the near-term improvements in examinations and the examination process, for identifying research and standards needs to assist in implementing the regulatory process of examinations, identifiying required dates for products from research and for standards, and managing the NRR technical assistance program.
The Chief, Human Factors Branch, RES, is responsible for developing and managing the research to meet NRR requirements and for delivering the products in a timely manner consistent with quality and programmatic constraints.
The research will be carried out in accordance with the February 3, 1982 established procedures for the NRC research process.
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HUMAN-FACTORS PROGRAM PLAN JULY 1983 4.
Procedures The primary goal of this element is to enture the adequacy and effectiveness of plant procedures. Achievement of this goal will allow operators to maintain. plant safety functicns under all conditions, including the ability to control upset conditions without first having to diagnose the specific initiating events. This goal will be met by:
(1) developing guidelines for preparing, and criteria for _ evaluating, emergency operating, operating, and other procedures which_ affect plant safety; and (2) upgrading the procedures, training the operators in their use, and implementing the upgraded proce-
^dures.
In addition, the adequacy of the initial test program to provide operator training for off-normal events will be reassessed.
The benefits which result from accomplishing this goal are:
reduced risk to the public_ health and safety through use of procedures which increase operator's ability to control upset conditions, including degraded core conditions; a framework for evaluating and integrating procedural fixes proposed as i
the resolution to unresolved safety issues into current procedures without introducing potential error in the other procedures areas.
4.1 Procedures Guidance and Criteria This effort will provide guidance to improve Emergency) Operating Procedures (EOPs), abnormal operating procedures (A0Ps, operating procedures (ops), maintenance procedures (MPs), and procedures for emergency plan implementation, refueling, administration, safeguards, and security.
It is anticipated that the~ methods employed in the generation of NUREG-0899, " Guidelines for the Preparation of Emergency.
4 Operating Procedures" will be followed in developing guidance for other procedures.
If required, industry will develop generic technical guidelines and the NRC and industry will coordinate the development of human factors guidelines. NRR and_IE are jointly developing a revised inspection module for use by the Regions in auditing E0Ps utilizing Procedures Generation packages.
Similar inspection modules will be developed for other procedures when guidelines for their upgrading are developed. The following activities are planned:
revise the inspection module and develop associated training for Regional audit of procedures (0!E/NRR) (High Priority);
develop guidelines for implementing revisions to E0Ps (NRR)
.(Medium Priority);
HUMAN FACTORS PROGRAM PLAN JULY 1983 develop methods and evaluate the in-plant effectiveness and impact of upgraded procedures (NRR/RES) (Medium Priority);
determine need for guidelines for preparation of operation and maintenance procedures. If needed, develop guidelines (NRR)'(High Priority);
develop methodologies / criteria for evaluating E0P technical guidelines and E0Ps (kES) (Low Priority);
develop programs for upgrading other procedures (NRR) (High Priority);.
develop methods and evaluate alternative techniques and formats for presenting procedures (e.g., computerized CRT presentation) (RES)
(High Priority).
4.2 Development of Test Program NRC has completed the short-term testing objective of verifying that maximum opportunity for operator training for off-normal events is made during the initial test program.
The need for reassessing the adequacy of the initial test programs to provide operator training will be determined in FY-84. (Low Priority) 4.3 Industry Activities Owners' Groups, supported by the vendors, have developed generic E0P technical guidelines. 'INP0 and industry have prepared a detailed writer's guide for licensees and applicants to use when preparing E0Ps.
EPRI has worked to ensure that efforts regarding the safety parameter display system (SPDS) are fully integrated with the function-based E0Ps.
4.4 End Products The products of this effort will be:
guidelines for implementing revisions to E0Ps (FY-84)(Medium Priority):
the development of guidance similar to NUREG-0899 to be used by the industry to pre (High Priority) pare upgraded MPs, A0Ps,- ops, and other procedures the development of revised inspection modules for use by.the Regional Offices for evaluating E0Ps (FY-83) and A0Ps, ops, MPs, and other procedures, as necessary (FY-85) (High Priority);
a review and evaluation of the adequacy of current initial test programs to provide operator training (FY-84) (Low Priority);
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HUMAN FACTORS PROGRAM PLAN JULY 1983 the development of methodology for evaluation of generic E0Ps (FY-84) (Low Priority).
Figure III-4 descrfbes the sequence of activities leading to these end products.
4.5 Responsibility The responsibility for implementation of the activities described in this program element is divided.
The Chief, Procedures and Systems Review Branch (PTSB), NRR, is responsible for the. conduct of all NRR activities listed in Sections 4.1 and 4.2, identifying.research and standards needs to. assist in implementing the regulatory process, identifying required dates for products from research and for standards, and managing the NRR technical assistance program. The Chief, Human Factors Branch, RES is responsible for developing and managing the research to meet NRR requirements and for delivering the products.in a timely manner consistent with quality and programmatic constraints. The research will be carried out in accordance with the February 3, 1982 established procedures for the NRC research process.
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HUMAN FACTORS PROGRAM PLAN JULY 1983 5.
Man-Machine Interface (MMI)
The goal of this element is to ensure the adequacy of the MMI in all aspects of NPP operation and maintenance relative to the safe performance of the man-machine system.
This goal will be met by developing (1) human factors engineering guidelines for correcting MMI problems; and (2) regulatory guidance to assure that human factors engineering is appropriately integrated into new designs and incorporated into advanced technological improvements to existing designs.
The benefits which will result from accomplishing this goal are:
significant reduction in human errors through improvements in control rooms and plant design; efficient and effective job performance by operational personnel through improvements in control room design; enhanced (cost-efficient) operational performance and/or improved allocation of functions to man and machine; increased plant availability and safety through effective maintenance activities.
The issues in this element are:
extent to which regulatory positions should be developed for MMI issues beyond the control room; need for regulatory guidance on the use of advanced technologies.
A significant concern within this element is the issue of backfitting.
It is the position of the staff that the requirements of Supplement I to NUREG-0737 be implemented for all licensees. Other MMI issues identified in this program plan are directed at providing evaluation tools for (1) the next generation of plants, and (2) changes expected to be proposed by licensees such as upgraded systems for managing information and data and improved annunciator systems. Also, these efforts will significantly improve the capability of the staff to evaluate reactor ic::idents involving MMI errors and provide capability to evaluate advanced designs for the next generation of plants.
5.1 MMI Guidance for Existing Designs To date, regulatory attention has been primarily limited to those j
I interfaces that exist in the control room and at the remote shutdown panel. Further guidance is needed regarding:
(1) maintenance; (2) local control stations and auxiliary operator interfaces; and (3) emergency response facilities and preparedness.
Additional guidance may
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also be needed in the area of improvements to existing annunciator systems.
v HUMAN FACTORS PROGRAM PLAN 31 -
JULY 1983 Maintenance This sub-element is designed-to establish the direction the staff will follow with respect to nuclear power plant maintenance.
Significant activities are:
monitor and coordinate NRC activities related to maintenance, such as those addressing maintenance procedures, maintenance personnel qualifications and training, and MMI in maintenance activities (NRR/RES) (High Priority);
monitor maintenance improvement activities of the nuclear industry, for example, INP0's efforts on reliability-centered maintenance and EPRI's work in preventive maintenance and job performance aids (NRR) (High Priority);
develop a regulatory position addressing NRC's role in NPP maintenance (NRR) (High Priority);
develop an additional GDC addressing human factors issues in maintenance (RES) (High Priority);
develop design-for-maintainability guidance for selected maintenance areas '(NRR) (High Priority);
develop a Regulatory Guide outlining an integrated approach to the general issue of NPP maintenance (NRR/RES) (High Priority).
Local Control Stations and Auxiliary Operator Interfaces Information is required to enable the NRC to determine if guidance on local control station design and auxiliary operator interfaces with these stations should be developed.
This information will be developed through the following activitie.-
conduct jnb/ task analyses of control room crew activities to identify and describe communications and control links between the control room and auxiliary control stations (RES) (Medium Priority);
analyze auxiliary personnel functions based on control room crew task analyses to estimate the potential impact of errors to plant safety (NRR/RES) (Low Priority).
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JULY 1983 Improvements to Existing Annunciator Systems NUREG-0700, " Guidelines for Control Room Design Reviews," provides a
" standard of quality" for annunciator systems which, if incorporated, should minimize the potential for human error associated with these systems. However, some of these standards will be difficult to apply to existing control rooms except as long-term design modifications. Also, an assessment of the impact of the NUREG-0700 guidelines on operating control rooms is needed to identify possible revisions to the guidelines. The following activities are planned:
develop guidance for near-term annunciator improvements which address techniques for implementing the quality standards of NUREG-0700 (NRR) (High Priority);
determine the feasibility of an operational aid system based on a combination of generalized annunciator alarm prioritization and procedures (RES) (High Priority).
5.2 MMI Guidance for Designs Based on Advanced Technologies Existing human engineering guidelines for NPP control rooms primarily address control, display, and information concepts and technologies which are now being used in process control systems. While these guidelines are adequate for assessing and upgrading the MMIs in the current generation of NPPs, they may not be sufficient for assessing advanced and developing technologies that may be introduced into existing and future generation designs. This concern will be addressed through investigation in the areas listed below.
Computers Presently, no NRC guidance is available concerning the management of data and information in the NPP control room during abnormal events, transients, and accidents.
During FY-84, a program plan will be developed to evaluate important safety problems. Products of the program will include guidelines on control room information management during severe transients and accidents, and Regulatory Guides on information management.
(RES)(High Priority)
Advanced Controls and Displays 1
Presently 10 CFR Part 50.34(f), " Additional THI-Relai.ed Requirements,"
requires each applicant for a light-water-reactor construction permit or manufacturing license to provide, for NRC review, a control room design that reflects state-of-the-art human factor principles.
To provide staff guidance pertinent to the interface between new control and display techniques and the human operator, the following activities are planned:
HUMAN FACTORS PROGRAM PLAN JULY 1983 develop evaluation methods and design criteria related to visual displays (RES) (High Prior;ty);
establish criteria needed ior regulatory assessment of advanced control room concepts (RES) (High Priority);
initiate a program to track new and developing technologies that have potential for application in NPP control rooms (RES) (Medium Priority);
i identify control and display requirements for crew response needs subsequent to seismic events (RES) (Low Priority).
Function Allocation An integrated program plan for investigating function allocation will be developed to determine:
the NPP functions involving a human component (RES) (Low Priority);
i whether current function allocations (especially in control rooms) permit reliable performance of functions assigned to humans (RES)
(Low Priority);
identify design changes which enhance function performance (RES)
(Low Priority);-
the need to reallocate functions between the human and machine components of the NPP system (RES) (Low Priority);
which functions should be reallocated (RES) (Low Priority);
l the feasibility / desirability of applying cognitive workload measurement techniques to a selected list of operator functions (RES) (Low Priority).
The-implementatior, of this program will provide data necessary for establishing a regulatory position on function allocation and the appropriate roles of the human components.
I Advanced Annunciator Systems Advanced technologies are expected to be utilized in the development of l
improved NPP annunciator systems.
Guidelines for longer-term annunciator improvements will be developed based on an evaluation of results from EPRI, RES, Halden, and other advanced cancept activities at Seabrook and Savannah River.
(RES) (High Priority)
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HUMAN FACTORS PROGRAM PLAN JULY 1983 Safety Status Indication Based on a current project investigating means for monitoring and verifying operations, tests, and c.1intenance activities, the staff will make a preliminary determination concerning:
the adequacy of operational systems designed to be in conformance with Regulatory Guide 1.47 (NRR) (High Priority);
the comparative adequacy of status monitoring in plants that do not have automatic monitoring systems (NRR) (High Priority);
the development of long-term improvement guidance addressing the
' feasibility and value/ impact of instrumentation backfits (NRR/RES)
_(High Priority).
5.3 Industry Activities The nuclear industry has several efforts devoted ~to MMI issues.
INP0 and EPRI programs-in the area of maintenance and EPRI's work on backfitting annunciator improvements, control room enhancement, and display research for the safety parameter display system are all contributing significantly to the resolution of human factors concerns in the control room.
5.4 End Products The products of this element include:
a technical report addressing design-for-maintainability (FY-84)
(NRR) (High Priority);
a proposed regulatory position addressing the NRC's role in NPP maintenance (FY-RS)(High Priority);
a proposed regulatory position addressing local control stations and auxiliary operation interfaces (FY-84) (NRR) (Medium Priority);
ort addressing near-term annunciator improvements 1
a technical rep (High Priority);
(FY-83) (NRR) a technical report addressing long-term annunciator improvement
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recomendations (FY-84) (RES)' (High Priority);
l
I HUMAN FACTORS PROGRAM PLAN JULY 1983 a technical report on control room information management during severe transients and accidents (FY-85) (RES) (Medium Priority);
a program plan for evaluating the use of computers for data and information management in control rooms (FY-84) (RES) (Medium Priority);
a Regulatory Guide on information management methods (FY-85) (RES)
(Low Priority);
a report on the means for investigating function allocation (FY-85)
(RES) (Low Priority);
a technical report addressing safety system status monitoring (FY-83) (NRR) (High Priority);
I a report on the need for automatic system status monitoring systems (FY-83)(NRR) (High Priority);
a revision to Regulatory Guide 1.47 (FY-85) (RES) (High Priority).
Figure III-5 describes the sequences of activities leading to these end products.
5.5 Responsibility The responsibility for implementation of the activities described in this program element is divided.
The Chief, Human Factors Engineering Branch (HFEB), NRR, is responsible for the conduct of all NRR activities listed in Sections 5.1 and 5.2, identifying research and standards needs to assist in implementing the regulatory process, identifying required dates for products from research and for standards, and managing the NRR technical assistance program. The Chief, Human Factors Branch, RES, is responsible for developing and managing the research to meet NRR requirements and for delivering the products in a timely manner consistent with quality and programmatic constraints.
The research will be carried out in accordance with the February 3,1982 established procedures for the NRC research process.
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HUMAN FACTORS PROGRAM PLAN JULY 1983 6.
Management and Organization The goal of this element is to ensure the adequacy of utility management and organization for safe NPP operation. This goal will be met by accomplishment of the following objectives:
(1) develop, in coordination /
cooperation with INP0, management and organization guidance for ensuring acceptable management and organizational practices; (2) development and implement reliable objective evaluation procedures for use by the staff in assessing the effectiveness of management and organizational functions, such as operations, security, technical support, and safety review committees, and characteristics such as communications and administrative controls; and (3) develop, in coordination / cooperation with INP0, a training program for prospective plant managers, and other appropriate managers.
The benefits which will result from accomplishing this goal are:
reduction of the number and severity of issues that could lead to unsafe NPP conditions; a better focused, safety sensitized organization with resources to support technical issues; a management and organization design which is responsive to resolution of technical issues, and allocates resources and responsibility to ensure public health and safety.
The issues of concern in this element are:
lack of objective measures to assess management and organization; sensitivity of industry to regulation of their management.
6.1 Management and Organization Guidance and Regulatory Position INP0 has developed general guidance and criteria for improving the quality of NPP management and organization and has recently ini-tiated an effort to evaluate utility corporate office structures. NRC
' has recognized INP0's' plant site evaluation program by reducing the number.of Performance Appraisal Team (PAT) inspections. NRC can accept INP0's corporate office evaluations as an alternative to an expanded management and organization role for operating reactors. However, NRC needs to review and monitor INP0's corporate program.
In order to evaluate the INP0 guidance, provide recommendations to INP0, and expand the Memorandum of Understanding (M00) with INP0, the following activities will be performed:
HUMAN FACTORS PROGRAM PLAN JULY 1983 develop the basis for acceptance of INP0's criteria, including functions necessary for safe operations (Medium Priority);
prepare a detailed evaluation of INP0 Corporate Evaluation Criteria (Medium Priority);
prepare recommendations to INP0 on Management and Organization (Medium Priority);
evaluate need for a regulatory position on Management and Organization (High Priority);
develop a Regulatory Position (Low Priority).
6.2 NRC Assessment Procedures Assessment procedures will be developed to increase the reliability and consistency of the operating license management and organization reviews.
In order to develop these assessment procedures and review documents to be used by the NRC in judging the adequacy of utility management and organization, the following activities will be performed:
prepare management and organization guidelines for use by applicants for operating licenses (Medium Priority);
develop criteria and procedures for NRC reviewers (High Priority);
prepare a workbook for NRC use during site visits and in preparing an SER (High_ Priority);
l l
evaluate ISEG and Safety Review Systems (Medium Priority);
I l
review management and organization inspection modules for use by Regional Offices to determine if any revisions are necessary (NRR/0lE) (Medium Priority);
revise the SRP (High Priority);
prepare a training' plan and train technical reviewers (High Priority).
In addition, technical reviewers will be trained to improve interview capabilities.
This will involve training workshops on the use of the revised SRP and the new reviewer workbook for use while conducting site reviews.
HUMAN FACTORS PROGRAM PLAN 40 -
JULY 1983 6.3 Industry Activities As approved by the Commission, the number of PAT inspections has been reduced in recognition of similar plant evaluations conducted by INPO.
NRC review of INP0 effectiveness in this program has been arranged through an NRC-INP0 coordination plan.
INP0 has also initiated a program to evaluate utility management for plants under construction.
To date this is accomplished by self-initiated evaluations by the utilities using criteria supplied by INP0, but INP0 may conduct on-site evaluations at a later date.
INPO has also started a program of workshops for utility managers to assure that they are committed to quality work in conformance with applicable guides and regulations.
6.4 End Products The products of this program element will include:
MOU with INP0 concerning Corporate Evaluation Activity (FY-84)
(Medium Priority);
a regulatory position on Management and Organization (FY-86) (Low Priority);
NRC reviewer procedures (FY-84) (Medium Priority);
revised SRP (FY-84) (Medium Priority);
industry (developed Prospective Plant Manager training program (FY-84) High Priority).
evaluacion of ISEG (FY-83) (Medium Priority).
Figure III-6 depicts the sequence of activities leading to these end products.
6.5 Responsibility The responsibility for implementation of the activities described in this program element is assigned to the Chief, LQB, NRR. These responsibilities include the conduct of all NRR activities listed in Sections 6.1 and 6.2, identifying research and standards needs to assist in implementing the regulatory process, and managing the NRR technical f
assistance program. The Chief, Human Factors Branch, RES, is responsible for assisting with regulatory implementation to meet NRR requirements and to deliver the products in a timely manner consistent with quality and programatic constraints.
HUMAN FACTORS PROGRAM PLAN JULY 1983
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HUMAN FACTORS PROGRAM PLAN JULY 1983 7.
Human Reliability The primary goals of this element are to develop a technical support system for NRC reliability evaluations, especially the FRA programs, and to provide feedback links from operating experience to other elements of the human factors program. A secondary goal is to develop approaches for employing human error data as baseline performance measures in man-machine safety system evaluations. Goals will be met through (1) obtaining reliable human performance data and methodologies to incorporate the effects of human error into PRAs, and (2) using information on the quantitative and qualitative implications of human error for nuclear power station safety systems performance.
The benefits which will result from accomplishing these short-term goals are:
methods and techniques for acquiring reliable hun.an error data from selected field, computer modeling, expert judgn.er.t and training simulator sources; human reliability data bank concept (e.g., computerized data system) for compiling, storing, updating and retrieving human error probability data for use in NRC reliability evaluation programs, especially PRAs; analytic tools (e.g., event sequence models) for use by reliability evaluation specialists to conduct human risk analysis (HRA) segments of PRAs; procedures for developing human error baseline measures from raw human error data and/or human error probability data; methods and techniques for applying human error baseline measures in comparative evaluations of man-machine safety systems.
The. issues of imediate concern in this element are:
lack of reliable human error data available from nuclear power station related events to support NRC reliability evaluation programs such as PRA; lack of objective techniques for analyzing human errors involved in safety-related events, especially those involving redundant or interdependent actions of individuals or groups; h
lack of objective human error baseline measures for doing comparative evaluations of complex man-machine safety systems; lack of timely and consistent use of human factors data from LERs in human factors activities, thus limiting the value of lessons-learned feedback.
HUMAN FACTORS PROGRAM PLAN JULY 1983 7.1 Human Error Data Acquisition To date, nuclear power station PRAs, especially segments involving human risk, are computed using human error probabilities derived from non-nuclear settings (e.g., military weapon systems), coupled with expert judgment. Methods and techniques are therefore needed for collecting reliable human error data representative of operations, maintenance and technical support tasks performed at NPPs.
In addition, l
more effort should be applied to use the human factors data from LERs to feedback information from operating NPPs.
These data would be used in event reviews not limited to PRAs.
Research activities ongoing and planned during FY-83 through FY-85 are designed to provide NRC reliability evaluation programs with practical, acceptable and effective methods and techniques for acquiring reliable human error data from a variety of nuclear power related sources.
Significant research involves developing guidelines for acquiring human error data:
from expert judgment (psychological scaling) and employing a variety of procedures.(e.g., paired comparisons, direct numerical estimation, multi-attribute analysis), primarily involving non-control room tasks; from training simulators, primarily involving control room operators and teams undergoing qualification and requalification testing; from operating power stations using existing Licensee Event Report (LER) and Nuclear Power Reliability Data System (NPRDS) reporting systems; from operating power stations using an anonymous, non-punitive reportin System (g concept known as the Nuclear Power Safety Reporting NPSRS);
from computer modeling of power station normal, transient and emergency events, especially in the maintenance area.
7.2 Human Error Data Storage and Retrieval Human error data used to. support the PRA process is usually required in the form of human error-probability statements (errors committed divided by the number of error chances). Methods ad procedures combining raw human error data sets into probability statements, storing them, and making them available to the reliability evaluation specialist in an orderly manner are needed to support the PRA process.
l HUMAN FACTORS PROGRAM PLAN JULY 1983 Activities ongoing and planned for FY-83 through FY-85 are designed to provide the NRC with a practical, effective human reliability data bank for use in processing human error data for use by reliability evaluation specialists. Planned activities include developing methods and proce-dures for:
computing human error probability statements from diverse information sources as operating power stations, training simulators, expert judgment and computer simulations; storing, updating and retrieving human error probability statements and related information on the basis of equipment characteristics (e.g., vendor, vintage) and human characteristics (e.g., diagnose, monitor, operate, test) for use in the PRA process.
In addition, efficient and timely use of human error data contained in LERs requires that this data be encoded and entered in a data-base management system that can be used in conjunction with statistical software programs.
Planned activities include:
LER coding for human factors error data; developing software to select and display cross-classified categorical data.
7.3 Reliability Evaluation Specialist Aids A comprehensive and accurate analysis of human behavior sequences leading to recognition, diagnosis and reaction to nuclear power station normal, transient and emergency events is necessary for risk assessment.
Analytic techniques and methods for portraying adequately the human segments of those events are needed, especially events involving redundant or interdependent actions by individuals or groups. Also needed are techniques for analyzing cognitive and performance shaping factor (e.g., stress, fatigue, attitude) aspects of human behavior.
Significant research activities in this area involve:
developing techniques-(e.g., multiple sequence, common mode) for analyzing safety-related events, especially those involving redundancy and/or interdependent actions; investigating the feasibility of objectively analyzing cognitive l
and performance shaping factor aspects of human behavior within the context of NRC reliability evaluation programs, especially PRAs.
j
HUMAfl FACTOPS PROGRAM PLAN JULY 1983 7.4 Objective Baseline Perforrance Measures A potential source of objective performance measures to support rigorous evaluations of safety-related man-machine systems is human error data collected from field, training simulator, expert judgment and computer redeling media, discussed under Section 7.2 above.
Baseline measures will be compiled from the hunan error data for use in evaluating man-machine safety systems.
7.5 Industry Activities The nuclear industry (IflPO) is currently conducting a study of the feasibility of a voluntary human error reporting system.
The INPO activity focuses primarily on individual plant data which serves as a j
basis for plant retrofit. This data will be considered as another potential source of data to support reliability evaluation prograns such as PRA.
-7.6 End Products FY-83 through FY-85 products of this element include:
Human Error Data Acquisition:
procedures for estimating human error probabilities in nuclear power station operations using expert judgment (e.g., paired comparisons, direct numerical estimation, multi-attribute analysis) (FY-83 and FY-84);
procedures for computing human error probabilities fron LER and NPRDS data on power station instrumentation and electrical control functions (FY-83 and FY-84);
NPSRS for collecting human error data using a voluntary, anonymous, non-punitive approach (FY-83 and FY-84);
computer model for predicting human error probabilities on nuclear power station maintenance tasks (FY-83 through FY-85).
human reliability data bank for compiling, storing, updating and retrieving human error probability statements using an equipment V
characterization / human behavior characterization matrix approach (FY-83 and FY-84);
\\
- HUMAN FACTORS PROGRAM PLAN JULY 1983 reliability evaluation specialist aids including:
procedure for analyzing redadant and interdependent aspects of safety-related events using multiple secuence failure and comon model failure apprcaches (FY-85);
- detemining the feasibility of accounting for cognitive and performance-shaping factor (e.g., stress, fatigue, attitude) aspects of human behavior within the context of the PRA process (FY-85).
procedures for compiling objective baseline performance measures using human error data, and utilizing these reasures in man-machine safety systen evaluations (FY-85).
Figure III-7 depicts the sequence of activities' leading to the above products.
l HUMAN FACTORS' PROGRAM PLAN JULY 1983 o- -o
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Human Reliability Activity Sequence l
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A-1 APPENDIX A TMI ACTION PLAN STATUS The two tables of this Appendix present the status of the TMI Action Plan items (NUREG-0660 and NUREG-0737).
Table A-1 provides the staff review status for those items that have been or are in the process of being implemented.
The status applies to operating reactors.
For OL applicants, the status is " continuing" for all items.
Staff developmental efforts for these items are essentially complete; however, some items have been resolved on the basis of a short-term solution, and staff efforts to improve the technical quality of these solutions will continue.
These efforts are described in the individual program elements and are also repeated in Table A-2.
Table A-2 identifies those Action Plan items which are still under development, or which require additional staff action to provide technical improvement.
References are to the program element schedules given in Appendix C.
The schedules for completing these items have been compared with the recommended prioritization plan described in NUREG-0933, "A Prioritization of Generic Safety Issues." The NUREG-0933 priorities are shown in parentheses after the title of the Action Item.
The prioritization coding is as follows:
HIGH - Strong efforts to achieve practical resolution are appropriate.
MED - The potential for safety improvement may be substantial and worthwhile.
- Safety deficiency is minor and does not merit substantial attention. Little or no prospect for substantial / worthwhile improvement.
TBD - Priority not yet established.
- Implementation mandated by NUREG-0737.
- Licensing improvement issue - not prioritized.
The staff's estimated completion dates have taken into account these priorities, along with considerations of the additional time required to resolve the individual action items, and available staff resources.
A-2 Table A-1.
TMI Action Plan Status - Implementation OPERATING PRIMARY REACTOR REFERENCE REVIEW ITEM TITLE DOCUMENT STATUS
.I.A.1.1 Shif t Technical Advisor NUREG-0737 Complete I.A.1.2 Shift Supervisor Administrator Duties NUREG-0660 Complete
.I.A.1.3 Shift Manning NUREG-0737 Complete I.A.2.1 Immediate Upgrading of Reactor Operator NUREG-0737 Complete and Senior Reactor Operator Training and Qualifications I.A.2.3 Administration of Training Programs NUREG-0737 Complete I.A.3.1 Revise Scope and Criteria for Licensing NUREG-0737 Continuing Examinations I.A.4.1 Initial Simulator Improvement NUREG-0660 Complete I.B.I.2 Independent Safety Engineering Group NUREG-0737 N/A I.C.1 Guidance for the Evaluation and NUREG-0737 Continuing Development of Procedures for Transients and Accidents
'I.C.2 Shift and Relief Turnover Procedures NUREG-0660 Complete
.I.C 3 Shift Supervisor Responsibilities NUREG-0660 Complete I.C.4 Control Room ~ Access NUREG-0660 Complete I.C.5 Procedures for Feedback of Operating NUREG-0737 Complete Experience to Plant Staff i
l
A-3 Table A-1.
TMI Action Plan Status - Implementation (Continued)
OPERATING PRIMARY REACTOR REFERENCE REVIEW ITEM TITLE DOCUMENT STATUS I.C.6 Guidance on Procedures for Verifying NUREG-0737 Complete Correct Performance of Operating Activities I.C.7' NSSS Vendor Review of Procedures NUREG-0660 N/A I.C.8 Pilot Monitoring of Selected Emergency NUREG-0660 N/A Procedures for NTOL Applicants I.D.1 Control Room Design Reviews Supplement 1 In Process NUREG-0737 I.D.2 Plant Safety Parameter Display Console Supplement 1 In Process NUREG-0737 II.B.4 Training for Mitigating Core Damage NUREG-0737 In Process
A-4 Table A-2.
TMI Action Plan Status - Development APPENDIX C ESTIMATED ITEM TITLE REFERENCE COMPLET10N DATE I.A.1.1 Shift Technical Advisor (TMI) 1.2 2QFY-84 I.A.1.3 ShiftManning(TMI) 1.2, 1.4 FY-84 I.A.1.4 Long-Term Upgrade of Operating Personnel 1.3, 1.4 FY-05 and Staffing (TBD)
I.A.2.2 Training and Qualifications of Operational 1.3, 2.1 1QFY-85 Personnel (HIGH)
I.A.2.3
-Administration of Training Programs (TMI) 2.2 IQFY-85 4QFY-84 I.A.2.4.
NRR Participation in Inspector Training (LI)
I.A.2.5 Plant Drills (LO) 3QFY-83 I.A.2.6 Long-Term Upgrading of Training and 1.1, 2.1 3QFY-84 Qualifications (TBD)
I.A.2.7 Accreditation of Training Institutions 2.2 4QFY-85 (MED)
I.A.3.1 Revise Sco'pe and Criteria for Licensing 3.1 4QFY-83 Examinations (TMI)
I.A.3.2 Operator-Licensing Program Changes (MED) 3.1, 3.2 4QFY-84
.I.A.3.3 Requirements for Operator Fitness (TBD) 1.3 FY-84 I.A.3.5 Establish Statements of Understanding Continuing with INP0 and DOE (LI)
I.A.4,1 Initial Simulator Improvement (TBD) 2.1 4QFY-83 I.A.4.2 Long-Tenn Training Simulator Upgrade 2.1 FY-85 (TBD)
/
I A-5 Table A-2.
TMI Action Plan Status - Development (Continued)
APPENDIX C ESTIMATED ITEM TITLE REFERENCE COMPLETION DATE I.B.1.1 Organization and Management Long-Term 6.1 3QFY-83 Improvements (MED)
I.B.I.2 Evaluation of Organization and Management 6.1, 6.2 4QFY-83 Improvements (TMI)
I.C.6 Guidance on Procedures for Verifying 4.1 4QFY-83 Correct Performance of Operating Activities (TMI)
I.C.9
' Long-Term Program Plan for Upgrading 4.1 4QFY-84 of Procedures (MED) 1.D.3 Safety System Status Monitoring (NED) 5.2.5 4QFY-85 1.D.4 Control Room Design Standard (TBD) 5.1, 5.2 Post-FY-85 I.D.5 Improved Control-Room Instrumentation 5.2 4QFY-89 Research (TBD)
II.B.4 Training for Mitigating Core Damage (TMI) 1QFY-85
B-1 APPENDIX B HUMAN FACTORS SOCIETY RECOMMENDATIONS AND THEIR CORRELATION WITH STAFF PROGRAMS IN HUMAN FACTORS INTRODUCTION The findings of the TMI-2 Lessons Learned Task Force emphasized the impor-tance of human performance in nuclear power plant safety. Subsequently, the NRC contracted with the Human Factors Society (HFS) to develop a long range program plan which could serve as a basis for incorporating human factors considerations into NRC regulation and research activities. Beginning in December 1980, a Working Group of selected members of the Society reviewed human factors activities in the NRC and throughout the nuclear industry. A three-volume Final Report, " Critical Human Factors Issues in Nuclear Power Plant Regulations and a Recommended Comprehensive Human Factors Long-Range Plan," NUREG/CR-2833, was published and issued by the NRC in August 1982.
This appendix summarizes and compares the 51 major recommendations from the HFS report 'along with the staff's program of human factors regulatory and research activities.
NRC or industry activities (either completed or now underway) address 45 of these 51 recommendations. Activity to implement one recommendation has not yet been initiated. The staff finds another two recommendations as not being human factors activities that are applicable to this plan, and disagrees in part with three of the recommendations.
The staff disagreements relate to the Safety Parameters Display System (SPDS) and to the proper consideration of human error in Probabilistic Risk Assessment (PRA). The HFS recommends that a systems analysis be conducted to determine the need for a SPDS.
The staff does not agree, and believes that the SPDS requirements as given in Supplement.1 of NUREG-0737 are appropriate.
In the first of the remaining two disagreements, the HFS recommends reduction in the level of research being conducted relative to human error assessment. The plan continues research support.in this area, primarily to develop an adequate data base so that human reliability (and error) can be more effectively considered in PRA. Revised approaches.to human reliability in i
PRA are also being investigated.
In the second disagreement, the HFS l
recommends that research emphasis should be shifted from error modeling and i
risk' assessment to design' analysis.
The staff believes both human error risk assessment and design analysis to be important; both are included in the plan.
I L
B-2 Using the Appendix, A catalog of,the human factors recommendations are provided on the following pages. These recommendations are cross-referenced with corresponding staff activities. The explanation of the headings used to present each HFS recommendation are as follows:
Para. Page - The Society's Report, Volume 2, contains the detailed recomendations.
Paragraph and page references are listed for each recommendation.
Topic
- The title of the Recommendation as used in the Society's Report.
Following the title, these symbols are used:
H
- High importance rank is recommended by the Society for action by the NRC.
M
- Medium importance rank is recommended by the Society for action by the NRC.
L
- Low importance rank is recommended by the Society for action by the NRC.
I
- Recommendation should be following immediately.
(number)
- The number of years within which the effort should be undertaken according to the Society.
~ Status
- The status refers to the NRC current or planned action in
. response to the Society's recomendation:
Pending
- The Recommendation is under consideration at this time.
In Place - The Recommendation has been followed and the needed action has been completed.
Underway - The Recommendation is being accomplished by one or more programs in NRR and/or RES.
Disagree - Part or all of the staff do not concur with the Recommendation.
Resolution of the disagreement may take some time.
B-3 Activity Pa ra.
Page Topic Status Reference
- 4.2 General Human Factors Problem Areas 4.2.1.
292 Professional Human Factors Quali-In Place fications in Nuclear Power (H;I) 4.2.2 293 NRC Organization (H;I)
Modified Action Underway 4.2.3 294 System Integration (H;6-10)
Modified Action Underway 4.2.4 296 Safety-Related Equipment Underway 5.2.2 Classification (H;I) 4.2.5 297 Analysis and Evaluation of Underway Operational Data (H;1-2) 4.2.6 298 The Human's Role in Increasingly Underway Section Automated Systems III.5.2 4.2.7 299 Risk Assessment and Human Disagree Reliability - reduce current high level of research 4.2.8-300 Evaluation Criteria (H;I)
Underway 3.1 4.2.9 302 System Engineering of the Underway Regulatory Requirements (H;I) 4.3 Human Engineering Problem Areas 4.3.1 304 Design Induced Error a.
305 Implement NUREG-0700 as a Modified Supplement 1, Requirement; Prepare Maintain-Action NUREG-0737 ability Equivalent (H;I)
Underway 5.1.1 b.
.306 Guidelines for Emergency Underway 5.1.2 Shutdown Panel Design (M;3-5) c.
306 Guidelines for Local Control Underway 5.1.2 Stations (M;3-5)
- References are to Appendix C unless otherwise noted.
h B-4 Activity Para.
Page Topic Status Reference d.
306 Color coding study (M;6-10)
Underway 5.2.2 e.
307 Advanced display technology Underway 5.2.2 research (M;1-3) 4.3.2 307 Inconsistent Control Room and Modified Supplement 1 Plant Design Action NUREG-0737 Underway 4.3.3 308 Annunciators and Alarms a.
308 Require adherence to Section 6.3 Modified Action of NUREG-0700 (H;I)
Underway b.
309 Standard or specification for Underway 5.1.4
" traditional" annunciators (H;1-2) c.
309 Issue alarm requirements for Underway 5.1.4
" traditional" annunciators (H;1-2) d.
310 Expand system status verification Underway 5.2.5 guidelines research (H;1-3) 4.3.4 310 Design for Maintainability a.
310 Research emphasis should be shifted Disagree-both Section from error modeling/ risk assessment activities are II.G to design analysis important. Both are underway now.
b.
311 Publish engineering design criteria Underway 5.1.1 guidelines for maintenance (H;1-2) c.
311~
Sponsor studies for better Pending Section protective clothing, tools and 111.5.1 instruments (M;3-5) 4.3.5 - 311 besign Freeze - Relative merits vs. Modified Supplement 1 current ratchet process (H;1-2)
Action NUREG-0737 Underway
B-5 Activity Pa ra.
Page Topic '~
Status Reference 4.4 Problems in Procedures and Job Performance Aids 4.4.1 314 Specifications for Procedures Underway 4.1 Development - NRC to assume responsibility for non-plant-specific specifications (H;1-3) 4.4.2 314 Procedure Development Process -
Underway 4.1 Utilities to develop plant-specific guidelines, NRC to review for compliance (H;3-5) 4.4.3 315 Job Performance Aids - Establish Underway 4.1 the requirements for hard copy, electronic and computer based JPAs (H ; 3_-5 ) -
4.4.4-316 Formats for Procedures and JPAs -
Underway 4.1 Develop guidelines for acceptable JPA formats (H;1-3) 4.4.5 317 Procedure Implementation and Underway 4.1 Revision - Determine effective process for implementing (and revising 0&M procedures L;6-10) 4.4.6 318 Performance Verification - Study Underway 5.2.5 development of an automatic system status monitoring device (M;6-10) 4.4.7 318 Change of Shift Procedures -
Underway 1.1 Establish criteria for accomplish-ing effective change-of-shift procedures (H;1-2) 14.5 Personnel and Staffing Problems 4.5.1 321
-Selection - Practices and Standards a.
321 Validation of current and new Industry effort 1.4 selection procedures (H) underway. Not an NRC function.
I j._
B-6
)
i Activity Pa ra.
Page Topic Status Reference b.
322 Research on Performance Under Underway Sections Stress (H; 1-2)
III 5.1 IV.5 c.
322 Monitor and evaluate behavioral Underway 1.2 reliability problem (M) d.
322 Research new technology testing Underway 1.2 procedures (L;6-10) 4.5.2 323 Operator Certification and Licensing a.
324 Develop objective performance Underway 1.2 standards (H;1-2) b.
324 Research to develop specific Underway 1.2 qualification requirements for non-licensed personnel (H;1-2) c.
325 Develop methods to assess and Underway 2.2 track in-plant training programs (L;6-10) d.
325 Experience requirements for Underway 1.2 qnlification of R0s, SR0s and SSs, and bases for trading experience and education (M;1-2) 4.5.3 325 Staffing and Organizational Underway 1.2 Characteristics - Develop criteria for assessment of staffing and organizational variables effects (M;3-5)-
4.5.4 327 Shift Duration nd Rotation -
Underway 1.3 Determine whether and under what conditions operator performance deteriorates.
Identify sensitive variables.
Add to LER system (H;1-2)
B-7' Activity Pa ra.
Page Topic Status Reference 4.5.5 330 Factors Affecting Job Industry effort 1.4 Satisfaction - Establish recent underway.
Not turnover rates, and, if excessive, an NRC function.
identify causes and changes
.needed to reduce them (H;I) 4.6 Problem Areas in Training 4.6.1 333 Instructional System Development a.
335 Establish NRC coordinator In Place NRR/DHFS/
for training-related R&D efforts LQB Section (H;I)
Leader b.
335 Publish a Regulatory. Guide Underway 2.2 for Instructional System Development (ISD) procedures (H;1-2) c.
336 Research in retention of critical Underway Section skills and knowledges (H;3-5)
III.2.1 4.6.2 336 Licensed Personnel Training -
In Place Sections Adopt the recommendations of III.2.1 NUREG/CR-1750, Section 2.10 111.2.2 (H;I) 4.6.3 338 Non-Licensed Personnel Training -
Underway 2.1 Adopt the reccmmendation of NUREG/CR-1750.Section 2.10 for-non-licensed personnel (H;l)
.4.6.4 340
' Training Equipment - Publish a Underway 2.1 Regulatory Guide for certification of training simulators and other training devices (H;1-2) 4.7 Incident Response Plan and NRC Facilities 4.7.1 343 Incident Response Plan - Conduct Underway 5.1.3 l
a systems-analysis'to identify behavioral ~ and human factors l
issues affecting planning for response to emergencies (M;1-2)
.w
i B-8 Activity Pa ra.
-Page Topic Status Reference 4.7.2 346 NRC~ Headquarters Operations Underway Center and Regional Facilities -
by 0IE Systems analysis to derive human performance requirements for incident response need and facilities (H;1-2) 4.7.3 347-Utility Emergency Response Underway-5.1.3 Facilities - Conduct systems by OIE analysis to determine human factors needs for ERFs (H;1-2) 4.7.4 350-Safety Parameter Display System
~
a.
352 Conduct systems analysis to Disagree Supplement 1 determine the need for a SPDS SPDS Required NUREG-0737 (H;I) by Supplement 1 ito NUREG-0737 1
C-1 APPENDIX C PROGRAM ELEMENT SCHEDULES 1.0 Staffing and Qualifications C-2 2.0 Training C-4 3.0 Licensing Examinations C-5 4.0 Procedures and Testing C-6 5.0 Man-Machine Interface C-7 6.0 Organization and Administration C-9 7.0 Human Reliability C-10 i
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PROGRAM PLAN FY 23 FY84 FYals 3.0 LICENSING EXAMINATIONS responsible office Q3 04 Q1 02 03 04 Q1 02 Q3 04 Q1 Q2 03 04 3.1 The Examination Content Conduct jon/ task analyses.
RtS Identify content and knowledge tfomain for licensing examinations based on job /tdsk analyses.
NRR Develop test specifications.
NRR Update test specifications.
NRR Develop. update and maintain computerized question bank.
NRR Content analysis and statistical evaluation / validation of examination and test items.
NRR 3.2 The Examining Process Assess problems / issues of current examinations.
NRR Review examination practices in related organizations.
NRR Identify optimal format and procedure; for each examination 7
component (examination strategy) and make modifications.
NRR Develop standardized guidance and training for examiners.
NRR Revise 10 CFR Part 55.
NRR/RTS Revise Regulatory Guide 1.149.
NRR/RES l
3.3 Long-Term Efforts long-term examination development and validation.
NRR l
Identification of on-the-job performance criteria.
NRR/RES 3.4 Industry Activities Conduct job / task analyses.
INPO Conduct plant-specific job / task analyses.
Ir1DUSTRY Industry input on examinations and enemination processes.
1100STRY l
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NRR Detailed evaluation of 14PO corporate review criteria.
MRR Staf f paper - Evaluation of INPO implanentation.
MRR Evaluate need for regulatory position.
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NRR/RES 6.2 Development of NRC Assessment Procedures Prepare review guidelines for Ols.
NRR Develop criteria for hRC reviewers.
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NRR Prepare and pubitsh NRC reviewer procedures.
NRR Evaluate ISEG and safety review systems.
NRR Revise SRP Chapters 13.1 and 13.4.
NRR Propose / assist in revisions to l&E modules.
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FRR 6.3 Industry Activities Evaluate program for corporate management.
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BIBLIOGRAPHIC DATA SHEET NUREG-0985, Vol. 1 4 TITLE AND SUBTtTLE (Adc9 Volume No.. of woroproser)
- 2. (Leave mask)
U.S. Nuclear Regulatory Commission Human Factorr Program Plan
- 3. RECIPIENT'S ACCESSION NO.
7 \\U T HO R IS) 5 DATE REPORT COMPLE TED July I M3
"~"
9 PE RF ORMING ORGANIZATION N AME AND M AILING ADDRE SS IInclude I,o Code /
DATE REPORT ISSUED Division of Human Factors Safety
^a Office of Nuclear Reactor Regulation August I"1983 U.S. Nuclear Regulatory Conmission 8 '** "'"
Washington, D.C.
20555
,,(,,,,,,,,,
- 12. SPONSORING ORGANIZATION N AME AND MAILING ADDRESS (Include lip Codel p
Same as 9, above.
,,y go 13 T Y PE OF RE PO R T PE RiOO COV E RE D (inclus.ve dates /
Program Plan N/A 15 SUPPLEMENTARY NOTES 14 (Leave o/m1*J 16 ABSTR ACT (200 words or lessJ The Human Factors Program Plan has been developed to ensure consideration of human factors in the design, operation and maintenance of nuclear facilities.
This initial plan addresses nuclear power plants and describes staff development activities planned to (1) provide technical bases for resolution of the remaining human factors related tasks described in NUREG-0660 and NUREG-0737, and (2) investigate and resolve additional human factors problems that have been identified since publication of NUREG-0660 and NUREG-0737. The Plan has seven major program elements:
(1) Staffing and Qualifications
- 2) Training, (3) Licensing Examinations, (4) Procedures, (5) Man-Machine Interface,
- 6) Management and Organization, and (7) Human Reliability. Activities within these program elements are directed to providing technical bases for developing guidance to the nuclear industry, improving staff capabilities to perform licensing activities, and supporting staff recommendations regarding the degree of regulation required to resolve technical issues. Appendixes to the Plan describe the status of TMI Action Plan human factors issues, staff responses to recommendations provided by the Human Factors Society, and schedules for the seven program elements. This edition (Volume 1) of the Plan describes activitics in progress and planned for Fiscal Years 1983 - 1985.
- 17. KE Y WORDS AND DOCUME NT AN AL YSIS I 7a DESCRIPTORS l
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