ML20098D997
| ML20098D997 | |
| Person / Time | |
|---|---|
| Issue date: | 09/30/1984 |
| From: | Office of Nuclear Reactor Regulation |
| To: | |
| References | |
| NUREG-0985, NUREG-0985-R01, NUREG-985, NUREG-985-R1, NUDOCS 8409280095 | |
| Download: ML20098D997 (62) | |
Text
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I NUREG-0985 Rev.1 U.S. Nuclear Regulatory Commission Human Factors Program Plan U.S. Nuclear Regulatory Commission Office of Nuclear Reactor Regulation p" "%,
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' NOTICE Availability of Reference Materials Cited in NRC Publications -
W Most d uments citad in NRC publications will be available from one of the following sources:
- 1. The NRC Public Document Room,1717 H Street, N.W.
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Washington, DC 20555
- 2. The NRC/GPO Sales Program, U.S. Nuclear Regulatory Commission, Washington, DC 20555
- 3. The National Technical Information Service, Springfield, VA 22161 Although the listing that follows represents the majority of documents cited in NRC publications, it is not intended to be exhaustive.
Referenced doIuments available for inspection and copying for a fee from the NRC Public Docu-ment Room include N RC correspondence and internal N RC 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 corres'pondence.
The following documents in the NUREG series are available for purchase from the NRC/GPO Sales l
Program: formal NRC staff and contractor reports, NRC-sponsored conference proceedings, and NRC booklets and brochures. Also available are Regulatory Guides, NRC regulations in the Code of Federal Regulations, and Nuclear Regulatory Commission hsuances.
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September 13, 1984 ERRATA SHEET FOR NUREG-0985, VOLUME 1 U.S. Nuclear Regulatory Comission Human Factors Program Plan August 1983 Please delete. Volume 1 from the above report.
It is ~an erroneous identifier. A revision to this report will be done annually.
DIVISION OF TECHNICAL INFORMATION AND DOCUMENT CONTROL l
NUREG-0985 Rev.1 1
U.S. Nuclear Regulatory Commission Human Factors Program Plan MInuscript Completed: July 1984 Dita Published: September 1984 Office of Nuclear Reactor Regulation U.S. Nuclear Regulatory Commission Washington, D.C. 20665 p.>== m,,
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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 issued in July, 1983.
The Plan has been further revised to reflect allocations of the estimated FY 1985 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, Revision 1.
RQsponsibility 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 suggestions 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 Page I.
INTRODUCTION.........................
1 II.
SPECIAL ISSUES........................
5 III.
PROGRAM ELEMENTS.......................
8 1.
Staffing and Qualifications...............
8 2.
Training 11 3.
Licensing Examinations 16 4.
Procedures-23 5.
Man-Machine Interface..................
27 6.
Management and Organization...............
35
)
7.
. Human Reliability....................
40 APPENDIX A PROGRAM ELEMENT SCHEDULES A-1 P
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V
NOMENCLATURE AE00 Office of Analysis and Evaluation of Operational Data AI Artificial Intelligence ANI American Nuclear Insurers ANS American Nuclear Society ANSI American National Standards Institute A0P 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 OHFS Division of Human Factors Safety DOE Department of Energy EDO 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 HRS Human Risk Analysis INP0 Institute for Nuclear Power Operation ISD Instructional System Development ISEG Independent Safety Evaluation Group JPA Job Performance Aid LER License Event Report LMFBR Liquid Metal Fast Breeder Reactor LQB License Qualifications Branch LWR Light Water Reactor MAN / MACH Man-Machine MGMT & OPG Management and Organization MMI Man-Machine Interface MOV Memorandun of Understanding MP Maintenance Procedure NASA National Aeronautics and Space Agency NMSS Office of Nuclear Materiai 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 I
vii L
Nomenclature (Continued)
NSSS Nuclear Steam Supply System i
NUMARC Nuclear Utility Management and Human Resources Committee OIE Office of Inspection and Enforcement 0&M Operations and Maintenance OL Operating License OP Operating Procedure CR Operating Reactor ORM Office of Resource Management PAT Performance Appraisal Team i
PRA Probabilistic Risk Assessment PROC Procedures PTSB Procedures and Systems Review Branch PWR Pressurized Water Reactor QA Quality Assurance R&D Research and Development RES Office of Nuclear Regulatory Research R0 Reactor Operator SALP dystematic Appraisal of Licensee Performance SAT Systems Approach to Training SPDS Safety Parameters Display System SRE Safety-Related Emergency SR0 Senior Reactor Operator SRP Standard Review Plan SS Shift Supervisor STAFF & QUAL Staffing and Qualifications TSD Training System Development l
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viii
HUMAN FACTORS PROGRAM PLAN July 1984 I.
INTRODUCTION PURPOSE The purpose of the NRC Human Factors Program Plan (NUREG-0985) is to ensure that proper consideration is given to human factors in the design, operation, and maintenance of nuclear facilities. This revised plan addresses nuclear power plants (NPPs) 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, "Clarifica-tion of TMI Action Plan Requirements;" (2) the additional human factors efforts identified during implementation of the Action Plan that should receive NRC attention; (3) conduct of developmental activities specified in NUREG-0985 during FY-83; and (4) the impact of Section 306 of the Nuclear Waste Policy Act of 1982, PL 97-425.
The plan represents a systematic and comprehensive approach for addressing human factors concerns important to NPP safety in the FY-84 through FY-86 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 ard operation.
NUREG-0660 described a number of tasks to be performed by the nuclear 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.
An analysis of Licensee Event Reports (LERs) indicates that about one third of all reportable events directly involve human perfor-mance either as human error or as enhanced safety by effective human perfor-mance.
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." Currently, licensing reviews have resulted in 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; l
review of training programs for both licensed and non-licensed NPP l
staff to ensure that personnel are able to meet existing job l
performance requirements; l
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. July 1984 HUMAN _ FACTORS PROGRAM PLAN,
- review of licensing examinations to ensure validity, reliability, and fairness of examinations and the examination process; i
review of procedures to ensure their adequacy and' effectiveness; review of NPP control rooms and remote shutdown panels to ensure that they are designed to facilitate the man-machine interface (P911);
review of utility management and organization to ensure its adequacy to support safe NPP operation; review of the impact of human error and human reliability; review of the impact of maintenance on NPP operation and safety.
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, and upgraded procedures, including training related to these two areas.
This effort will be the major focus for human factors activities for
. operating plants during the next three yects.
The schedule for accomplishing these activities has been established through negotiation between Office of-Nuclear-Reactor Regulation (NRR) Project Managers and the utilities.
Section 306 of the Nuclear Waste Policy Act of 1982, PL 97-425, directed the NRC to promulgate regulations or other appropriate guidance for the training and qualifications of civilian nuclear power plant operators, supervisors, technicians and'other appropriate operating personnel.
In addition, PL 97-425 required NRC to establish simulator training requirements for applicants for operator licenses and for operator requalification programs, requirements governing NRC administration of requalification examinations, requirements for operating tests at civilian nuclear power plant simulators, and instructional requirements for licensee personnel training programs.
The impact of Section 306 required significant revisions in the activities and schedules of many Human Factors Program Plan efforts.
This revision reflects those changes.
PROGRAM PLAN AND RESOURCES The Human Factors Program Plan is structured as follows:
Section I describes the background that led to this plan, current activities, and program management.
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.
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i-HUMAN FACTORS PROGRAM PLAN July 1984 L
Section III addresses the seven major program elements to be addressed in FY-84 through FY-87.
Staffing and Qualifications Training Licensing Examinations Procedures Man-Machine Interfaces
. Management _and Organization Human Reliability 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 Generie Requirements (CRGR).
Appendix A provides the schedule of activities for each of the 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 (INPO),
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 INPO, EPRI, EEI, Owners' Groups, and individual utilities often provide essential information to complement the activities described.
To assure that available information is effectively and efficiently used, these activities, and those at other federal agencies and in foreign countries, will be coordi-nated and integrated with those described in this plan.
Memoranda of Under-standing (M00) with INP0 have been signed for those industry activities.which will affect staff efforts.
Interaction between NRR, RES, and other NRC Offices, NRC contractors and the industry is also necessary to ensure program success.
Each program element is reviewed at a working level meeting held quarterly to ensure that the programs identified in this plan are fulfilling the objectives of this plan.
These i
HUMAN FACTORS PROGRAM PLAN July 1984 meetings provide a mechanism to enhance the. integration of all activities.
The Human Factors Program Plan is updated, formally.at least once a year.
This will be prior to the initiation of the annual budget cycle.
Specifically, the following program management activities are conducted:
Three program reviews will be conducted each year at approximately four month intervals: October, February and June.
Branch Chiefs will present the status of their respective programs.
The October review is 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 is 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 emphasizes accomplishments and will finalize infor-mation and data collection 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, DRA.
Senior staff members will be included.
Industry representatives with programs relevant to the plan (e.g.,
INP0 and EPRI) are 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 rr,gonsibility for assuring that the NRC Human Factors Program Plan is properly executed.
To assist the Director in his responsibilities, a Human Factors Review Groep (HFRG) has been established.
The HFRG includes representatives from the Gffices 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 representatives from the staff of the Executive Director for Operations.
The HFRG is chaired by the NRR representa-tive. The Director, NRR is responsible for implementing the plan for NPPs.
Implementation of the plan for fuel cycle facilities is the responsibility of the Director, NMSS.
The human factors research program required to meet user needs is the responsibility of the Director, RES.
The research will be carried out in accordance with the February 3, 1982 established procedures for the NRC research process.
A quarterly staff report is prepared for the Commission which includes 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 efforts.
HUMAN' FACTORS PROGRAM PLAN' -
July 1984 II.
SPECIAL ISSUES Several substantive concerns and issues have been identified and are discussed zbelow. _These issues will have varying degrees of impact on all the programs described in Section III.
A.
Prioritization The staff recognizes that th;re 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 more immediate application to improved plant safety, or result in products which are essential to'the conduct of related plant activities.
Among the eight plan elements, top priority is assigned to the training, staffing and qualifications, licensing examination, i
and maintenance elements. Within each C ement, priorities have been assigned to the planned' activities and t::, we end products of that element.
In general,
. activities and end products associated with regulatory actions will be given top priority.
B.
" 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 training or procedures). While this may be an appropriate resolution of some issues, overuse of this approach may overload both operators and ope'rator training programs.
Any decisions to adopt training as a solution to a safety issue instead of a design modification must recognize and incorporate the continuing cost of expanded training, increase of crew size, and increase in number of-shifts in the cost / benefit evaluation.
C.
. Maintenance The primary issue in the maintenance area is one of determining the need for and extent of regulatory involvement by NRR.
The NRC is currently developing a Maintenance and Surveillance Program Plan which considers maintenance and possible regulation action.
Risk studies, maintenance assessment activities, L
and incidents at NPPs have established the importance of maintenance to safety.
The_ Maintenance program plan activities will address design for maintainability, 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 mainte-
. hen the Maintenance and Surveillance Program Plan is approved those W
nance.
human factors aspects'of maintenance will be included as a Maintenance element-i of the Human Factors Program Plan.
D.
Simulators Simulators are used throughout the industry for training operators.
In response l
to PL 97-425, examinations at simulator facilities will be required for initial and requalification examinations.
A clear regulatory position on the role of simulators, and their required level of fidelity to control room and plant i
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HUMAN FACTORS PROGRAM PLAN
-G-July 1984 l
design for examination purposes, is being established.
Such a position including i.
regulatory guidance on the use of simulators in examinations is being developed
.in the program plan element, Licensing Examination.
l E.
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 applicability or adapta-bility to a NPP setting are unknown and difficult to verify.
RES has ongoing and planned research on methodologies and techniques for collecting credible NPP human error data from operating plants, training simulators, expert judgment and computer simulations; for storing, updating and retrieving human error data; and for applying NPP human error data in human risk analysis (HRA) segments of PRAs. Methods and techniques for substantially improving collection and use of NPP human error data in HRA segments of PRAs are emerging from this research during the FY 1983 through FY 1986 time frame.
F.
Advanced Technologies Existing nuclear plant designs are currently being modified to make use of advanced technologies.
Additional modifications are expected to be introduced, based on these and on developing technologies.
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 is anticipated that these expanded data and information management capabilities 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.
The development of computer applications and Artificial Intelli-gence (AI) capabilities will effect process control and operating and main-tenance procedures.
G.
Human Factors Aspects of Quality Assurance The NRC was directed by Congress in Sect 0 13(b) of Public Law 97-415 (the NRC Authorization Act for fiscal years
% and 1983) to conduct a study of existing and alternative programs for improving quality assurance and quality control in the construction of nuclear power plants.
In SECY-84-124, the NRC staff reported to Congress the results of that study.
The staff is currently preparing a Quality Assurance implementation plan which is due to the Commission in September 1984.
Human Factors issues are also related to quality assurance (QA) in many ways.
Adequate staffing and qualifications of QA personnel in I
NPPS, training in QA for NPP personnel and NRC inspectors, procedures to be used to assure quality, human engineering of QA inspection techniques and test equipment, and management of QA, all involve human factors considerations.
When the QA implementation plan is approved the appropriate human factors aspects of quality and quality assurance will be included as part of this Human Factors Program Plan.
HUMAN FACTORS PROGRAM PLAN July 1984 H.
Nuclear Industry Management Initiatives The Nuclear Utility Management and Human Resources Committee (NUMARC) was estab-lished by the utility industry in April 1984 with an objective of improving per-formance of nuclear power plant personnel and management.
NUMARC. activities will need to be incorporated in the HFPP, especially the program alements for Staffing and Qualifications, Training, and Management and Organization.
Initiatives by NUMARC will be included in the Plan as they are developed and will be included in more detail in the next revision of the Plan.
I.
Implementation Schedules for human factors program plan activities (Appendix A) 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 recom-mendations for or against specific regulatory positions, a proposed regulatory guide or a proposed rule.
A range of administrative processes and procedures will then be required before these end products can be implemented.
i
i HUMAN FACTORS PROGRAM PLAN ' July 1984 III.
PROGRAM ELEMENTS A major purpose of this Human Factors Program _ Plan is to develop the technical basis'for establishing human performance criteria to suppoet regulatory deci-sions.
The NRC, EPRI, EEI, INPO, Department of Energy (DCi!), organizations in foreign countries, and individual utilities are all collecting data and infor-mation that will be useful.
This section describes the NRC efforts for FY-84 through FY-86 to develop the technical bases for regulatory review of 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 requirements.should be promulgated, such proposals will be carefully considered and subjected to all regulatory review processes.
Schedules for the program elements are shown in Appendix A.
The numbering system of this Section corresponds to that of Appendix A.
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; (2) the minimum qualifications of plant personnel, in terms of education, skill, knowledge, training, experience and fitness for duty; and (3) appropriate limits and conditions for shift work including overtime, shift duration, and shift rota-tion.
On January 7, 1983, the Nuclear Waste Policy Act of 1982 was signed into law (Public Law 97-425).
Section 306 of the Act directed the NRC to promulgate regulations and guidance on the training and qualifications of NPP personnel.
The planned activities and end products of this element have been adjusted to support development of proposed new requirements.
The benefits which result from accomplishing the goal are:
optimum NPP personnel staffing based on operating needs and emergency resource requirements reduced risk to the public by reducing human error through improving capability of NPP personnel to respond to unanticipated events; i
reduced risk to the public by reducing human error through improved work scheduling activities.
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 use in developing requirements on experience and education (e.g., need for college degrees for nuclear power plant personnel);
l
HUMAN FACTORS PROGRAM PLAN July 1984s the need for methods to evaluate licensees' proposed staffing and qualifications programs.
1.1 NPP Staffing Requirements In order to determine the appropriate minimum shift staffing requirements for NPP_ personnel, the following activities will be performed:
develop a method to determine shift crew staffing requirements.
The method will establish staffing criteria from a systematic analysis of the functional requirements of the control room tasks and the operator action event sequences as defined by Level II PRA.
A workbook or checklist for the application of the method to evaluate staffing levels will be developed for NRC use.
(RES) (Medium Priority);
based on the results of the development of criteria for evaluating shift crew staffing levels, the feasibility of using manpower projection modeling techniques to determine optimum NPP staffing levels will be investigated.
(NRR/RES) (Medium Priority);
1.2 NPP Personnel Qualifications Requirements In order to determine the appropriate minimum qualification requirements for NPP personnel, the following activities will be performed:
evaluate job / task analysis data to determine knowledges, skills and abilities needed to perform jobs and establish minimum personnel qualifications requirements.
(RES and industry) (High Priority);
conduct simulator experiments and field data collection on operating crew response to normal, off normal and emergency conditions to identify the effect of crew member qualifications on job performance.
(RES) (High Priority);
determine effectiveness of engineering expertise on shift as implemented by the policy statement.
(NRR) (High Priority);
identify job related qualifications for the operations shift crew.
(NRR) (Medium Priority);
evaluate the feasibility and value of licensing or certifying NPP personnel other than licensed operators.
(NRR) (Medium Priority);
develop a regulatory position for licensing or certifying personnel other than licensed operators.
(NRR) (Medium Priority);
develop rule on degree requirements for operating staff (NRR) (!!adium Priority);
revise and evaluate changes to Regulatory Guide 1.8.
(NRR/RES)
(High Priority);
HUMAN FACTORS PROGRAM PLAN July 1984 develop a means to evaluate the acceptability of NPP personnel qualifica-tions programs.
(RES) (Medium Priority);
develop guidance and/or regulation concerning operating experience on shift.
(NRR) (High Priority).
- 1. 3 Guidance on Limits and Conditions of Shift Work 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. shift rotation effects will be planned if shift rotation is found to-be a source of serious human factors problems.
In order to determine the appropriate limits and conditions of shift work, the following activities are planned:
survey and assess experience of other industries which have job require-ments similar to the nuclear industry with regard to shift duration, shift arrangements and rotations on personnel performance (NRR/RES)
(Medium Prority);
evaluate the current NRC policy statement on overtime (NRR) (Medium Priority);
prepare a policy statement or, limits and conditions of shift work (NRR)
(Medium Priority).
1.4 Fitness for Outy Revise 10 CFR 50.54 to include fitness for duty and revise 10 CFR Parts 50 and 73 (" Insider Rule") (RES) (Low Priority).
- 1. 5 Industry Activities INP0's survey of industry staffing levels and its program on job / task analysis for operating and support personnel provida a data source for developing cri-teria for personnel staffing levels.
EEI has completed work on selection testing instruments for NPP operators which will be used in NRC efforts on qualifications.
An industry committee (ANS 3.1) is also developing recommenda-tions on staffing and qualifications.
l
- 1. 6 End Products I
The products of the activities outlined in this element are:
t a policy statement on engineering expertise on shift (FY-85) (High Priority) revision of Regulatory Guide 1.C, " Personnel Qualification and Training" (FY-85) (High Priority);
a rule on degree requirements for a member of the shift staff (FY-85) (High Priority);
1
)
HUMAN FACTORS PROGRAM PLAN July 1984
_a rule or guidance on operating experience on shift (FY-86) (High Priority);
a rule on fitness for duty (FY-84) (Low Priority);
a regulatory position regarding licensing / certification of others (Ff-86)
(Medium Priority);
a revised Standard Review Plan for staffing and qualifications (FY-86)
(Medium Priority);
assessment criteria and guidelines for NPP personnel staffing qualifications (FY-86) (Medium Priority);
a report on jou-related qualifications of operating shift crews (FY-85)
(Medium Priority);
a rule revising 10 CFR Part 73 (FY-86) (Low Priority).
Figure III-1 describes the sequer.n of activities leading to these end products.
1.7 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 A, identifying research and standards needs to assist in implementing the regulatory process, identifying required dates for products from research for standards, and managing the NRR technical assistance program.
The Chief, Human Factors and Safeguards 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.
The research will be carried out in accordance with the February 3, 1982 estab-lished procedures for the NRC research process.
2.
Training The goal of this element is to provide means for ensuring that nuclear power plant personnel are able to meet job performance requirements and that a ruechanism exists for assessing and improving the quality and effectiveness of training programs.
This goal will be met by (1) promulgation of a proposed training and qualifications rule with supporting regulatory guidance, and (2) development and implementation of reTiable, objective procedures for use by NRR and the Regions in inspecting training programs.
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.
A rule and regulatory guidance have been proposed (SECY 84-76) to respond to that mandate. Section 306 of PL 97-425 further requires that the NRC address simulator training requirements, operator requalification programs, instruc-tional requirements for training programs, and the administration of examina-tions. The concept underlying the proposed rule, the Systems Approach to Training, provides a logical method of integrating the major aspects of all the areas to be addressed.
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1.2.3 policy statement on engineering espertise on shif t.
Evaluate effectiveness of 1.2.4 Policy Statement.
C Develop rule on degree requirements for operating staff.
(,1.2.g 8
c 1.5.6 Imptlmentation Casework 1.2.12 Develoo a means _to evaluate acceotability of NPP persondel j
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Develop guidance and/or regulation en operating espertence ca shift.
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, 1.2.11 Review and evaluate lupo good practice manuals. _
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FY 84 FY 85 FY 86
z 1.0 S&Q Continued n
I 1.3 Lunsts and Condetsons of Shif t Work n
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m 23 1.3.1 Evaluate the effects of shif t duration, shif t
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arraaoements and shtf t rotation on operat'or "U
"f1 perf orma nce.
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1.3.2 Evaluatten c6erent policy statewnt on overtime.
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,,1.3.3 Prepare policy statement on limits and n
conditions of snif t work.
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to 84 31 Revtse 10 CFR Part 50.54 and to CFR
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Parts 50 and 73.
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,1.5.1 Industry staffing practices survey.
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1.5.3 Selection criteria for NPP operators.
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1 ANS 3.1 conent ttee recereendations.
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.5.4 O
a Good practice manuals.
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(,,1.5.5 w
1.5.6 NUMARC initigt<ves.
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C-e FY84 l
FY 85 l
FY 86 0D+
HUMAN FACTORS PROGRAM PLAN July 1984-Benefits anticipated as a result of accomplishing this goal are:
~
reduced human-errors during operation and maintenance; increased licensed operator knowledge, skill, and ability necessary to respond to unexpected events; k
improved effectiveness and efficiency of licensed and non-licensed training programs; increased focus by utility training programs on performance-based i
knowledges, skills and abilities required to safely operate the NPP:
improved audit trail and methodology for evaluating training programs.
.2 Issues associated with this element are:
i difficulties of meeting accelerated schedules for promulgation of the rule and regulatory guidance; I
resolution of the question of the extent to which INP0 Accreditation can be an acceptable alternative for meeting the requirements of the rule.
2.1 Development of Training Regulation and Guidance j
In response to PL 97-425 Section 306, NRR has developed a proposed regulation (SECY 84-76) and regulatory guidance for the training and qualifications _of civilian nuclear power plant operators, supervisors, technicians and other appropriate operating personnel.
The proposed regulation directs the utilities to use a Systems Approach to Training (SAT) in developing revisions to their training programs.
In addition, NRR has developed a proposed Regulatory Guide i
which discusses-the essential elements of SAT.
Implementation requirements for the proposed rule and the accompanying regulatory guioance recognize the relationship to INP0's training accreditation effort and INP0's ongoing effort to develop detailed guidance on implementation of the SAT process.
The follow-4 l
ing activities are planned:
a development of a training regulatory package to implement Section 306, i
PL 97-425, to include revisions to 10 CFR Part 50, a training regulatory guide on the application of SAT to NPP training and revisions to Regula-tory Guide 1.8 (NRR/RES) (High Priority);
develop and publish a NUREG for team training (NRR) (Low Priority);
determinaLion of the qualifications needed and a regulatory position for utility Training Instructors (NRR) (Medium Priority);
h based upon job and task analysis data, review existing training requirements to eliminate excessive regulatory requirements (NRR) (Medium Priority);
conduct operator personnel task analyses and analyze collected data to determine the need for-training regulation (RES) (Medium Priority);
i
HUMAN FACTORS; PROGRAM PLAN. July 1984 11dentify training needs of operators for accident management (RES).(High Priority);
conduct simulator experiments to support regulatory positions on training (RES) (Low Priority).
2.2 NRC Training Evaluation Program In order to provide adequate criteria and procedures for enforcement of the proposed training rule (SECY 84-76), the following activities are planned:
development of-_ training evaluation procedures derived from SAT. (NRR)
(High Priority);
development of revised inspection modules incorporating the new training assessment criteria for use by Regional Offices.
(NRR/0IE) (High Priority);
revision of SRP Chapter'13.2 for use by NRC staff in evaluating training i.
programs for applicants for operating licenses.
(NRR) (Medium Priority);
evaluation of NRC's position with respect to INP0's Accreditation Program.
(NRR) (High-Priority);
development of audit procedures to monitor Accreditation effectiveness.
(NRR) (High Priority).
i 2.3 Industry Activities i
INP0 has undertaken a major program to ensure the adequacy of utility training i
programs.
This effort has resulted in the establishment of a training accredi-
.tation process designed to upgrade the quality of utility training programs.
INP0 has also developed technical reports presenting guidelines and criteria l
for training and qualifications of both licensed and non-licensed NPP personnel.
INP0's job / task analysis identifies knowledges and skills to be used as the foundation for the development of curricula for training programs for licensed
-and selected non-licensed personnel.
INP0 is also preparing a handbook for industry trainers which is to be used in developing training programs based on
'a SAT.
2.4 End Products The end products of the training program element include:
l a training rule (10 CFR Part 50) for the training of NPP personnel (FY-85) (NRR) (High Priority);
1 Regulatory Guides (X.XX and 1.8) to accompany the proposed training rule (FY-85) (NRR) (High Priority);
NUREG for Team Training (FY-85) (NRR) (Low Priority);
criteria for evaluating industry training programs for NPP personnel l
(FY-86) (NRR) (High Priority);
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' HUMAN FACTORS PROGRAM PLAN July 1984 1
determination of facility Training Instructor qualifications and NRC regulatory position (FY-86) (NRR) (High Priority);
input to revision of ANSI /ANS 3.1 (FY-85) (NRR/RES) (Medium Priority),
revised Chapter 13.2 of NUREG-0800, " Standard Review Plan" (SRP), (FY-86)
(NRR) (Medium Priority);
revised 0IE Inspection modules (FY-86) (NRR/0IE) (High Priority);
an NRC position with respect to accreditation (FY-85) (NRR) (High Priority);
accreditation audit procedures (FY-86) (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 sta..drds, 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 and Safeguards 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.
3.
Licensing Examination There are two major goals of this element:
(1) to develop valid and reliable licensing examinations for reactor operator (RO), Senior Reactor Operator (SRO), and other licensed personnel to ensure the adequacy of training and the capability of candidates to safely perform their duties; and (2) to develop and implement a standardized examining process that will eosure consistency, reliability and efficiency across exarainers, facilities, and regions.
The benefits which result from accomplishing this goal are:
improved confidence that individuals that are licensed have 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.
. ~ ~, - - - -
2.0 TRAINING (TRNG) 2 C
2.1 Development of Training Regulation and Guidance g
2.1.1 Training reg. package (see Sec. 306).
NPR 222 2.3.6 g
tal Revise 10CFR Part 50.
NRR 2.3.1 c)
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.2.4 2
2.1.1 NRR m
(b) Develop Training R.G.
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(c) Revise R.G.1.8.
Review entsting training regulations to eliminate encess items.
2.1.1 4 1.4 A) 2.1.5 2.1.2 Develop NUREG for review criteria.
NpR
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n NRR g.
Operator personnel task analysis. RES g
si 2.3.5 --C 0
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2.3.2 Conduct job / task analyses.
INPO t-
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.1.3 Determine cualifications and a regulatory position for treintnq instructors.
NR2 2
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Task analysis ut11tration for training requirements and guidance.
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.1.8 O
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2.1.5 Operator personnel task analysis.
RES 3'
Conduct simulator esperiments to support reg. positions an training.
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2.1.7 Identify operator training reat1rements for accident manacement.
RES N
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.E' 2.2 Develop NRC Training Evaluation Program 2.3.6 2.2.2 Develop revised IE/ Regional inspection modules.
NRR/1[/ Regions g
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Develop NRC training evaluation procedures.
NRR 8
C.2.1 2.2.3 Revise SRP Chaoter 13.2 (training).
hRR Evaluate reg. position on industry accreditation.
NRR 2.3.6 !
}2.2.4 2
.6 2.2.5 Training program evaluation.
RES 2.3 Indastry Activities 2.1.1 2.3.3 Prepare TSD nanebook.
INP0 L
2.3.1 Estabitsh and implement an accreditation erogram.
INPO E
2.1.1 g
y 2
Curriculum development for Itcensed and non/ licensed personnel.
INPO C
.3.4 g
3 LD Prospective plant manager program.
]NPO
(,2.3.5 2.3.2 Conduct job / task analyses.
l
- INP0, C"
FY 84 l
FY 85 l
TY 86
(..
l
' HUMAN FACTORS PROGRAM PLAN July 1984 The issues of concern in this element are:
modifying the examination process without unnecessary impact to current license candidates and training programs; the need to ensure that the licensing examination is a valid measure of NPP operators and other licensed personnel ability to perform 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 SRO licensing examinations, the following activities will be performed:
identify the PWR R0 and SR0 tasks, duties, and required knowledge, skills and abilities (KSAs) necessary for safe performance using the INPO job / task analysis (JTA), verified by subject matter experts (NRR) (High Priority);
identify the BWR R0 and SR0 tasks, duties, and required KSAs necessary for safe performance using the INPO JTA, verified by subject matter experts (NRR) (High Priority);
cevelop PWR and BWR test specifications for licensing examinations to provide examiners guidance on the necessary types and levels of knowledge for R0/SR0 job performance and the development, administration and grading of tests and test items (NRR) (High Priority);
update PWR and BWR test specifications to incorporate new KSAs stemming from initial omissions and plant-specific information (NRR) (High Priority);
develop an improved computerized bank of examination questions for use in test construction and examination validation.
The bank will include both a coritent categorization scheme linked to the job / task analysis and item analysis indices (e.g., item difficulty, discrimination) to provide feed-back to examiners on test score results (NRR) (High Priority);
develop procedures and pilot-test programs / procedures to incorporate item and test level data into the computerized examination question bank to allow for content and statistical analysis of the examination and test items (NRR) (High Priority);
develop improved test specifications for requalification examinations to incorporate KSAs and plant specific information (NRR) (High Priority);
develop test specifications for research reactor operators, instructors and fuel handlers based upon an analysis of the associated tasks, duties,.
and KSAs (NRR) (High Priority).
l l
\\
HUMAN FACTORS PROGRAM PLAN July 1984 3.2 The Examination Process l
New examination procedures will be evaluated to increase the efficiency, reliability, and validity of the licensing examination process.
The following activities will be performed:
identify optimal format and procedures for each examination component, including written, oral and simulator, to provide a model for the evalu-ating process (NRR) (High Priority);
develop and pilot-test procedures for simulator examinations, including a vendor-specific list of plant events / scenarios, an intentory of R0/SRO skills to be assessed, adminstration procedures, and candidate evaluation guidelines (NRR/RES) (High Priority);
develop and implement programs to (re) train examiners in the areas of examination development, administration and grading (candidate evalua-tion).
These areas are to include use of the examination question bank, job knowledge catalog, essay question writing workshops, and simulator scenario development and administration (NRR) (High Priority);
develop and validate methods and criteria for evaluating the adequacy of NPP simulators for use in conducting operating examinations.
Develop skill qualifications for personnel to be tasked with performing these evaluations (NRR/RES) (High Priority);
update 10 CFR Part 55 and associated Regulatory Guides to reflect changes made in the examination process and to respond to PL 97-425 (NRR/RES)
(High Priority).
3.3 Long-Term Efforts A long-term effort will be undertaken to apply state-of-the-art advances in testing, measurement, licensing and validation to NPP operator examinations.
This long-term effort will include the following:
develop long-term development and validation strategies based on the results of current examination modifications and content validation (NRR/RES) (Medium Priority);
evaluate the appropriateness and feasibility of new examination strategies, such as generic written examinations, new exam formats, computer-assisted testing, etc. (NRR/RES) (High Priority);
evaluate the feasibility of identifying / developing adequate on-the-job performance measures for use in both assessing the ability of the examina-tion to predict operator competence and identifying improvements that should be made in examination content or process (NRR/RES) (high Priority);
evaluate the use of an FAA " check pilot" type program for the requalifi-cation of reactor operators (SECY 84-167) (NRR) (Medium Priority);
j
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s 1
HUMAN 7 ACTORS PRO,GRAN PLAN? July 1984 a
4 m
,~
s if deemed feasible, conduct'a' trial check operator program in one region t
'and evaluate results (NRR) (Medi0m Pr'iority).
1 3.4= Industry Activities
,INP0',s control room operator job / task analysis is a major input in the develop-ment of content valid examinations and wil' provide a basis for attempting to
' establish operator performance criteria.
Fant-specific job / task analyses performed at individual sites will be used to the extent available.
Utility training programs wi]l be monitored to ensure consistency between training progrcm curriculum and objyctives, and the content and level of knowledge
-assess'ed 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 The^ products of this program element include:
,an improved computerized task item bank for examiner use in developing ekaminations (FY-85) (High. Priority);
' a test specifications for use as exarr,ination blueprints in constructing examinations (FY-85) (High Priority);
improved examination administration p Ncedures; oral, written and simulator (FY-85) (High Priority);
statistical analysis and content validation of examinations and test items (FY-87) (High. Priority);
new/ revised standardized guidance and training for examiners (FY-85)
(High 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 L{ cense Examinations" (FY-85) (High Priority);
revision of Regulatory Guide 1.134, " Medical Evaluation of Nuclear t
Facility Personnel Requiring Operator Licenses" (FY-85) (High Priority);
long-term improvements to~ examinations and examination processes (FY-87)
(Medium Priority).
a Figure III-3 depicts the sequence,of activities leading to these end products.
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l 3.6 Responsi_bilit9 The responsibility for implementation of the' activities described in this program element is divided.
The Chief, Operator Licensing Branch (0LB), NRR,
~
2-3.0 LICENSING EXAMINATIONS (LIEX) c I
3 3.1 The Examinatiore Content 2
I
)
3.1.1 Training requirements package (Sec. 306).
hRR m
Revise 1G CFR 55; revise RGs 1.149, 1.8.
/
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343 3
p
.1.6
- o 3.1.2 Identify conte *it and (PWR) knowledae domain for 3.1.2 (bur)
M 3
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licensing examinations based on job /tast analyses. V E
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NRR m
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,3.1.5 Develoo incroved computerized oue-tion bank.
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,3.1.6 Develop comiputerized knowledge catalogue.,, WRR sca 3.1.2./3.1.3 m
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3.1.3 3,
3.1.7 Content analysis and statistical evaluation / validation of examination and test items.
NRR u
5-3 3.1.9 Develoo test specifications for recualtf tcation and other exams. kRR _
R.
p 3.1.4 g
3.1.9 Develop test specifications for rerearch reactors. iestructor WRR 3.2 The Examinmg Process m
3,3,3 cutification, and fuel handins.
- 9 3.2.1 Identify optimal format / procedures for esas components.
hRR 8
0 3.2.1
_g 3.2.2 Develop / test simulator exam procedures.
NPR/RES
,,3.3.5 Effects of simulator fidelity on RES,)
3.2.4 operator training / testing.
g i
C I
3.2.4 Develop criteria and personnel reautrements for s mulation facility S<
appitcation. review, approval and audit.
NRR/RES l
to 4
i 3.2.3 Develop / implement examiner retraining programs.
WRR/IE C
i FY 84 FY 85 FY 86 i
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3.0 LIEX Continued z
1 3.3 Lo Term Efforts O
3.3.1 Lorg-term enemination development and validation.
NRRIAES
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([,3.3.2 43 r
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e 3.4.3
=
3.3.3 Evaluate check operator conteot for Naa
,3.3.4 Develop / implement regional trial ty 3.1.8 r-
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f.J recualification examinations.
program of check operator concept.
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(s3.3.5 RES,)
Effects of simulator fidelity on P.
operator training / testing.
ls 3.4 Industry Activities l
3 tc 3.4.1 Conduct job / task analyses.
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INDUSTRY 3
3.4.2 Coc. duct plant-specific jeb/ task analyses.
3.4.3 Industry input on examinations and examination processes.
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4 FY 84 FY 85 FY 86
HUMAN FACTORS PROGRAM PLAN July 1984 is responsible for assuring regulatory requirements for the near-term improve-ments in examinations and the examination process, for identifying research and standards needs to assist in implementing the regulatory process of exami-nations, identifying required dates for products from research and for standards, and managing the NRR technical assistance program.
The Chief, Human Factors and Safeguards, 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.
Tna research will be carried out in accordance with the February 3, 1982 established procedures for the NRC research process.
l 4.
Procedures l
l The primary goal of this element is to ensure the adequacy and effectiveness of plant procedures.
Achievement of this goal will allow operators to maintain plant safety functions under all conditions, including the ability to control upset conditions without first having to diagnose the specific initiating r
events.
This goal will be met by:
(1) developing guidelines for preparing, and criteria and methods for evaluating, emergency operating, operating, and cther procedures which affect plant safety; and (2) upgrading the procedures, training the operators in their use, and implementing the upgraded procedures.
In addition safety / safeguards interactions will be examined to identify pro-cedural deficiencies and potential conflicts between safety and security requirements.
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 the resolution to unresolved safety issues into current procedures with-out introducing potential error in the procedures.
establish effective communication procedures between plant management and security management / supervision in order to maintain site security while responding to the plant's safety-related emergency.
expedite ingress of off-site responding emergency personnel to include l
timely issuance of radiation protection equipment.
4.1 Procedures Guidance and Criteria t
f This effort will provide guidance to improve Emergency Operating Procedures I
(EOPs), abnromal operating procedures (A0Ps), operating procedures (ops), and l
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 Operating Procedures" will be followed in develeping guidance for other pro-cedures.
If required, industry will develop generic technical guidelines and the NRC and industry will coordinate the development of human factors guide-lines.
NRR and IE are jointly developing a revised inspection module for use
HUMAN FACTORS PROGRAM PLAN
- July 1984 by the Regions in auditing E0Ps utilizing Procedures Generation Packages.
Similar inspection modules will be developed for other procedures when guide-lines for their upgrading are developed.
Safeguards guidance will provide detailed appropriate duties and responsibilitics of the safety / safeguards personnel during.various postulated events.
The guidance criteria will expand upon that found in NUREG/CR 3251, "The Role of Security During Safety-Related Emergencies at Nuclear Power Plants." Specific changes to existing NRC guidance will also be recommended.
The following activities are planned:
revise the inspection module and develop associated training for Regional audit of E0Ps (NRR/0IE) (High Priority);
determine need for and develop regulatory action with respect to ops and A0Ps (NRR) (High Priority);
determine need for and develop regulatory action with respect to other procedures (NRR) (High Priority);
develop methods and evaluate alternative techniques and formats for presenting procedures (e.g., computerized CRT presentation) (RES) (High Priority);
develop methods for evaluation of the in plant effectiveness and impact of upgraded E0Ps (RES) (Medium Priority);
evaluate the in plant effectiveness and impact of upgraded E0Ps (NRR/RES)
(Medium Priority);
develop methods and evaluate the use of procedures under stress / severe accidents (NRR/RES) (High Priority);
determine impacts of computer diagnostics and automation cn procedures and regulatory requirements (RES) (Medium Priority);
determine applications of artificial intelligence concepts to procedure prompting (RES) (Medium Priority);
develop guidance and regulatory action with respect to the use of computer diagnostics and artificial intelligence to support procedures (NRR)
(Medium Priority);
determine the impact of severe accident research on technical guidelines and development of procedures which address severe accidents (RES/NRR)
(High Priority);
determine the extent of interaction between safety /ccfeguards personnel in the event of a safety-related emergency (SRE) (RES) (Medium Priority);
determine h.uman factors problems which could adversely impact safety /
safeguards interactions, such as:
breakdown in vigilance, inadequate training, alternative communication modes, etc. (RES) (Low Priority);
1 l
' HUMAN FACTORS PROCRAM PLAN July 1984 determine if existing methods and procedures at power reactors involving _
interactions between safety, safeguards and off-site emergency personnel need revision: (RES/NMSS) (High Priority);
evaluate existing NRC guidance on safety / safeguards interactions during SREs (RES/NMSS) (High Priority);
develop guidance detailing the' appropriate duties and responsibilities of safety / safeguards personnel during SREs (RES/NMSS) (High Priority).
4.2 Industry Activities
'0wners' 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 effort regarding the safety parameter display system (SPDS) are fully integrated with the function-based E0Ps.
4.3 End Products The products of this effort will be:
the development of revised inspection modules for use by the Regional Offices for evaluating E0Pc (FY-84) and A0Ps, ops, MPs, and other pro-cedures, as necessary (FY-87) (High Priority);
the development of guidance similar to NUREG-0899 to be used by the industry to prepare upgraded AOPs, ops, and other procedures (FY-86)
(High Priority);
methodology for the evaluation of alternative techniques and formats for presenting procedures (FY-85) (High Priority);
conduct an evaluation of the in plant effectiveness and impact of upgraded E0Ps (FY-86) (Medium Priority);
methodology for the evaluation of the use of procedures under stress /
severe accidents (FY-87) (High Priority);
Cevelopment of guidance. detailing appropriate duties and responsibilities of safety / safeguards personnel during SREs (FY-84) (High Priority);
methodology for identification of optimum methods for handling variatior, in vigilance, access control checkpoints, communications, training, com-mand / control techniques, etc.
(FY-64) (High Priority);
development of procedures for off-site respon' ding emergency personnel and issuance of radiation protection equipment (FY-84) (High Priority).
Figure III-4 describes the sequence of activities leading to these end products.
l i'
4.0 PROCEDURES (PROC) 4.1 Development of Procedure Guidance and Criteria j.1. /4.1.5/4.1.6/4.1.7 E
4 4.1.1 Revise tne inspection module and develop associates training for regional at,dit of E0Ps.
NRR/01E h
2 C
4.2.13 4.1.4/4.1.5/4.1.6/4.1.7 ggg y
4.1.2 Determine need f ar and develop regulatory actice with respect to ops and AOPs.
ERR 4.1.14 h
o Defina Scope of ops and A0Ps 2
4.1.15 o
DMideenregulatory,)
Eeview existing dat, Prepare project report 4 4.1.16 o
enam
, develop progranj g plan action m
Q 4.1.17 Feview OP S ACP cp e
r practic'es
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I 4.1.18 g
Select, advisory panet Review procedures Prepare draf t guidelines and obtain public coment Ee9-V
" interface, issues Action c
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Panel
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,4.1.3 Determine need for and develop regulatory Actyn RES Human Performance action with respect to other procedures.
NRR Q
7 1.1/4.1.2 4
g 4.1.4 Develop methods and evaluate alternative, techniques and formats
- g for presenting procedures.
RES l
sj 4.1.1/4.1.2
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4 Develop methods for evaluation of the in-plant effectiveness and C
.1.5 7'
9 impact of upgraded E0Ps.
RES 4.1.1/4.1.2 a
/
5 4.1.6 Evaluate the in-plant ef fectiveness 3
C a.1.1/4.1.2 and impact of upgraded E0Ps.
NRR/RES
/
5.2.2.3 RES Program on ef fects of severe 4.1.7 Develop methods and evaluate the use of procedures under stress / severe accidents.
NRR/RES G
stress on personnel perforiaance.
C I
T f s 4.1.11 Coordinate with industry to update technical guidelines and orocedures. NRR w
y 4.1.12 Revise SRP 13.5.2 (procedures).
i.RR
,4.1.12 NRR RES Program Determine applications of artificial intelligence to 4.1.8 concepts to procedures pronpting. RES/NRP 5.2.,.1 4
SPE8/CRGR Review and Approval.
NRR/EDO Develop guidance and regulatory action G
)
with respect to the use of comouter 4.1.9 diagnostics and artificial intelligence 4.1.10 Guidance for safety /safeguaras for safety-related to supe ~ t procedures.
RES/NRR C
O RES/NMSS 5.2.2.1 pyg4 emergency.
g FY 85 FY 86
HUMAN FACTORS' PROGRAM PLAN July 1984-
~
I 4.4 Responsibility
.The responsibility for implementation of the activities described in this program element is divided.
The Chief, Procedures and Systems Review Branch
~(PSRB),-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 and Safeguards Branch (HFSB), RES, is responsible.for developing'and managing the research to meet NRR and NMSS 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.
5.
Man-Machine Interface (MMI)
E 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 and technical bases for correcting MMI problems; and (2) regulatory guidance to assure that human factors engineering is appropri-ately integrated into new designs and incorporated into advanced technological improvements to existing designs; and (3) detailed critical man-machine inter-
-face cons _iderations for central alarm station / secondary alarm station (CAS/SAS) design and safeguards equipment.
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 and at other manned stations; enhanced (cost-efficient) operational performance and/or improved alloca-tion of functions'to man and machine.
improved design of intrusion alarm systems, safeguards equipment training programs and modes of using contingency plans.
The issues in this element are:
extent to which regulatory positions should be developed for MMI issues
.beyond the' control room; characterist_ics of regulatory guidance on the use of advanced technologies for safety and safeguards equipment.
A significant concern within this element is the issue of backfitting.
Other
'MMI-issues identified in this program 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
HUMAN FACTORS PROGRAM PLAN July 1984 data and improved annunciator systems.
Also, these effo ds will significantly improve the capability of the staff to evaluate reactor incidents 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 interfaces that exist in the control room and at the remote shutdown panel.
Further guidance is neeJed regarding:
(1) local control stations and auxiliary operator interfaces; (2) improvements to annunciator systems; (3) emergency res90nse facilities and preparedness; and (4) security / safeguards personnel and security /
safeguards systems and equipment.
Local Control Stations and Auxiliary Operator Interfaces Information is required to enable the NRC to determine if additional guidance on local control station design and auxiliary operator interfaces with these stations should be developed.
NUREG/CR-3696, " Potential Human Factors Deficien-cies in the Design of Local Control Stations and Operator Interfaces" concluded that NUREG-0700 was applicable to current designs with the exception of (1) design of manually-operated valves, and (2) extreme environmental conditions.
For new designs information will be developed by the following activities:
conduct job / 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 (RES)
(Low Priority).
Improvements to 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.
Advanced technolo-gies are expected to be utilized in the development of improved NPP annunciator systems.
Guidelines for annunciator improvements wi11 be developed baset on an evaluation of results from EPRI, RES. Halden, and other advanced concept activities at Seabrook and Savannah River.
develop and demonstrate an operational aid system based on a combination of generalized annunciator alarm p, oritization and procedures (RES)
(High Priority);
develop guidelines for long-term annunciator improvements which address advanced techniques for implementing the quality standards of NUREG-0700 (RES) (Medium Priority).
develop a Regulatory Guide for annunciator system designs (RES) (Medium Priority).
~,
l HUMAN FACTORS' PROGRAM PLAN July 1984 i
1 1 Improvements to Safeguards Systems Guidance is needed for the development of regulatory requirements concerning
~
the interface of safeguards personnel with automated systems and safeguards
. equipment at use in nuclear power plants.
This guidance will be developed through the following activities:
investigate the. interactions between safeguards personnel and nuclear power plant systems to assess and. identify man-machine interfaces, (RES)
(Medium Priority);
identify needed improvements which would enhance safeguards and/or safety; (RES) (Medium. Priority) develop an overall regulatory position on the MMI in safeguards along with a technical basis for regulatory action (RES) (Medium 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 and FY-85, a plan will be developed to evaluate important safety problems.
Products of the program will include guidance on control room information management-during severe transients and accidents, and Regulatory Guides on information management.
The guidelines will ue directed at data management methods which minimize human error.
(RES) (High Priority) 4 Advanced Controls and Displays Presently 10 C.F.R Part 50.34(f), " Additional TMI-Related Requirements," requires each applicant for a light-water reactor construction permit or manufacturing license to provide, for NfC review, a control room design that reflects state-i of-the-art human factor principles.
!i
~
To provide staff guidance pertinent to the interface between new control and
. display techniques and the human operator, during FY84-FY86 the following activities are planned:
l develop evaluation methods and design criteria for visual displays to be used as a Regulatory Guide (RES) (High Priority);
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HUMAN FACTORS. PROGRAM PLAN July 1984 establish criteria needed for regulatory assessment of advanced control
-room concepts (RES) (High Priority);
track and evaluate new and developing technologies that have potential for application in NPP control rooms such as artificial intelligence applications (RES) (Medium Priority);
identify control and display requirements for crew response needs subse-quent 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);
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);
the feasibility / desirability of applying cognitive workload measurement techniques to a selected list of operator functions (RES) (Low Priority).
The implementation of this program will provide data necessary for establishing a regulatory position on function allocation and the appropriate roles of the human components.
Safety Status Indication Based on a project that investigated currently available technology for monitor-ing and verifying operations, tests, and maintenance activities, the staff has determined that the following actions are necessary:
the development of long-term improvement guidance for improvement of safety system status monitors (NRR/RES) (Medium Priority) revision to Regulatory Guide 1.47 (RES) (High Priority) 5.3 Regulatory Documents in Support of the Man-Machine Interface Regulatory activities in support of the man-machine interface are planned as follows:
development of Human Factors General Design Criteria (RES) (Medium Priority);
i i
l l
HUMAN FACTORS PROGRAM PLAN July 1984 develop and maintain revisions to Chapter 18, " Human Factors Engineering" to the Standard Review Plan (NRR) (Low Priority).
recommendations for a regulatory position and related training requirements for safeguards concerns (RES) (High Priority) 5.4 Industry Activities The nuclear industry has several efforts devoted to MMI issues.
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.
The HALDEN Project has been asked to conduct research for the NRC in control room enhance-ment, advanced display concepts, and alarm handling methods.
5.5 End Products The' products of this elements include:
a proposed regulatory position addressing local control stations and auxiliary operator interfaces (FY-84) (NRR) (Medium Priority);
a technical report and regulatory guidelines addressing long-term advanced annunciator system designs (FY-87) (High Priority);
a technical report on control room information management during severe transients and accidents (FY-87) (Medium Priority);
Evaluation Criteria for the use of computers for data and information management in control rooms (FY-87) (Medium Priority);
a Regulatory Guide on information management methods (FY-87) (Low Priority);
a report on the means for investigating function allocation (FY-87) (Low Priority);
a revision to Regulatory Guide 1.47 (FY-86) (High Priority);
Human Factors General Design Criteria (FY-85) (Medium Priority);
revision to Chapter 18, Standard Review Plan (FY-87) (Low Priority).
Identificatiori of MMI issues in safeguards by reviewing current technology (FY-86) (Medium Priority);
1 recommendations for a regulatory position for safeguards (FY-87) (Medium Priority).
Figure III-5 describes the sequences of activities leading to these end products.
5.0 MANMACHINE INTERFACE (MMI)
- E 5.1 hMachine Interface Guidance for Existing Designs
]
5.1.1 Local Control Stations h
i l
o 5.1.1.1 Conduct task analyses of control room crew activities 23 analpre auntilary personnel functions.
RES 5.1.1.2 Develop a regulatory position addressing the NRC's role 5.1.1.3/5.1.1.4 23 o
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\\- 5.1.2.1 Develop guideltnes for annunctator improvement. mRA/9ES on O
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5.1.2.2 Investigate feastbility of operational a d system tesed on eeneralized alarm ac prioritigation and procedures f or entsting plants.
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5.1.2.3 R.G. for annunciator design.
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O 52 Man-Machene Interf ace Guidance for Designs Based on Advanced Technologies g
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I 5.2.1.1 Develop gutdelines and criterta for control room data display. RES b
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g 5.2.6.4 Hw 5.2.1.2 Develoo guidelines an control room infomation management during severe transtents and acc1(ents.
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5.2.t.4 FY 84 FY 85 FY 86 5.2.5.1 5.2.6.6
x-5.0 MMI continued c
I d-5.2.1.3 Develop regulatory guides on information management methods. RES z
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5.2.3 Function Allocation
>2 5.2.3.1 Establish criteria for function allocation.
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5.2.4 Safety System Status Indication C
(,s5.2.4.1 fJ Develop quidelines for long-term o
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.ca 5.2.5 Regulatory Doc.sments for MMI 68 to 5.2.5.1 Develop human factors GCC.
RES 5.1.1.4/5.1.2.1/5.2.1.2/5.2.2.2/5.2.'.2/5.2.6.3 FY 84 FY 85 FY 86
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5.0 MMI Continued h
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5.2.5.2 Revise and maintain SPP Ch. 19.
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3 5.2.6.1 Annunciator research EPPt/IN0'JSTRY/HALDEN
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ac HW 0)4 FY 84 FY 85 FY 86
HUMAN FACTORS PROGRAM PLAN.
35 -
July 1984
- 5.6 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 and Safeguards 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 program-matic constraints. The'research will be carried out in accordance with the February 3, 1982 established procedures for the NRC research process.
6.
Management and Organization The goal of this element is to develop and test approaches and techniques for assessing nuclear utility management and organization capabilities to safely
-control both routine-and abnormal events associated with nuclear power plant (NPP) construction, operation and maintenance.
This goal will be met by accomplishing the following objectives:
(1) develop approaches and techniques to determine the relationships between utility management and organization factors and plant safety; (2) develop and test reliable, objective evaluation procedures for assessing the adequacy of organization and management functions such as control and coordination of operations, maintenance, security and safety review committees, and characteristics such as internal / external plant communication and administrative controls; and (3) provide the technical basis for an NRC regulatory position on management and organization at operating nuclear power plants.
The benefits that'will result from accomplishing these objectives are:
reduction of the number and severity of management and organization issues that could lead to unsafe NPP conditions; muclear power utility management and organization which is responsive to and has the resources to resolve safety related issues, and allocates resources and responsibilities to ensure public health and safety during NPP construction, operation and maintenance.
The issues of concern in this element are:
lack of quantitative and qualitative information concerning appropriate utility management and organization functions and roles which directly or
-indirectly impact safety, for making objective determinations of adequate NPP management and organization, and establishing guidelines for evaluating those functions and roles; lack of reliable, objective performance evaluation procedures for use by NRC staff in assessing the adequacy of operating license (0L) applicants' organization and administration plans (0APs), and operating reactor (OR) policies, procedures and operating experience in maintaining the public health and safety.
HUMAN FACTORS PROGRAM PLAN July 1984 6.1 Regulatory Position on Management and Organization at Operating Reactors An evaluation of INP0's review criteria for corporate and plant assistance visits will be completed by NRR in FY 1984. The NRR staff will use the informa-tion, in addition to the assessment of other on going evaluation activities of ors (PAT, SALP, ANI, etc.) to determine if a modification of exisitng regula-tions is warranted.
A Staff paper will be completed by the end of FY 1984 and will provide a recommendation on the regulatory position that the NRC should adopt on the management and organization issue at ors.
If that staff paper contains a recommendation to change the existing regulatory position co manage-ment and organization at operating nuclear power plants, NRR will begin the necessary work to develop the new regulation in FY 1985.
During FY 85-86, to support the licensing, and inspection and enforcement activities, RES will complete function and role analyses, and modeling studies, to identify safety-related factors (e.g., configurations, communications networks, policies, practices) that are characteristic of well organized and managed utilities with ors. Additionally, RES will complete refinement and validation of objec-tive organization and management safety performance indicators (e.g., regula-tory compliance, licensing reviews, inspection and enforcement reviews, insurance risk assessments) for utilities with ors.
This latter work was begun by RES during FY 82 and continued by NRR as part of its Safety Technology Program during FY 83-84.
To accomplish the above objectives the following NRR and RES activities will be performed:
monitor INP0's evaluations of nuclear power plants and utility corporate offices (NRR) (Medium Priority);
evaluate INP0 and other review criteria (NRR) (Medium Priority);
evaluate the need for a regulatory position on management and organization (NRR) (High Priority);
develop a staff paper considering the INP0 evaluation criteria for manage-ment and organization (NRR) (Medium Priority);
develop a staff paper to recommend an NRC position on management and organization at ors (NRR) (Low Priority);
develop and evaluated a quantifiable method of evaluating safety signifi-cant NPP manager.. ant and organization factors at ors, using safety performance indi a'. ors (NRR) (Medium Priority);
develop technical data base of organization and management functions and roles, and identify safety-related factors that are characteristic of well run utilities with ors (RES) (Medium Priority).
refine and validate objective organization and management safety-related performance indicators for utilities with ors (RES) (Medium Priority).
HUMAN FACTORS' PROGRAM PLAN July 1984 K
6.2 NRC Management a'nd Organization Guidelines and Assessment Procedures for-
_ Operating License Reviews Guidelines and assessment procedures will be developed by NRR to increase the l
reliability and consistency of management and organization reviews of operating license applicants.
During FY 85-86,.to support these licensing activities, RES will complete function and role analyses, and modeling studies, to. identify safety-related
}=
that are characteristic of well organized and managed utilities with OLs.
factors (e.g., configuations, communications networks, policies, practices)
Additionally, RES will complete refinement and validation of objective organiza-tion and managment safety performance indicators (e.g., regulatory compliance, licensing reviews, inspection and enforcement reviews, insurance risk assessments) for utilities with OLs.
In order to develop these guidelines, and assessment procedures to be used by 4
the NRC in judging the adequacy of utility management and organization, the l
following activities will be performed:
prepare management and organization guidelines for use by OLs (NRR) i (Medium Priority);
develop criteria-and procedures for NRC reviewers (NRR) (High Priority);
_ prepare a workbook for NRC use during site visits and in preparing a l
Safety Evaluation Report (SER) (NRR) (High Priority);
j evaluate ISEG and Safety Review Systems (NRR) (Medium Priority);
revise the Standard Review Plan, Chapters 13.1 and 13.4 (NRR) (Medium i
Priority);
review management and organization inspection modules for use by Regional 4'
Offices to determine if any revisions are necessary (NRR/0IE) (Medium Priority);
prepare a training plan and train technical reviewers (NRR/0IE) (High i
l Priority);
j.
develop technical data base of organization and management functions and i
roles, and identify safety-related factors that are characteristic of well run utilities with OLs (RES) (Medium Priority),
i develop, refine and validate objective organization and management safe /-
related performance indicators for utilities with OLs (RES) (Medium i
Priority).
l l
In order to develop these assessment procedures and the review documents to be l
used by the NRC in judging the adequacy of utility management and organization, the following activities will be performed:
HUMAN FACTORS PROGRAM PLAN July 1984 prepare management and organiz& tion guidelines for use by applicants for operating licenses (NRR) (Medium Priority);
develop criteria and procedures for NRC reviewers (NRR) (High Priority);
prepsre a workbook for NRC use during site visits and in preparing an SER (NRRc (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.
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 INPO effectiveness in this program has been arranged through an NRC-INPO coordination plan.
INP0 also has a program to evaluate utility management for plants under construction.
This is accomplished by self-initiated evaluations by the utilities using criteria supplied by INPO, and INPO also conducts on-site evaluations.
INP0 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) (High Priority);
NRC reviewer procedures (FY-84) (Medium Priority);
revised Chapters 13.1 and 13.4, Standard Review Plan (FY-85) (Medium Priority);
evaluation of Independent Safety Evaluation Group (ISEG) and safety review systems (FY-84) (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 progrrm 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 regula-tory process, and managing the NRR technical assistance program.
The Chief, Human Factors and Safeguards Branch, RES, is responsible for developing and managing the research to meet NRR requirements and for delivering the products t
6.0 MANAGEMENT AND ORGANIZATION (M & 0) 1 2
6.1 Estabissh Regulatory Position on Management and Organization at ors 2
1 6.1.1 Mocitor IMP 0 review activities.
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.1.6 Develop and maintain regulatory position.
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6.1.7 Develop safety performance indicators for 6.1.8 Refine objective safety-related M&O performance indicators for ors RES
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6.2.9 Identify safety-related M&O 6.2.10 Develop objective safety-related M&O 6.2 Development of NRC Assessment Procedures for OLs factors for OLs.
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i 6g.1.9 Data base of N&O functions and j s.1.10 16entify safety-related M&O factors 6
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roles for ors.
RES in ors.
RES 1
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6.2.1 Prepare review guidelines 6.2.3 Publish NRC reviewer procedures.
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6.2.2 Prepare review wortbook for 6.2.4 Revise SRP Cnapters 13.1 and 13.4.
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3 NRR reviewers.
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review systems.
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Propose / assist in revisions to 1&E M&O a
Inspection procedures.
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Train technical reviewers and 6.2.8/6.2.9/6.,2.10 C.2.7 j
(see parallel activities 6.1.8/6.1.9/6.1.10) regicnal personnel in use of assessment materials. NRR/IE c
6.3 InJustry Activities 4
o3 6.3.1 Evaluate program for corporate management. INPO 8
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.3.4 c.,
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FY 84 FY 85 FY 86 4
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I
HUMAN FACTORS PROGRAM PLAN -
July-1984-in a timely manner' consistent with quality and programmatic constraints.
The i
_research will.be carried out' in accordance with the February 3,1982 estab-lished procedures for the NRC.research process.
7.
Human Reliability This element has-three primary goals.
The first goal is to develop a technical support system for NRC reliability evaluations, especially those employing probabilistic. risk assessment (PRA) techniques.
The second goal is to develop techniques for systematically using quantitative and qualitative human perfor-mance data from PRAs, to identify plant man-man and man-machine safety system
]
retrofit requirements, establish baseline measures for evaluating the effects of those retrofits,- and to identify future human reliability research require-ments.
The third goal is to provide feedback links from aperating experience (e.g., LERs, PRA results) to other elements of the human factors program.
l Goals will be met through (1) obtaining reliable human performance data, (2) develop methodologies to. incorporate the effects of human error into PRAs, and (3) using information on the quantitative and qualitative implications of 1
human error for nuclear power station safety systems performance.
The benefits which will result from accomplishing these short-term goals are:
l methods and techniques for acquiring reliable human error data from selected field, computer modeling, and expert judgment 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 i
PRAs; j
techniques for systematically using PRA results to id'ntify plant retrofit e
requirements, establish objective baseline measures to evaluate plant i
retrofits and identify future human reliability / human factors research
- needs, i
The issues of immediate concern in-this element are:
1 lack of reliable human error data available from nuclear power station i
PRA; i
related events to support NRC reliability evaluation programs such as 1
. lack of objective techniques for analyzing human errors involved in I
safety-related events, especially those involving redundant or inter-dependent actions nf individuals or groups; i
lack of techniques for systematically using PRA results to identify plant retrofit requirements, establish objective baseline measures for evaluating i
plant retrofits and to identify future human reliability / human factors research needs;
.,,.--,,.-----_.------..-.,_.,.,,,n.,
HUMAN FACTORS PROGRAM PLAN July 1984 lack of timely and consistent use of human factors data from LERs in human factors act!vities, thus simiting the value of lessons-learned feedback.
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 expci t 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, 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-84 through FY-86 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) employing a variety of procedures (e.g., multi-attribute analysis), involving both control room and non-control room tasks; from operating power stations using existing Licensee Event Report (LER);
from operating power stations using a voluntary anonymous, non punitive, r
third party managed reporting concept known as the Nuclear Power Safety Reporting System (NPSRS);
from computer modeling of power station normal, transient and emergency events.
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 commited divided by the number of error chances).
Methods and 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.
Activities ongoing and planned for FY-84 through FY-86 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 testing the utility of a data bank concept for:
computing human error probability statements from diverse information sources as operating power stations, training simulators, expert judgment and computer simulations;
HUMAN FACTORS PROGRAM PLAN July 1984 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:
developing a plan and schedule for implementing the human reliability data bank alone or as a part of other NRC data acquisition systems;.
~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 models (e.g., multiple sequence) for analyzing safety-related events, especially those involving redondancy and/or interdependent actions; developing models for objectively analyzing cognitive and performance shaping factor aspects of human behavior within the context of NRC reliability evaluation programs, especially PRAs; identifying and categorizing human errors of omission and commission, and performance shaping factors currently included in human risk analysis (HRA) segments of PRAs; developing approaches and procedures for integrating HRA into the PRA process, to more adequately assess the impact of human performance on overal plant risk.
7.4 Safety Etent Analysis Results Application The PRAs are a potential source of quantitative and qualitative human perfor-mance data, both generic and plant specific.
During FY-84-86, human reliability research will be directed toward developing and testing approaches and techniques for systematically using human performance data from PRAs to:
HUMAN FACTGRS PROGRAM PLAN July 1984 identify generic and plant specific man-man and man-machine safety system retrofit requirements; j
establish objective baseline performance measures for evaluating plant retrofits; identify future human reliability / human factors research needs.
7.5 Industry Activities The nuclear industry (INPO) is' currently conducting a study of the feasibility of a voluntary, non-anonymous Human Performance Evaluation System (HPES).
The INPO activity focuses primarily on individual plant data which serves as a basis for plant retrofit.
This data will be considered as another potential source of human performance data to support reliability evaluation programs such as PRA.
7.6 End Products FY-84 through FY-86 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., multi-attribute analysis) (FY-05);
procedures for computing human error probabilities from LER data on power station instrumentation and electrical control functions (FY-84);
NPSRS for collecting human error data using a voluntary, anonymous, non punitive, third party managed approach (FY-84);
computer model for predicting human error probabilities on nuclear power station operations and maintenance tasks (FY-84 through FY-86).
human reliability data bank for compiling, storing, updating and retriev-ing human error probability statements using an equipment characterization /
human behavior characterization matrix approach (FY-84 and FY-85);
reliability evaluation specialist aids including:
procedure for analyzing redundant and interdependent aspects of safety-related events using multiple sequence failure approaches (FY-85);
techniques and modils for analyzing cognitive and performance shaping factor (e.g., stress, fatigue, attitude) aspects of human behavior within the context of the PRA process (FY-86);
approaches and procedures for integrating HRA into the PRA process, to more adequately assess the impact of human performance on overall plant risk (FY-85).
HUMAN FACTORS PROGRAM PLAN July 1984 techniques for systematically using PRA results to identify plant retrofit requirements, establish objective baseline measures to evaluate those retrofits and identify future human reliability / human factors research needs (FY-87).
Figure III-7 depicts the sequence of activities leading to the above products.
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- 1. 0 Staffing'and Qualifications A-2 2.0 Training A-3 3.0 Licensing Examinations A-4 4.0 Procedures and Tesing A-5 5.0 Man-Machine Interface' A-6-7 6.0 Organization and Administration A-8 7.0 Human Reliability A-9-10
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02 Q4 Q1 02 Q3 04 Of Q2 Q3 04 Q1 Q2 Q3 04 es oewieparat of erecee.re G.ieem, ce cetterte 4.1.1 neviw tme tas,ection.ea.ie c..
to, essec tet,e t,etaine fe, u.e mit regiea.1 eit of toes.
4.1.2 netermiae and for ce eewin notetory utto..ita resuct to een ors saa ass.
4.1.3 Deterstae neee for ead develop regulatory actica of ta respMt to una etaer prucoven.
4.1.4 Dew) p utnoes eae eveinte etteraetta tec* ate n ce fer.ets
=E s for prewetta, procee.rn.
4.l.5 ceniop metaeas for eniutica of tae ia-pieat effectiwans e4 et s i.put of
.rea a tops.
4.1.4 tui.ete tae ta-piaat ef futinans a n tapact of veerese4 tops.
ess /et s a
4.1.7 Dentop eetneas eae eni.ete tne.w of prue4.res vaer stress-ese /et s ware ecclaents.
4.1 e peterniae eepiscetieas of ertifictet lateitieewe coaceets te at1/mes proceewres promptf ag.
4.1.9 Develop guteente end reew1. tory utloa with reggect te (De gge Net M
of comovter siegaestics and settfletal latelligewe to netwert 8
proc eevres.
W 4.1.10 Goteence for safety /s fegwards for safety-related earraeary, et s/em5 4.1.11 Coordtaate alta tadustry to ve44te techatcal evideltaen and see procesores (inP0/9=ners Groups).
4.3.12 testse sap 13.M lyrecederet).
Wee m
SPtB/CeGe sevice ene approve 1 net /t 00 l
4.1,1 ) Determine tepec ts of computer esegnestics sad estemettom on a' s preceder*1 and regulatory requireeratt.
m 4.1.14 Deteretae the tapact of severe eccleent research on techattel RE S /tsee m
get6eltael Gad development of proce6greg watcft addregg govere
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4.1.15 Determine the estent of lateractica betecea safety /sofegeeres 45 perle.ael ta the event af a safety.netetee Emergency 15=t i.
m 4.l.14 Deterstae nemen factors proeless entcm cowie adversely tapac t et t Saf ety /Sof eguards laterac tieat. Such e5 Dresa down la ettflance, teedegnete trelatag, e* teraettve couem r 4Cattom modet, etC.
u 4.1.17 Deterstae if entsttag setnods and procedures et power reactors et t es '"
tavolving sateractieat Detoffe safety. Sefequeren sad of f.ttte emergency pertanael need revistoa.
l 4.1.19 Develse outience 4rtet19ae the appenertete settes one ag g we,'
retroaset t e tie % M se'ety 'se'e%4 rat personnel ductag 5ef t.
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s This document is the First Annual Revisi the NRC Human Factors Program Plan originally published August 1983.
The purpose of this document is to ens we that proper consideration is given to human factors in the planning, design constructiott, operation and maintenance of nuclear facilities. The plan repres nts a systematf and comprehensive approach for addressing human factors concer s important to n(ue, ear power plant safety in the FY-84 through FY-86 time fr e.
The plan addresses the planning o seven major program elements:
1.0 Staffing and Qualifications, 2.0 Training 3.0 Licensing Examination's, 4.0 Procedures, 5.0 Man-Machine Interface, 6.0 Mana ment and Organization, and 7.0 Human Reliability.
Appendix ( A) Program Element S hedules.
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