ML20236D604
| ML20236D604 | |
| Person / Time | |
|---|---|
| Issue date: | 01/17/1989 |
| From: | Chilk S NRC OFFICE OF THE SECRETARY (SECY) |
| To: | |
| References | |
| FRN-54FR03424, RULE-PR-50, RULE-PR-55 PR-890117, NUDOCS 8903230182 | |
| Download: ML20236D604 (12) | |
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DOCKETNUMBER g-[hNf PR0 OSED RULE r.-
b ' DW [7590-01]
NUCLEAR REGULATORY COMMISSION 10 CFR Parts 50 and 55 m
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Doc = ;n M Policy Statement on the Conduct g.
of Nuclear Power Plant Operations JAN 2 31989>#a
- Docennaa 2 szavicznaAnca sEcy.nac g AGENCY: Nuclear Regulatory Comission. /@ Y ACTION: Final policy statement.
SUMMARY
- This policy statement.is being issued to make clear the Comission's l expectation of utility management and licensed operators with respect to the l conduct of nuclear power plant operations. The Comission believes that it is 1
essential that utility management at each nuclear power reactor facility estab-lish and maintain a professional working environment with a focus on safety in control rooms and throughout the plant. The Comission also believes that each individual licensed by the NRC to operate the controls of a nuclear power reactor must be keenly aware that he or she holds the specia], trust and confidence of u_-
the American people, conferred through the NRC license, and that his or her first responsibility is to assure that the reactor is in a safe condition at all times.
This policy statement specifically describes the Comission's exp!
tations of utility management and licensed operators in fulfilling NRC regula-tions and prior guidance regarding the conduct of con't'rol room operations.
,45 Y H 8903230182 PDR PR 890117 50 54 FRO 3424 h -pyh PDR 4 4gg <
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, The policy statement further provides the Commission's endorsement of industry ,
1 initiatives to enhance professionalism by both management and plant operators. !
EFFECTIVE DATE: January 24, 1989.
l FOR FURTHER INFORMATION CONTACT: Jack W. Roe, Office of Nuclear Reactor Regulation, U.S.. Nuclear Regulatory Commission, Washington, DC 20555, I
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Telephone: (301)492-1004. "
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SUPPLEMENTARY INFORMATION: i l
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Background j i
l It is essential that control room operators are (1) well trained and qualified, (2) physically and mentally fit to carry out their duties, and (3) attentive to plant status relevant to their responsibilities to ensure the continued safe operation of nuclear facilities. It is also essential that management at each nuclear power reactor facility establish and maintain a professional working environment in which the licensed operator may be fully .
successful in discharging his or her safety responsibilities. "'
On a number of occasions, the NRC has received reports and has found in-stances of operator inattentiveness and unprofessional behavior in control rooms of some operating facilities. Reported instances include: (1) licensed 1
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a operators observed to be apparently sleeping while on duty in the control room or otherwise being inattentive to their license obligation.s, (2) operators using entertainment devices (for example, radios, tape players, and video games) in the control room in a way that might distract their attention from required
_ safety-relatedduties,and(3)unauthorizedindividualsbeingallowedto manipulate reactivity controls. Such conduct is unacceptable and inconsistent with the operators' licensed duties.
I The Commission has previously addressed its expectations of operator c.on-duct in Commission regulations and regulatory guidance. Under,10CFR50.54(k),
"An operator or senior operator licensed pursuant to Part 55_of this chapter shall be present at the controls at all times during the operation of the facility."1 The continuous presence of a senior operator in the control room to ensure that the operator at the controls is able to perform the actions
! -and/or mitigate an accident is required by 650.54(m)(2)(111). Commission I regulations in 10 CFR Part 55 establish standards for licensing nuclear power plant operators.
1 Copies of Title 10, Code of Federal Regulations. Parts 0 to 50 and Parts .
51 to 199 (revised January 1,1988), may be purchased from the Superintendent of Documents, U.S. Government Printing Office, by calling (202)'275-2060 or by writing to the U.S. Government Printing Office, P.O. Box 37082, Washington, DC 20013-7082. Copies may also be purchased from the National Technical ,
1 Information Service, 5285 Port Royal Road, Springfield, VA 22161. A copy of 10 CFR is available for inspection and/or copying for a fee in the NRC Public Document Room, 2120 L Street, NW, Washington, DC. ;
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4 The Commission has addressed operator training and qualifications and fitness-for-duty in policy statements.2 Thel policy statement on training and qualifications endorsed the Institute of Nuclear Power Operations (INPO)-managed
_ Training Accreditation Program. The policy statement on fitness for duty ,
endorsed the concept that the workplace at nuclear power plants is-to be drug and alcohol free. Fitness-for-duty rulemaking is under consideration 'by the Commission.3 Guidance regarding the conduct of licensed operators and control room _
operations has been addressed in an NRC Circular and in NRC Information Notices.4 Specifically, IE Information Notice 79-20, Revision '1, emphasized that only licensed operators are permitted to manipulate controls [10 CFR 50.54(1)] and that a licensed operator is required to be present at the controls 2
Policy Statement on Training and Qualification of Nuclear Power Plant Personnel (50FR11147,liarch 20, 1985; and amerded 53 FR 46603, November 18, 1988) and Policy Statement on Fitness for Duty of Nuclear Power Plant Personnel (51FR27921, August 4,1986). ,
3 Proposed Rule on 10 CFR Part 26 Fitness-for-Duty Programs (53 FR 36795, September 22,1988). -
IE Circular 81-02, dated February 9, 1981; Information Notice 79-20, Revision 1, dated September 7, 1979; Information Notice 85-53, dated July 12, 1985; Information Notice 87-21, dated May 11, 1987; and Information Notice 88-20, dated May 5,1988 (available at the NRC Public Document Room at 2120 L Street, NW, Washington,DC).
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during facility operation [10 CFR 50.54(k)]. IE Circular 81-02 provided the- l following guidance: -(1) knowledge of the plant's status must be ensured during shift changes by a formal watch turnover and relief, (2) licensed operators must be alert and attentive to instruments and controls, (3) potentially distracting activities in the control room must be prohibited, (4) access to 1
the control room must be limited, and (5) eating and training activities should not compromise operator attentiveness or a professional atmosphere. Information i Notice 85-53 reiterated the guidance of IE Circular 81-02.
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j In Information Notice 87-21, the NRC informed all nuclear power reactor 1
facilities and licensed operators about certain licensed operators observed to be apparently sleeping while,on duty. The notice reaffirmed the necessity for high standards of control room professionalism and operator attentiveness to i
ensure safe operation of nuclear power facilities. Further, Information !
Notice 88-20 reiterated the concern about unauthorized individuals manipulating controls and performing control room activities.
l The Commission is aware that the industry has taken action to foster the development of professional codes of conduct by operators and has worked toward establishing management principles for enhancing professionalism'of nuclear personnel. The Connission believes that such an operator code of conduct developed by operators and supported by utility management can contribute to I
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l operator professionalism and commends the industry and especially the operators who contributed to these efforts. The Comission encourages and supports the 1
prompt and effective implementation: of these industry initiatives at each l licensed power reactor.
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The Comission has decided to issue this policy statement to help foster the development and maintenance of a safety culture at every facility licensed by the NRC, and to make clear its expectations of utility management and licensed operators in fulfilling NRC regulations and prior guidance regarding I
the conduct of control room operations. l 1
Policy Statement )
The Commission believes that the working environment provided for the
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l conduct of operations at nuclear power facilities has a direct relationship to l safety. Management has a duty and obligation to foster the development of a
" safety culture" at each facility and to provide a professional working environ-ment, in the control room and throughout the f acility, that assures safe opera-tions. Management must provide the leadership that nurtures and perpetuates .
the safety culture. In this context, the term " safety culture" is defined as follows:
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"The phrase ' safety culture' refers to a very general matter, the personal-dedication and. accountability of all individuals engaged in any activity which 4 has a bearing on the safety of nuclear power plants. The' starting point for 4
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the necessary full attention to safety matters is with the senior management of j all organizations concerned. Policies are established and implemented which. ]i ensure correct practices, with the recognition that their importance lies not !
just in the practices themselves but also in the environment of safety con-sciousness which they create. Clear lines of responsibility and communication i j
are established; sound procedures are developed; strict adherence to these pro-cedures is demanded; internal reviews are performed of safety related activi-i ties; above all, staff training and education emphasize the reasons behind the safety practices established, together with the. consequences for safety of shortfalls in personal performance.
"These matters are especially important for operating organizations and 1
the staff directly engaged in plant operation. For the latter, at a'il levels, training emphasizes the significance of their individual tasks from the stand-point of basic understanding and knowledge of the plant and the equipment at their comand, with special emphasis on the reasons underlying safety limits .
and the safety consequences of violations. Open attitudes are required in such staff to ensure that information relevant to plant safety is freely comuni-cated; when errors of practice are committed, their admission is particularly 5
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9 encouraged. By these means, an all pervading. safety thinking is achieved, allowing an inherently questioning attitude, the prevention of complacency, a "
commitment to excellence, and the fostering of both personal accountability'and-corporate self-regulation in safety matters."5 Nuclear power plant operators have a' professional responsibility to ensure' that the facility is operated safely and within the requirements of the facility's license, including its technical specifications and the regulations and orders of the NRC. Mechanical and electrical systems and components required for safety can and do fail. However, the automated safety features of the plant, together with the operator, can identify at an early stage degradation in plant systems that could affect reactor safety. The operator can take action to mit-igate the situation. Therefore, nuclear power plant operators on each shift must have knowledge of those aspects of plant status relevant to their respon-sibilities, maintain their working environment free of. distractions, and using all their senses, be alert to prevent or mitigate 'any operational problems.
Each individual licensed by the NRC to operate the controls of a' nuclear power reactor must be keenly aware that he or she holds the special trust and con-fidence of the American people, conferred through the NRC license, and that his .-
or her first responsibility is to assure that the reactor is in"n safe condition at all times.
5 International Nuclear. Safety Advisory Group (INSAG)-3, Basic Safety Principles for Nuclear Power Plants.
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, . The following criteria reflect the Commission's expectations concerning the conduct of operations in control rooms and' licensed operators at nuclear !
reactors consistent with 10 CFR 50.54 and guidance provided in an NRC Circular and Information Notices:
Conduct within the control room should always be professional and i 4
proper, reflecting a safety-minded approach to routine operations. I s
The operator "at the controls" and_the immediate supervisor must j never relinquish their safety responsibilities unless properly
'I relieved, including a thorough turnover briefing, by a qualified operator.
Activities within the control room should be performed with formality. l Operator actions must be in accordance with approved procedures.
Verbal communications should be clear and concise. Appropriate con-sideration should be given to the need for acknowledgement and veri-fication of instructions received.
The control room of a nuclear power plant, and in particular the area .
"at the controls", must be secure from intrusion. Access should be strictly controlled by a designated authority; only authorized per-sonnel should be permitt3d to be present in the control room; and regulatory restrictions concerning manipulation of the controls must be meticulous ly observed.
1s 1 The operator at the controls, and the immediate supervisor, must be continuously alert to plant conditions and ongoing activities affect-ing plant operations, including conditions external to the plant such as grid stability, meteorological conditions, and change in support
_ equipment status; operational occurrences should be anticipated; .
alarms and off-normal conditions should be promptly responded to; and problems affecting reactor operations should be corrected in a timely fashion.
Activities within the control room should be limited to those necessary for the safe operation of the plant. Management should provide the direction, facilities, and resources needed to accommodate activities not directly related to plant operations.
Activities outside the control room with the potential to affect plant operations, such as on-line maintenance and surveillance, should be fully coordinated with the control room. Effective methods for com-munication with or notification of the operator at the controls should be established and maintained throughout each evolution. .
..g Written records of plant operations must be carefully prepared and maintained in accordance with requirements for such records and in sufficient detail to provide a full understanding of operationally significant matters.
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The working environment in the control room shoulo oe maintained to minimize distractions to the operators. Management should act to remove distractions that would interfere with the operator's ability I to monitor the plant either audibly or visually, including work activities that are not related to the operator's immediate respon-sibility for safe plant. operation. Consideration should be given to reducing environmental distractions such as lighted alarms that are not operationally significant, or alarms that signify normal operating l conditions.
Foreign objects and materials not necessary for plant operations, i ongoing maintenance, or surveillance testing should be restricted from the area "at the controls" to preclude inadvertent actuation of i the controls or contamination of control devices.
l Implementation of Policy l The Commission intends this Policy Statement to make clear the Commis- ;
sion's expectations and to provide guidance to licensees in improving and ,
assessing the conduct of operations in the control rooms of nuclear power plants. The Commission believes that utility management should routinely monitor the conduct of operations at the plant, particularly in the control room, and review their, procedures and policies on the conduct of operations, considering the guidance of this policy statement, to assure they support an '
environment for professional conduct.
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l Nothing in this policy statement limits the authority of the NRC to take l appropriate enforcement action for violations of Comission requirements or on matters otherwise affecting the safe operation of the plant and thus the public health and safety. 4 J
Dated at Rockville, Maryland, this 17th day of January ,1989.
For the Nuclear Regulatory Comission.
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amuel J. Chilk i ;
Secretary of the Comission.
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