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Yong Hee Lee (yhlee@kaeri.re.kr)

16-th Annual HPRCT Conference Baltimore, MD, USA, June 21-25, 2010 Development of a Human Factors Management Program (HFMP) for Operating Nuclear Power Plants in Korea. Yong Hee Lee (yhlee@kaeri.re.kr). I & C ∙ Human Factors Division Korea Atomic Energy Research Institute.

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Yong Hee Lee (yhlee@kaeri.re.kr)

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  1. 16-th Annual HPRCT ConferenceBaltimore, MD, USA, June 21-25, 2010Development of a Human Factors Management Program (HFMP) for Operating Nuclear Power Plants in Korea Yong Hee Lee (yhlee@kaeri.re.kr) I & C ∙ Human Factors Division Korea Atomic Energy Research Institute

  2. Introduction : Human Factors Activities in Korean NPPs • In Korea, 20 NPPs in Operation and 6 Units in Construction • Self-reliance of NPP Tech. and Export to UAE • Nuclear Renaissance : Energy Self-reliance -> CO2/Environment Protect • Regulations by Nuclear Law and Codes : • Safety First for Public Acceptance • Detailed Regulations and Codes for Machinery and Tech. • Very Conceptual Requirement Definition for Human Errors • Status of Human Error Events in Korean NPPs • Specific Means to Human Errors in NPPs : HPES, etc. • 13%(utility) vs. 25%(regulatory) vs. 36%(Research) • NPP performance enhancement project : 9402 campaign • Human Resource Management Issues for HE Prevention ★

  3. Introduction : HF Activities in NPP Safety Regulation • Post-TMI Actions • D-CRDR • EOP Upgrade • ERF/SPDS • FSAR Ch. 18 Human Factors Engineering • KSNP • APR-1400 • Safety Reviews of Operating NPPs • Safety Review on Changes and Enhancements : SPDS/ERF etc. • Periodic Safety Review (PSR) -> Minor change reports • IAEA Safety Series No. 50-SG-O12 • Introduced by the Atomic Energy Acts in 2001 • Upgrade Review for Continuous Operation • Safety Inspections of Operating NPPs • Inspections during O/H Periodic Inspection • Analysis and data management of events and near-misses • Maintenance of MMI • Actions taken against human performance degradation • Investigation of trip events involving human errors

  4. Introduction : Status of D-CRDR & FSAR Applications in Korea ( Black- FSAR Ch. 18 Blue - DCRDRBrown - None )

  5. Introduction (3) 12 Basic Activities in HFE Program Plan for HFE Program Review Model(0711)

  6. Human Factor Review Items in PSR

  7. HF items in the revised IAEA PSR Guide(2003) Items (c), (d), (f), (h), and (i) are new compared to those in the 1994 version. KAERI incorporated these items into the area (iv) human resources.

  8. Criteriafor MMI assessment Criteriafor other HF assessment Criteriafor Procedure assessment Satisfy criteria? Implementation Process of HF PSR Establishment of relevant criteria and assessment procedures Detailed Assessment -document-based assessment -on-site reviews -expert panel reviews -experimental evaluations yes Report of satisfied factors no Issue collection and evaluation Report of issues and corrective action plans Report to KINS KINS evaluation

  9. Requirements for Continuous Operation • The Enforcement Regulation of the Atomic Energy Act was revised in September 2005. • added two items to the existing PSR items (i) life assessment of the major components in consideration of the duration of an extended operation, (ii) assessment of the radiation effects for the environments changed after the operating license. • In human factors aspects, the resolution of HF PSR issues is required for a Continuous Operation. • Request for the Continuous Operation permit for Kori 1 (out of 30 years design life) was submitted by July 2007.

  10. HF Issues and Resolutions from Kori #1 PSR Nuclear Engineering & Techonology Institute (NETEC)

  11. Upgrades of Kori # 1 MMI • Two stage upgrades • first stage : until July 2007 • upgrades of MMI as a PSR issue resolution • PSR issue resolution • second stage : until 2011 • massive upgrades of MMI beyond PSR issue resolution requirements • Introduction of Human Factors Management Program (HFMP) • Upgraded MCR by KOPEC • Design with a Simulator in advance • Independent Reviews by KAERI • Implementation by HEC

  12. Human Factors Management Program (HFMP) by KAERI • To resolve some HF issues after the Kori #1 PSR for the Continuous Operation • For plant personnelto manage Human Factors in the plant continuously by themselves • Human Resource Management • Management of MMI • Management of Procedures • Support other HF Issues in Kori #1 • The first version by July 2007, • the final version by Dec. 2010. • Management Procedures • Technical Guidelines and Criteria • Various forms for Tasks ; Checklists , etc. • e-HFMP : Web-based Support System HFMP Efficiency Effectiveness Systematic Administration of Human Factors System Safety Control for the Hazard Factors Man Unexpected Event of NPP by Human Error Performance NEEDS

  13. Human Factors Management Program (HFMP) by KAERI 1. General human factors management program (HFMP) • Kori # 1 human factors management procedure: a high level procedure governing the MMI, procedures, work environment, qualification, work condition, etc. • Human factors management guides for individual jobs: detail guides (general and specific guides) for the lower level documents relevant to a design, purchase, fabrication, installation, operation, maintenance, etc. • Criteria for a human factors management organization and committee • Criteria and process for decision making on human factors issues • Procedure for a change of the HFMP 2. Procedures and guidelines for MMI management • Procedures for MMI management: maintenance, test for replace, purchase, etc. • Control board design criteria: arrangement and integration criteria for analog, hybrid, and digital type control boards • Design criteria for each device type - controllers, indicators, labels, indication lights, and recorders • Design criteria for computer monitors • Supplemental tool criteria: covers, tags, etc. • Environmental factor management criteria: temperature, humidity, noise, illumination, etc. • Criteria for a control board and device operation • MMI checklists

  14. Human Factors Management Program (HFMP) by KAERI 3. Procedures and guidelines for plant procedure management - EOP management guidelines including verification and validation guidelines - General guidelines for a procedure management - Detailed human factors guidelines for writing procedures - Checklists and forms for procedure assessments 4. Procedures and guidelines for the management of other human factors - Common human factors criteria or guidelines - terminology, abbreviations, etc. - Personnel management guidelines: stress, the musculoskeletal system, health, substance abuse, etc. - Training and education management guidelines - Guidelines and supporting tools for a work management and an overtime management • Work environment human factors management guidelines 5. HFMP application and validation 6. Description of the Kori# 1 MCR and RSP 7. Management of the Kori #1 human factors issues raised from the past to the present 8. Revision of the Kori 1 procedures 9. Development training materials for a human performance enhancement 10. Development of a human factors assessment methodology

  15. Effects and Benefits through the Application of HFMP Early Stage Invigoration Stage • Increased Operation Technology • Safety & Competitiveness Systematic Administration Administrative Standards Organizational Mgt. Object & Procedures Effective Job Performance Division of Duties Periodic Mgt. of Safety Sys. Trial Application Characterized Mgt. Goal Familiarity Continuous Feedback Modification

  16. Structure of HFMP HF Procedure HF Commission Detailed Guidelines Procedure Human Resource Qualification Training Workload MMI General - GOP etc. General. Qualification Mgt. SAT Information Mgt. on Duties MCR Experience OER EOP Shift work Training Program based on Simulator Maintenance Physical/Mental Health, Drug Computerized Equipment Information Work Environment Local Equipment Education Material Job Stress Inspection / Test Equipment Application of PSR Musculoskeletal Disorders General Equipment & Facility Evaluation Method

  17. Organizational Structure of HFMP • Cooperation Team • Team in Charge Support & Back up HFMP Management of Pending Issues Putting a Important Item Management of Guidelines in Charge Exchanging a Information • Human Factors Administrator • Human Factors Commission • Human Factors Expert • Main Administrating Factors • Human Engineering Discrepancy • Important Item • Human Factors Management Procedure • Detailed Guidelines • Contractor Deliberation & Determination related to Safety Coordination for Division of Duties Establishment of Authority

  18. MMI Guidelines in HFMP : • Human Factors Guideline for the Instruments of MCB (ex. Purchasing Process) • Present : Purchasing Process + Human Factors Checklist • Improvement : Reinforcement of Purchasing Process – Operation Guideline, Technical Standards, and etc. • Description for Detailed HF Spec. of Instrument : Detailed Technical Guideline(1) • Providing Detailed HF Spec./Standard to Provider : Detailed Technical Guideline(2) • Management & IR of Detailed Design Spec. from Provider : UAT/GAT/PAT Guideline, IRGuideline • Checklist for AcceptanceInspection : HF Checklist of Instrument • Field Installation Standard : Installation Standard/Checklist + Revision of Documented Procedure (if necessary) • Managerial Standard : Purchasing Standard + Supply Spec. of Instrument + Installation Standard + Control Standard

  19. TR publication TR acknowledgment & confirmation contract TR design TR output & technical investigation direct TR output & technical investigation Safety & technical investigation • Power fluctuation TR • Major maintenance TR • General TR Working acknowledgment QA information Work execution Performance test Acknowledgment of work completion QA investigation Performance verification Input of work result Work termination -TR, Maintenance & Inspection Report, Revision Record, Instrument Record TR FILING eg.) MMI Transaction of Trouble Report

  20. eg.) Task Analysis : Transaction of Trouble Report for MMI in NPPs MCR Equipment Maintenance Transaction of TR

  21. Purchase plan establishment/approval Purchase promotion Electronic contract document Input of electro. invoice Decision of contractor approval approval approval approval 3 4 PR (purchase request) creation Making/Input of PO (purchase order) Acceptance inspection/store Input of invoice Payment approval 5 MRP execution 2 Delivery reservation Delivery operation Bill of payment request Bill of accounts Release Making PM Order Budget check unpaid contractor (GR/IR) contractor deposit approval Bill of accounts Inventory account unpaid(GR/IR) 1 Changing/Making material inventory Expense account Inventories approval Request of exchange Operation of exchange Searching Material Inventory Bill of accounts Demand division Contract (material) division Contractor Account division Automatic creation eg.) Management Tasks for MMI :Purchase Phase (with ERP system) Source : Dreams 구매/자재관리 교육, p. 5

  22. eg.) Management Tasks for MMI :Purchase Phase MCR Equipment Purchase Purchase & Store/Delivery of Material

  23. 30mm Font : Gothic Size : 20pt Color : Green Brightness : 250cd 5 2 0 3 4 10mm Font : Gothic Size : 10pt Color : Black ℓ/h 60 Color : Green Size : 1ф 50 Color : White Font : Gothic Size : 10pt Color : Black 40 100mm Scales should have tick marks at a standard interval of 1, 2, 5, or 10 (or multiples of 10) for labeled divisions Ex) 1, 2, 3, 4 / 10, 20, 30, 40 or 5, 10, 15, 20 or 2, 4, 6, 8 or20, 40, 60 75-85mm 30 20 Color : Green Resolution : 100(above) Brightness : 250cd 10 Scale color : Black Major : 6mm Intermediate : 4mm Minor : 2mm Thickness : 1.5mm 0 5-6mm 35mm Detailed HFE Standard/Specification : Digital Indicator (example)

  24. Human Factors of Procedures • Writers’ Guide for Procedures (Example) • Detailed Guidelines on the human factors of the procedures for procedure writers - example: (Kori-1) EOP writing guideline

  25. Organization and instruction of the procedure writing team Writer’s guideline development Technical guideline development EOP(AOP) writing EOP(AOP)validation EOP(AOP) verification EOP(AOP)approval EOP(AOP)documentation EOP(AOP) training Procedure revision and maintenance EOP(AOP) disuse eg.) Task Procedure : Management of EOP

  26. plan, writing validation

  27. Human Factors of the Procedures in NPPs • Checklist Forms for management of HFs in the Procedures • a checklist for the procedure suitability • Constant Technical Items applied in Periodic Safety Review

  28. eg.) A Guide for the improvement of the procedures 14.0 Verify that the C/V watering is not required If possible, the descriptions should be expressed simply. The descriptions having negative meanings should be avoided. 14.0 Verify that the C/V watering isrequired

  29. Technical Fields for the Human Resource Management in NPPs

  30. Advantage objective The objective is to consider two factors: i) the difference of the sum of the work times (including M, A, N, S, and T) and ii) that of the break times (B) among each workgroup. The two factors should be minimized to balance the workloads in each workgroup Min. where d1: the difference of the sum of the work times in each workgroup. d2: the difference of the sum of the break times in each workgroup. eg.) Shift work support tools: Scheduler (Shift Work Support Systems)(1)

  31. eg.) Shift work support tools: Scheduler (Shift Work Support Systems)(2) Calculation and Allocation of work time Substitute of manpower Restriction of work allocation

  32. Need for human factors management Fitness For Duty : A Management Procedure for the Mental Health A doubt Of mental illness in the screening test A confirmation of patient’s pretreated experience A diagnosis and opinion of psychiatrist Stop treatment at patient's option Available working Complete remission, conclude treatment according to judgment of the medical specialist Retry of a diagnostic workup in the health-screening team Retry of diagnosis by the medical specialist whom patients receive treatment Results of diagnosis Complete remission, No need of maintenance therapy Develop symptoms Complete remission, Need of maintenance therapy Available working Need of diagnosis Denial ofmaintenance therapy Denial of treatment Need of job transfer while receiving treatment A serious illness , After temporary retirement from office, an positive treatment A slight symptoms A serious illness The necessity of job transfer Job transfer Temporary retirement from office Job transfer Retry of a diagnostic in every 6 months (diagnosis by the medical specialist) Available working Decision whether com back or not by the medical specialist whom patients receive treatment

  33. Fitness For Duty : Job Stress Evaluation and EAP Based on Survey Result from KOSS in 2009

  34. Need for human factors management Fitness For Duty : A Management Procedure for the Drug Taking Drug taking test positive negative Cocaine THC Methamphetamine (MET) Morphine (OPI) Confirming medication by the diseases (medical certificate, list of drug dose) No evidence of curativedrug use curativedrug using Available working Retry of drug taking test positive negative

  35. A guide for the Development of Campaign Posters against to the Human Errors • Trip Events Report => Lesson Learned • Precursors and Error Shaping Factors to the Human Errors • Selection Guide for the Additional Posters • For Training Material to Human Error Lesson • For Campaign for the Human Error Prevention

  36. A Proposed Training Content to meet the HFE Requirements in HFMP Substitute Course : K-HPES, Human Performance Expert Education Course The subject of Training : a new employee, redeployed person, an experienced person about human error

  37. eg.) Education Materials for Human Factors Eng. - A way of making a question Confidential • [Question] (Let’s describea question’s text in the next row) What is correspondinganswer which input other people’s a pattern of behavior or an attitudein the mechanism of human relationship or detect something like oneselfamong other peoples? [A] suggestion  [B] imitation [C] projection [D] identification • [Answer] D • [Answer’s explanation] • A. suggestionis to get uncritically logical and realistic without evidence the thoughts, feelings or behavior of another. • B. imitationis an advanced behavior whereby an individual observes and replicates another's. • C. projectionis to regard suppressiblesomething inside oneself as someone else's.

  38. Conclusion MMI HF Review Workload • Human Factors Management Program (HFMP) for NPPs • Periodic Safety Review and Regulation of NPPs in Korea • HFE Activities for the currently operating NPPs • PSRs have revealed many Human Factors Issues. • Human Factors Issues are various to improve the Operation of NPPs • HFMP is proposed to enhance and efficiently manage the human factors in the Korean NPPs. => Kori #1 • technical programs for HFMP • Planned with MCR Upgrade Issue Mgt. Training Effectiveness Eval. Qualification Human Factors Legal Requirements (PSR) Event Investigation Duty HFMP Work Support QA Procedure Please let me know if Anyone want to exchange the Experiences and Perspectives on the Human Factors Management Program (HFMP) in NPPs. Evaluation Method Behavior Improvement Employee Mgt. Hazard Mgt. Personal Protection Device Health Mgt. Individual Factors e-HFMP Leadership 개별 인적 요소 Safety Culture Thank you. Dangerous Work Discrimination Work Mgt Human Performance Eval.

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