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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.

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Presentation on theme: "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."— Presentation transcript:

1 Yong Hee Lee (yhlee@kaeri.re.kr)
16-th Annual HPRCT Conference Baltimore, MD, USA, June 21-25, Development of a Human Factors Management Program (HFMP) for Operating Nuclear Power Plants in Korea Yong Hee Lee 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
Nuclear Power Plants Unit Power (MW) Commercial Operation Start RX Type  Kori 1 587 1978 PWR 2 650 1983 3 950 1985 4 1986 Yonggwang 1987 1,000 1995 1996 5 2002 6 Nuclear Power Plants Unit Power (MW) Commercial Operation Start RX Type Wolsung 1 679 1983 PHWR 2 700 1997 3 1998 4 1999 Ulchin 950 1988 PWR 1989 1,000 5 2004 6 2005 ( Black- FSAR Ch Blue - DCRDR Brown - None )

5 Introduction (3) 12 Basic Activities in HFE Program Plan for HFE Program Review Model(0711) This figure shows HFE Program Review Model Review Elements. This HFE Program Review Model consists of four general activities including Planning analysis, design, verification and validation, and implementation and operation.

6 Human Factor Review Items in PSR
HF items defined in the Enforcement Regulation of the Acts Tech. Areas by KAERI 9. Human factors (a) Staffing levels for the operation of a nuclear power plant with due recognition of absences, shift working and overtime restrictions (b) Availability of qualified staff on duty at all times (c) Programs for initial, refresher and upgrade training, including the use of simulators (iv) Human Factors for Human Resources Management Work status Qualification and assignment Training Prog. & Simulator (d) Information requirements and workload of staff (iii) Information Requirements and Workload Assess. (e) Man-machine interface (MMI) (ii) MMI 6. Use of experience from other plants and of research findings (a) Appropriateness of the plan and system for the feedback of experience (relevant to human factors) (b) Programs for the feedback of experience and research findings (relevant to human factors) incorporated into other areas Accumulated records of Operations 7. Procedures (c) Clarity of procedures with human factor principles taken into account (i) Human Factors in Procedures

7 HF items in the revised IAEA PSR Guide(2003)
(a) Staffing levels for the operation of a nuclear power plant with due recognition of absences, shift working and overtime restrictions (b) Availability of qualified staff on duty at all time (c) Policy to maintain the know-how of the plant staff (d) Systematic and validated staff selection methods (e.g. testing for aptitude, knowledge and skills (e) Programmes for initial training, refresher training and upgrading training, including the use of simulators (f) Training in safety culture, particularly for management staff (g) Programmes for the feedback of operating experience for failures and/or errors in human performance that have contributed to safety significant events and of their causes and corrective actions and/or safety improvements (h) Fitness for duty guidelines relating to hours of work, good health and substance abuse (i) Competence requirements for operating, maintenance, technical and managerial staff (j) Human-machine interface: design of the control room and other work stations; analysis of human information requirements and task workload; linkage to PSA and deterministic analyses (k) Style and clarity of procedures 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 Implementation Process of HF PSR
Establishment of relevant criteria and assessment procedures Criteria for Procedure assessment Criteria for MMI assessment Criteria for other HF assessment Detailed Assessment -document-based assessment -on-site reviews -expert panel reviews -experimental evaluations yes Satisfy criteria? 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
Issue No. Titles of PSR Issues Description Current Status K1-PR-31 Development of a procedure management system development of guidelines for managing HF in the procedures including the HF management criteria and processes Under development by KAERI (HFMP) K1-HF-37 Development of an HF improvement and management system K1-HF-37.1 development of an integrated HF management system including MMI K1-HF-37.2 Integration and improvement of the information and monitoring functions of the plant computer system K1-HF-37.3 improvement of the remote shutdown panel K1-HF-37.4 improvement of the MMI elements and colors K1-HF-38 Improvement of the main control board and the simulator gradual improvement of the main control board and installation of a simulator K1-OA-33 Assessment of the suitability of departmental workload and  personal workload task analysis completed by KHNP K1-OA-35 Enhancement of training and education enhancement of EOP performing ability K1-HF-36 Improvement of the shift work man-power enhancement and organization change K1-PC-1 Preparation of a BISI installation plan BISI installation, or OACS (Operation Aid Computer System) utilization, or procedure modifications Upgrade design of MCR, RSP, and other systems by KOPEC * Independent review by NETEC of KHNP & KAERI 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 personnel to 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 Management Procedures Technical Guidelines and Criteria Various forms for Tasks ; Checklists , etc. e-HFMP : Web-based Support System Unexpected Event of NPP by Human Error Efficiency HFMP Control for the Hazard Factors Systematic Administration of Human Factors Safety Performance Effectiveness NEEDS Man System

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

16 Structure of HFMP HF Procedure HF Commission Detailed Guidelines
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
Team in Charge Cooperation Team Human Factors Commission Human Factors Administrator Support & Back up Management of Pending Issues Putting a Important Item Management of Guidelines in Charge Exchanging a Information 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, IR Guideline Checklist for Acceptance Inspection : 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 eg.) MMI Transaction of Trouble Report
TR output & technical investigation Safety & technical investigation Power fluctuation TR Major maintenance TR General TR Working acknowledgment Work execution Performance test Acknowledgment of work completion Input of work result TR publication TR acknowledgment & confirmation TR design Work termination -TR, Maintenance & Inspection Report, Revision Record, Instrument Record TR FILING contract direct QA information Performance verification QA investigation

20 eg.) Task Analysis : Transaction of Trouble Report for MMI in NPPs
1 2 3 4 SEQ.No. Detailed operation Dept. Charge Input inform. Output inform. Restriction Method ERP 5 TR publication (power gen.) Power gen. Staff PSR, Safety TR Document. TR publication (the others) The others TR acknowledgment I & C Solution Conference TR design Design spec. TR output & technical invest. Technical review Direct 6 Contract 7 Safety & technical Invest. Head sec. Power fluctuation TR Safety & Tech. review Investigation 8 Major maintenance TR 9 General TR 10 Working acknowledgment Technical order Acknowl. 11 QA information QA QA occur. 12 Work execution Maintenance Execution 13 Performance test Power gen.  Operator Result of perform. Test 14 Performance verification Result of perform. test Perform. Verification Verification 15 QA investigation  QA of result Result QA investigation 16 Acknowledgment of work completion Work result Acknowledgement 17 Input of work result Work result  18 Work termination 19 Maintenance & inspection report 20 Revision record 21 Instrument record 22 TR document File MCR Equipment Maintenance Transaction of TR

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

22 eg.) Management Tasks for MMI : Purchase Phase
1 2 3 4 SEQ.No. Detailed operation Dept. Charge Input inform. Output Inform. Restriction Method ERP Searching material inventory Demand division Computation Changing/Making material inventory Approval Making of PM Order NO stock MRP execution 5 PR(Purchase Request) creation 6 Purchase plan establishment/approval Contract (material) division K-Pro 7 Purchase promotion 8 Decision of contractor 9 Making/Input of PO (purchase order) 10 Electronic contract (indent) document 11 Input of electronic invoice Contractor 12 Acceptance inspection / store 13 Bill of accounts (store) Automatic creation 14 Input of invoice 15 Bill of payment request 16 Payment Account division 17 Seq. 3 Exist stock 18 Delivery reservation PM Order Release 19 Delivery operation 20 Budget check 21 Bill of accounts (delivery) 22 Request of exchange 23 Operation of exchange 24 Bill of accounts (exchange) MCR Equipment Purchase Purchase & Store/Delivery of Material

23 Detailed HFE Standard/Specification : Digital Indicator (example)
3 4 5 2 10 20 30 40 50 60 ℓ/h 100mm 35mm Color : White Font : Gothic Size : 10pt Color : Black 5-6mm 75-85mm Size : 20pt Color : Green Brightness : 250cd Size : 1ф Resolution : 100(above) 10mm 30mm Scale color : Black Major : 6mm Intermediate : 4mm Minor : 2mm Thickness : 1.5mm 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 or 20, 40, 60

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 eg.) Task Procedure : Management of EOP
Organization and instruction of the procedure writing team Technical guideline development Writer’s 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

26 plan, writing validation Title of task Task details Remarks
Organization and instruction of the writing team for EOP(AOP) organization and training of the writing team for EOP(AOP) Material acquisition and review fundamental materials acquisition and review for EOP(AOP) of Operation Office Development of technical guideline and writer’s guide writing of the fundamental documents to be basis of procedure writing Organization and instruction of validation team organizing the validation team for EOP(AOP), instruction for validation process Organization and instruction of verification team organizing the verification team for EOP(AOP), instruction for verification process EOP(AOP) writing writing of EOP(AOP) based on the technical guideline and writer’s guide plan, writing validation Title of task Task details Remarks Preparation of EOP validation acquisition and review of fundamental materials for EOP Validation of EOP evaluation of the suitability in terms of writing and the precision of technical information Problem solving of EOP after the validation suggestion and writing of the solving alternatives, writing of the solving alternatives after the discussion between writers and validation persons, implementation of the solving alternatives Reporting and documentation of the validation result of EOP writing of the verification result report, documentation after the final approval of the Chief manager, Operation Office refer to the maintenance procedure Preparation of EOP verification choice of verification method (simulator, field survey, discuss, etc) Verification of EOP selection of verification scenario, writing of the evaluation criteria sheet, selection of the shift operator evaluation of the suitability in terms of using and operation writing the verification checklist and inconsistencies Problem solving of EOP after the verification cause analysis of inconsistencies, suggestion and review of the solving alternatives Approval and implementation of EOP after verification implementation of the solving alternatives after the approval of Senior manager, Operation Section Reporting and documentation of the verification result of EOP documentation of the verification result report after final approval

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 is required

29 Technical Fields for the Human Resource Management in NPPs
Number PSR item Category Contents for Guidelines and Procedures 1 9.A Working time suitable working time, overtime, rest time, commuting time 2 Working attitude Off-day, holiday, taking over the duty 3 Abnormal condition 4 Shift work guideline, schedule 5 Transition 6 Responsibility of transition 7 A health (medical) Examination 8 additional examination detailed medical examination 9 epidemiological examination solution 10 assessment of physical environment procedure and guideline of physical environment 11 mental health, drug abuse operator 12 improvement of health 13 Musculo-Skeletal disorders 14 Cardio-cascular and cerebro-vascluar accident management of health 15 job Stress management of job condition 16 accident prevention 17 fire, emergency 18 protection tools 19 warning post 20 9.B Recruit Existence and observance of criteria for recruit 21 Maintenance Qualification Qualification condition, Completion of essential training for qualification 22 maintenance specialty, Know-how Application content of employee’s know-how and human errors 23 9.C SAT Systematic training program 24 Safety culture Safety culture training program particularly for management staff 25 Training program using simulator 26 Propriety of simulator 27 training for cooperator 28 9.D Information requirement and workload

30 eg.) Shift work support tools: Scheduler (Shift Work Support Systems)(1)
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. 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 Advantage

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 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 Available working Complete remission, conclude treatment according to judgment of the medical specialist Stop treatment at patient's option 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 Complete remission, Need of maintenance therapy Develop symptoms Available working Need of diagnosis Denial of maintenance 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 Need for human factors management 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 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 curative drug use curative drug using Available working Retry of drug taking test Need for human factors management 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
No. Course Time HF Supervisor HF Manager 1 Practical Human Factors Engineering 6 O 2 Human Factors Management Program 4 3 Operational Experience from precedent examples Practical Operational Experience 5 Work Physiology in NPP Work Psychology in NPP 7 Practical Human Error 8 Practical Prevention for Human Error Total 30 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
eg.) Education Materials for Human Factors Eng A way of making a question Confidential [Question] (Let’s describe a question’s text in the next row)  What is corresponding answer which input other people’s a pattern of behavior or an attitude in the mechanism of human relationship or detect something like oneself among other peoples? [A] suggestion  [B] imitation [C] projection [D] identification [Answer] D [Answer’s explanation] A. suggestion is to get uncritically logical and realistic without evidence the thoughts, feelings or behavior of another. B. imitation is an advanced behavior whereby an individual observes and replicates another's. C. projection is to regard suppressible something inside oneself as someone else's.

38 Thank you. Conclusion Please let me know if Anyone want to
Health Mgt. Behavior Improvement Effectiveness Eval. Event Investigation QA Issue HF Review 개별 인적 요소 Work Support Human Factors Employee Procedure Duty Qualification Training Workload MMI Legal Requirements (PSR) Personal Protection Device Safety Culture Hazard Dangerous Discrimination e-HFMP Performance Leadership Mgt Evaluation Method Individual Factors HFMP 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 Please let me know if Anyone want to exchange the Experiences and Perspectives on the Human Factors Management Program (HFMP) in NPPs. Thank you.


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