1. IAEA International Atomic Energy Agency Technical Meeting on Regulatory Oversight of Human and Organizational Factors Vienna, Austria | 14-18 December 2015 Breakout sessions

2. IAEA Two breakout sessions To facilitate discussions and interaction among the participants in a smaller group: HOF concept and what areas need for oversight on HOF Content of a HOF regulatory oversight programme Every group will be requested to share their results and conclusions in plenum December 2015TM on Regulatory Oversight of HOF2

3. IAEA Group Composition Group 1 (M7) Vanik Nersesyan (Armenia) Ivan Raukach (Belarus) Marco Alvarenga (Brazil) Hristo Botsoev (Bulgaria) Alice Salway (Canada) Radim Dolezal (Czech R.) Lusiana Waqualezu (Fiji) Group 4 (M7) Aude Geniaux (France) Werner Fassmann (Germany) Ram Gupta (India) Anri Ridwan (Indonesia) Takaya Hata (Japan) Mohammad Rababah (Jordan) Dong-Hoon Lee (Korea R.) December 2015TM on Regulatory Oversight of HOF3

4. IAEA Group Composition Group 3 (MOE13) Amer Mahmood (Pakistan) Mari Nykanen (Finland) Viktor Szabó (Slovakia) Gladys Motlhabane (South Africa) Oleksandr Pecherytsia (Ukraine) Minh Le (Vietnam) December 2015TM on Regulatory Oversight of HOF4

5. IAEA HOF concept and what areas need for oversight on HOF Scope: To (further) develop a common understanding on HOF and the importance to deal with HOF Principle 3 of the Fundamental Safety Principle SF-1 states that, among other aspects 3.14. An important factor in a management system is the recognition of the entire range of interactions of individuals at all levels with technology and with organizations. To prevent human and organizational failures, human factors have to be taken into account and good performance and good practices have to be supported December 2015TM on Regulatory Oversight of HOF5

6. IAEA HOF concept and what areas need for oversight on HOF From GS-G-3.5 | Human factors and the interaction between individuals, technology and the organization (2.35) In a given situation, individuals have various types of resource at their disposal to enable them to carry out a task successfully Intrinsic to the individual: competence, motivation, cognitive abilities… Physical resources: Instrumentation, procedures or computer aids… Residing in the working environment: through teamwork, communication and leadership, in the management system and culture... All the resources (and their combination) help in preventing human error by providing barriers to error When the content, design and organization of a task correspond to the individual’s needs and capabilities, the conditions prevail for the individual to perform in a way that promotes safety December 2015TM on Regulatory Oversight of HOF6

7. IAEA HOF concept and what areas need for oversight on HOF Groups 3 How HOF can be considered to contribute positively to safety? How can HOF management prevent from human errors? What should be addressed to prevent organization failures? What are the key attributes for managing organizational changes? Should HOF permeate all activities? Should not be too cumbersome? How to manage HOF? Role of the management system What are the difficulties to oversee HOF? December 2015TM on Regulatory Oversight of HOF7

8. IAEA WG 3 Outputs (1) Should HOF permeate all activities? Question is wrong Taking into account the scope of this meeting, HOF permeates all activities during the lifetime of nuclear installations as : Design, Construction, Commission, Operation (Maintenance, Human Resource Management, Engineering and Technical support, Waste Management, Change Management) Decommissioning December 2015TM on Regulatory Oversight of HOF8

9. IAEA WG 3 Outputs (2) Should not be too cumbersome? Yes, because RB need to find the right way between too descriptive or too general. RB uses graded approach for assessment and evaluation of requirements. HOF are intangible. December 2015TM on Regulatory Oversight of HOF9

10. IAEA WG 3 Outputs (3) How to manage HOF? Role of the management system RB doesn't manage HOF as separate objectives, but earlier is identifying in all objectives of regulatory activities as follows: Authorization, Inspection or Assessment. LH should focus attention in documentation of integrated management systems for all aspects of HOF. December 2015TM on Regulatory Oversight of HOF10

11. IAEA WG 3 Outputs (4) What are the difficulties to oversee HOF? Deficiencies and gaps in regulations and guidelines where HOF issues should be addressed (proactive requirements). It is not so easy to ensure validity of input data to support the oversight of HOF issues. Different analytical tools and methods (i.e. set of safety indicators with defined thresholds and respective actions; different RCA methods for the events’ analysis; etc.) should be used to oversee HOF properly. Respective amount of resources and expertise should be allocated at RB for that purposes. December 2015TM on Regulatory Oversight of HOF11

12. IAEA 12 j.jubin@iaea.org THANK YOU