State Nuclear Regulatory Inspectorate of Ukraine
SSTC NRS
National Academy of Sciences of Ukraine
State Scientific and Technical Center for Nuclear
and Radiation Safety
Technical Meeting on Regulatory Oversight of Human and
Organizational Factors
IAEA Headquarters, Vienna, Austria
14-18 December, 2015
Supporting of the regulatory activities in the
area of human and organizational factors
Oleksandr Pecherytsia
Overview
Key facts about SSTC NRS
II. SSTC NRS activities to support national regulatory oversight of human
and organizational factors (HOF):
 identification and assessment of HOF-related issues under analysis of
Ukrainian NPPs operational events;
 application of safety indicators developed and used to supervise the HOF.
III. Description of SNRIU actions to oversee HOF supported by relevant
SSTC NRS activities:
 maintaining of the quality and effectiveness of investigation of NPP
operational events;
 targeted inspections focused on HOF-related issues;
 SNRIU Boards.
IV. Conclusions and further steps
I.
Vienna, Austria
14-18 December, 2015
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Legal Framework
SSTC NRS started its activity on 19 March 1992 within the
State Committee on Nuclear and Radiation Safety of Ukraine
(Derzhatomnahliad).
In August 2001, SSTC NRS was subordinated to the State
Nuclear Regulatory Committee of Ukraine (currently the State
Nuclear Regulatory Inspectorate of Ukraine - SNRIU).
In November 2008, SSTC NRS acquired the status of dual
subordination to establish efficient scientific cooperation
between institutions of the National Academy of Sciences (NAS)
of Ukraine and the State Nuclear Regulatory Inspectorate of
Ukraine.
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SSTC NRS Status
• SSTC NRS mission is to provide comprehensive scientific and
technical support in state nuclear safety regulation in Ukraine.
• SSTC NRS is a state-owned enterprise and has no shareholders.
• SSTC NRS has over 230 employees (as of the end of 2015).
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Identification and assessment of HOF-related
issues under analysis of operational events (1)
Two-tiered approach to identification and
assessment of HOF-related issues
Assessment of the reports on
operational events
• Compliance of the
report structure and
content with regulatory
requirements
• Correctness and
completeness of the
event investigation
Analysis of NPP operational
experience
• Statistical assessment
• In-deep evaluation of the
selected safety-significant
events
• Effectiveness of
corrective actions
• Topical studies and
analytical overviews
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Identification and assessment of HOF-related
issues under analysis of operational events (2)
Assessment of the reports on operational events
HOF-related issues usually addressed under assessment of the
following aspects of event investigation (examples):
• assessment of identified direct and route causes of abnormal
events for correctness (including human errors, organizational
and technical drawbacks, drawbacks of management system);
• assessment of identified corrective actions intended to prevent
similar events in future;
• assessment of the need for in-depth analysis of event(s)
(including that in case of violated safety culture attributes and
low-efficient administrative barriers).
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Identification and assessment of HOF-related
issues under analysis of operational events (3)
Assessment of the reports on operational events
Particular examples of HOF-related issues revealed under assessment
of investigation findings for recent events:
• 16.05.2015, Zaporizhzhya unit 4. No modifications were
proposed to the procedure for revision and updating of operating
documentation after modernizations and audits of quality system;
• 26.05.2015 р. Zaporizhzhya unit 5. Actions of operational staff
during the transient progression were not sufficiently analyzed;
• 21.06.2015 р. South Ukraine unit 1. Procedures for control of
subcontractors’ actions were not sufficiently analyzed nor
associated corrections were proposed to them.
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Identification and assessment of HOF-related
issues under analysis of operational events (4)
Analysis of NPP operational experience
HOF-related issues usually considered in the following areas of NPP
operating experience analysis:
• analysis of implemented corrective actions for effectiveness and
reoccurrence of abnormal events.
• in-depth analysis of events (including that in case of human
errors and/or organizational factors) applying different RCA and
quantitative methods.
• topical analysis of NPPs worldwide operating experience, with
identification of lessons to be extended to operating practices at
Ukrainian NPPs (based on IAEA Incident Reporting System,
JRC European Clearinghouse, etc.).
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Identification and assessment of HOF-related
issues under analysis of operational events (5)
Analysis of NPP operational experience
Examples of recommendations drawn from results of operational
experience analysis (SSTC NRS report on 1st half of 2015) and
relevant to HOF:
• verification of plant procedures that identify equipment
switchovers and communication between personnel of different
departments and shifts during such actions;
• verify (at each site) compliance with existed requirements of
organizational and performance principles for functioning of
departments in charge of operating experience analysis;
• verify whether existing programs for personnel training on safety
culture principles contain adequate examples of good practices
and lessons learnt from operating experience.
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Application of safety indicators developed and
used to supervise the HOF (1)
Background
With support of the European Commission provided in the framework of
INSC Project U3.03/08 Component B UK/TS/42, the development of the
Integrated NPP Safety Oversight System is in its final stage. The
system integrates monitoring of NPP safety with application of plant
safety performance indicators and regulatory oversight focusing on
inspections in the aspects that have the greatest impact on safety.
The main attributes of “Provision on NPP Safety Oversight” are:
 Oversight matrix;
 Guideline for inspections planning, including subjects and tasks of
inspections;
 Description of safety indicators, being applied within the integrated
safety oversight System
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Application of safety indicators developed and
used to supervise the HOF (2)
Oversight areas and directions
Organization
• Safety Priority
• Safety Culture
• Qualification
and Training
• Quality
Assurance
• Conditions of
licenses and
permits
Operational Safety
• Status of
systems and
components
• Operational
events
• Operating
experience
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Radiation safety
and RAW
management
• Protection of
personnel
• Protection of
the
environment
• RAW
management
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Application of safety indicators developed and
used to supervise the HOF (3)
Generic approach to application of the indicators
List of indicators
(examples)
….
• Safety Culture
deficiencies
• QA noncompliances
• HRM
deficiencies
….
Evaluation
• Trend(s)
analysis
• Issue(s)
identification
• Assessment of
the issue(s)
importance in
terms of impact
on safety
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Actions
Directions of
inspections in
accordance with
the “Order of
state oversight
over compliance
with NRS, 2013”
and “Guideline for
inspections
planning...”
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SNRIU actions to oversee HOF supported by
relevant SSTC NRS activities (1)
Quality and effectiveness of investigation of NPP operational events
Regulatory actions (examples)
• request for re-development of an operational event report
(revision of a plant operating event report is required when its
structure and contents do not comply with regulatory
requirements);
• request for re-investigation of an operational event (reinvestigation of an operational event is required when there are
comments on the investigation commission’s findings regarding
the identified event category, route cause or proposed corrective
actions).
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SNRIU actions to oversee HOF supported by
relevant SSTC NRS activities (2)
Quality and effectiveness of investigation of NPP operational events
Regulatory actions (examples)
Request for organization (since 2010) and functioning of Standing
Committee on NPP events analysis.
Composition: SNRIU, Ministry of Energy and Coil Industry of
Ukraine, Utility headquarters, all NPP sites, SSTC NRS.
Main functions:
• Analyze NPP operational events (including LLE) and respective
corrective measures;
• Consider the directives, position papers, decisions, etc.
developed/enforced by the regulator, the Ministry, Utility, NPP
Chief Engineers Board, which deal with functioning of national
operating experience analysis system.
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SNRIU actions to oversee HOF supported by
relevant SSTC NRS activities (3)
HOF-related directions of inspections (examples)
• implementation of quality assurance programs and management
systems;
• compliance with requirements of operational documentation;
• compliance with procedures for maintenance, repair, periodicity and
scope of tests on systems (components);
• system for staffing, training and professional development of
personnel;
• system for personnel qualification with respect to knowledge of NRS
standards and rules
• other areas.
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SNRIU actions to oversee HOF supported by
relevant SSTC NRS activities (4)
SNRIU Board: background and key functions.
The Board is a permanent advisory body established to ensure
concerted solution of issues under the SNRIU competence.
The Board main tasks, among others, are to:
• determine areas for development of the regulatory and legal
framework;
• analyze results and identify the policy and priorities of licensing and
oversight activities;
• consider findings of reviews and inspections at nuclear installations
(in making decisions on issue of licenses for activities at individual
life stages).
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SNRIU actions to oversee HOF supported by
relevant SSTC NRS activities (5)
Composition of the SNRIU Board. Recent event.
The Board is headed by SNRIU Chairperson. The Board includes heads
of SNRIU and SSTS NRS departments, as well as leading independent
experts and representatives of public organizations.
The Board meeting on 8 October 2015 “On Effectiveness of Operating
Experience Feedback (Investigation of NPP Operational Events)” was
focused on:
• reports of SSTC NRS and Utility Headquarters on the subject in
question;
• assessment of the Utility’s activities on operating experience
feedback and lessons learnt;
• identification of items for the action plan (SNRIU, Utility, TSOs) for the
next Board meeting on this subject.
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Conclusions and further steps
•
•
•



SNRIU has clearly defined the approaches and methods to verify that the
HOF issues are properly addressed in all respective areas of licensee
activities.
SSTC NRS performs analysis of operating experience and safety indicators
to provide continuous support in HOF regulatory oversight by means of
identification, collection and processing of relevant inputs.
The following main activities have been planned for the near future (20162017) in the area of HOF oversight:
Development/review of the regulations and guidelines where HOF issues
are/should be addressed.
Organization/participation in Safety Culture and HOF training courses,
specifically designed for senior management;
Promotion/application of multiple analysis tools to ensure validity of data to
support review of HOF issues.
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Thank you for your attention!
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