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Development of NUREG-0700, rev 3 - 229

The U.S. Nuclear Regulatory Commission (NRC) evaluates the human factors engineering (HFE) of nuclear power plant design and operations to protect public health and safety. The HFE safety reviews encompass both the design process and its products. Detailed guidance for these reviews is provided in two key documents: the HFE Program Review Model (NUREG-0711) and the Human-System Interface Design Review Guidelines (NUREG-0700). The NRC is committed to the periodic update and improvement of the guidance to ensure that they remain state-of-the-art design evaluation tools. In this paper, we will describe the updates made to NUREG-0700 that resulted in Revision 3 of the guidance. (authors)

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

Developing a human factors toolkit to cope with the multi-project situation - 346

Beside of the challenge from technology improvement and stricter safety review in the area of human factors engineering and integrated human system interface resources design, the pressure from the engineering efficiency and quality continues increasing nowadays while 'one-design-several-sites' is becoming more and more common for the nuclear energy industrial in China. A toolkit based on relational database technology was developed to support the whole process of HFE analysis for designer. A through requirement analysis was conducted. Beside of requirements form technical view of point, the considerations from engineering process, quality management, computer technology and data interface were also involved as a whole. During the implementation, resolutions were developed to solve problems like multi-project, multi-group and so on. Lessons learned during the design and development process are summarized as references for similar projects. (authors)

46 INSTRUMENTATION RELATED TO NUCLEAR SCIENCE AND ↗

EARLY-STAGE DESIGN AND EVALUATION FOR NUCLEAR POWER PLANT CONTROL ROOM UPGRADES

As control rooms are modernized with new digital systems at nuclear power plants, it is necessary to evaluate operator performance with these systems as part of a verification and validation process. While there is regulatory and industry guidance for some modernization activities, there are no well defined standard processes or predefined metrics available for assessing what is satisfactory operator interaction with new systems, especially during the early design stages. This paper proposes a framework defining the design process and metrics for evaluating human system interfaces as part of control room modernization. The process and metrics are generalizable to other applications and serve as a guiding template for utilities undertaking their own control room modernization activities.

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Migration to a fully-integrated control room - 349

The nuclear industry is faced with a pressing need to reduce operating costs in order to remain competitive with other forms of electric generation. While current industry initiatives are focused on incremental gains by streamlining work processes and reducing worker burdens, very few, if any, involve significant reductions in the base workload of a nuclear plant. Migration to a fully-integrated control room affords just such an opportunity. This report describes an NPP digital instrumentation and control (I and C) system design, along with its corresponding human systems interface (HSI) design, which achieves high plant availability, while selectively applying digital equipment redundancy and integrating traditional I and C system partitions, to minimize the digital equipment needed, and thereby minimize initial installation costs and ongoing operations and maintenance (O and M) costs. An additional key component of digital equipment minimization is optimization of the digital interface to conventional plant sensors and controlled plant devices (e.g., pumps, valves), which requires no disturbance to plant cables and results in eliminating thousands of electro-mechanical relay control components. The design is rooted in the highly integrated digital technology applied to the most recent advanced light water reactors under United States (U.S.) Nuclear Regulatory Commission (NRC) design certification review and approval. While this design employs technology from new plants, that technology has been adapted to the modernization of current operating NPPs. Hence, the highly integrated digital I and C and HSI design is referred to as the compact control room digital modernization (CDM). Along with minimal digital equipment, the corresponding HSI design employs compact operator workstations with visual display units (VDU) and soft controls for both the main control room (MCR) and remote shutdown room (RSR), to immediately improve human performance and ultimately facilitate operating staff reduction. Some advanced light water reactors have demonstrated this staff reduction through full scope simulator testing of normal and abnormal plant conditions, with U.S. licensed operating crews from currently-operating U.S. plants. Digital equipment minimization, compact operator workstations, and optimized plant component interfaces that require no disturbance to field cables, also facilitate implementation of the CDM over multiple phases, most of which can be conducted during normal refueling shutdown windows. This phased implementation method includes a novel transition of the I and C, MCR and RSR with an operations centered focus. This paper presents the CDM design, along with qualitative cost/benefit comparisons to currently operating plants with conventional analog I and C and HSI technology; this generation of I and C/HSI is referred to as a conventional control room (CCR). A CCR also includes NPPs that have been upgraded with digital systems, but retain the current partitions between plant I and C systems (i.e., no I and C integration) and retain the current plant system to control board configuration of current NPP control rooms. Even though these comparisons are qualitative, a compelling case is presented for the CDM. (authors)

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Meta-Level Design Guidance and Operator Performance Measures for Hybrid Control Rooms

The purpose of this grant was to refine and test methods to evaluate digital human system interfaces (HSI) for existing largely analog nuclear power plant (NPP) control rooms (CRs). We hypothesized that CR operator performance (CROP) in hybrid NPP CRs will be improved if future digital HSI is designed based on: 1) more robust design guidelines for operator situation awareness (SA) and decision-making (DM); 2) enhanced CROP metrics during HSI evaluation; 3) an ontology for selecting simulation scenarios to evaluate digital HSI; and 4) a model to predict optimal HSI design attributes given CROP objectives. The team conducted numerous nuclear power plant site visits (e.g., to Brown’s Ferry, Palo Verde, Sequoyah and Vogtle) to study control room operations and crisis management and 3 visits to the NRC Chattanooga Training Center. We observed research studies at DC Cook and NRC Chattanooga in collaboration with the Halden Reactor Project. We collected operator performance and workload data in one NPP simulator. A comprehensive human (i.e., CROP) performance literature review was published in Applied Ergonomics. We obtained operator team performance data from CAER to produce our data fusion model and a paper delineating the results have been accepted (revision submitted) in Resilience Engineering and System Safety. We analyzed interview data related to scenario ontology development; a manuscript is still in preparation.

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Human Factors Engineering Design Phase Report for Control Room Modernization

In this report, we review recent work performed at the Human System Simulation Laboratory (HSSL) at the Idaho National Laboratory. The U.S. Department of Energy has sponsored work under the Light Water Reactor Sustainabilty (LWRS) program to assist U.S. utilities in extending the operating life of the U.S. fleet of commercial reactors. Control room modernization is a key research and demonstration area within LWRS. The U.S. Nuclear Regulatory Commission’s Human Factors Engineering Program Review Model (NUREG-0711) outlines four phases of developing a new human-system interface (HSI). One of the key steps in NUREG-0711 is the design phase. In this report, we outline the process and findings from several simulator workshops, which centered on early design phase activities. Prototypes for a turbine control system upgrade for a main control room at a commercial nuclear power plant were developed and evaluated using licensed reactor operators at the HSSL. This iterative design-evaluation cycle succeeded in refining the design of the HSI and readying it for final implementation and formal validation and verification exercises. This report serves as a useful template to explicate design steps that are not currently required by NUREG-0711 but that ensure a usable and safe control room replacement system.

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Development of an Assessment Methodology That Enables the Nuclear Industry to Evaluate Adoption of Advanced Automation

Nuclear power has a crucial role in providing safe, reliable, and economical carbon-free electricity for today and the future. For continued operation, many of the existing United States nuclear power plants will begin the subsequent license renewal process for extending their operating license periods. As plants extend their expected operating lifetimes, there is a significant opportunity to modernize. These plants have a much stronger business case with these extended mission periods to modernize and significantly enhance their economic viability in current and future energy markets by implementing digital technologies that support innovation, efficiency gains, and business-model transformation. Ensuring continued safety and reliability is crucial. Transformative digital technologies—including automation—that fundamentally change the concept of operation for the nuclear power plant operating model requires a critical focus on the human and technology integration element. Further, the nuclear industry has historically been reluctant to modernize due to having a risk adverse culture and lack of clarity for a transformative new state vision (Joe & Remer, 2019; Thomas et al., 2020). Common barriers include (1) the perceived value and return on investment (ROI) of digital technology, (2) the perceived risk associated with licensing, regulatory, and cybersecurity, and (3) insufficient guidance for performing digital modifications to power generation systems. This work presents a methodology to address these barriers and support the industry in adopting advanced automation and digital technology through developing a transformative vision and implementation strategy that will address the human and technology integration element. This research leverages previous LWRS Program and industry results. It draws specifically on previous LWRS Program research in the areas of advanced alarm systems, computer-based procedures, model informed decision support, and advanced human-system interface displays (e.g., overviews and task-based). The modernization methodology can be used to guide transformative thinking when integrating a set of vendor-specific capabilities to support a new concept of operations and a utility’s end-state vision. The results of this research are organized into six major sections: - Section 1 introduces the need for supporting large-scale digital modifications that will renew the technology base for extended operating life beyond 60 years - Section 2 describes the challenges that the nuclear industry is enduring with modernizing. - Section 3 summarizes the primary standards and guidance. - Section 4 presents earlier work from the LWRS Program regarding the development of a transformative conceptual design for an advanced control room of a hybrid plants. - Section 5 presents a methodology that is designed at addressing the challenges in the industry today in achieving a transformative new state vision and concept of operations. - Conclusions and next steps of this research are provided in Section 6.

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An Integrated Tool for Functional Requirements Analysis, Function Allocation and Task Analysis

The software application is called "HFE-Trace". This is an integrated method and tool for the management of Human Factors Engineering analyses and related data. Its primary purpose is to support the coherent and consistent application of the nuclear industry's best practices for human factors engineering work. The software is a custom Microsoft® Access® application. The application is used (in conjunction with other tools such as spreadsheets, checklists and normal documents where necessary) to collect data on the design of a new nuclear power plant from subject matter experts and other sources. This information is then used to identify potential system and functional breakdowns of the intended power plant design. This information is expanded by developing extensive descriptions of all functions, as well as system performance parameters, operating limits and constraints, and operational conditions. Once these have been verified, the human factors elements are added to each function, including intended operator role, function allocation considerations, prohibited actions, primary task categories, and primary work station. In addition, the application includes a computational method to assess a number of factors such as system and process complexity, workload, environmental conditions, procedures, regulations, etc.) that may shape operator performance. This is a unique methodology based upon principles described in NUREG/CR-3331 ("A methodology for allocating nuclear power plant control functions to human or automatic control") and it results in a semi-quantified allocation of functions to three or more levels of automation for a conceptual automation system. The aggregate of all this information is then linked to the Task Analysis section of the application where the existing information on all operator functions is transformed into task information and ultimately into design requirements for Human-System Interfaces and Control Rooms. This final step includes assessment of methods to prevent potential operator errors.

Hugo, Jacques↗

Quantitative Risk Analysis of High Safety Significant Safety-related Digital Instrumentation and Control Systems in Nuclear Power Plants using IRADIC Technology

This report documents the activities performed by Idaho National Laboratory (INL) during fiscal year (FY) 2021 for the U.S. Department of Energy (DOE) Light Water Reactor Sustainability (LWRS) Program, Risk Informed Systems Analysis (RISA) Pathway, digital instrumentation and control (DI&C) Risk Assessment project. In FY-2019, the RISA Pathway initiated a project to develop a risk assessment strategy for delivering a strong technical basis to support effective, licensable, and secure DI&C technologies for digital upgrades/designs. An integrated risk assessment technology for the DI&C systems (IRADIC technology) was proposed for this strategy, which aims to (1) provide a best-estimate risk-informed capability to quantitatively and accurately estimate the safety margin obtained from plant modernization, especially for the High Safety Significant Safety-related (HSSSR) DI&C systems, (2) develop an advanced risk assessment technology to support transition from analog to DI&C technologies for nuclear industry, (3) assure the long-term safety and reliability of vital HSSSR DI&C systems, (4) reduce uncertainty in costs and support integration of DI&C systems in the plant. To achieve these technical goals and deal with the expensive licensing justifications from regulatory insights, the IRADIC technology is instructive for nuclear vendors and utilities to effectively lower the costs associated with digital compliance and speed industry advances by: (1) defining an integrated risk-informed analysis process for DI&C upgrade, including hazard analysis, reliability analysis, and consequence analysis, (2) applying systematic and risk-informed tools to address common cause failures (CCFs) and quantify responding failure probabilities for DI&C technologies, particularly software CCFs, (3) evaluating the impact of digital failures at the individual level, system level, and plant level, (4) providing insights and suggestions on designs to manage the risks; thus, to support the development, licensing, and deployment of advanced DI&C technologies on nuclear power plant (NPPs). In this report, an approach for performing software CCF analysis, given limited data, is developed and demonstrated using a case study of a highly redundant digital reactor trip system. Consequence analysis is also performed based on different accident scenarios. Results indicate that plant modernization including the improvement of HSSSR DI&C systems will make great benefits to plant safety by providing more safety margins to accident management. In addition, a novel approach is proposed in this report for the quantification of software hazards when sufficient operational and testing data available. The method incorporates software development quality as well as strong analysis techniques to identify and link software defects to potential failure modes. The approach includes both semantic and test-based analysis to detect failures that can exist in different stages of the software development life cycle. This method is applied to an advanced human system interface relevant to reactor trip safety developed from the APR 1400 design.

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Benefits of digitalizing and employing simulation to increase plant system performance and ensure compliance with technical specifications - 109

The essential services water system in a BWR nuclear power plant was affected by corrosion, soiling and blockages due to ageing. Those episodes affected safety margins hindering the Technical Specifications compliance during periodic system testing. Tecnatom designed, implemented and tested a design modification for the on-line monitoring of this system by integrating it in the existing Digital Control System (DCS). Key system parameters were acquired in real time to be displayed in the Human System Interface, used in performing calculations and stored their historical evolution. The objective was to optimize monitoring and surveillance of the essential service water system. Furthermore, Tecnatom developed an engineering simulator ('What if' simulator) consisting of a hydraulic model of the system. This simulator takes as inputs each heat exchanger performance parameters from the plant DCS, allows the user to change the essential services water system configuration (valves position, UHS level...) and calculates theoretical process values predicting the system real behavior. In a second stage, more system instruments were wired to the DCS for Technical Specifications compliance automatic surveillance regarding opening and closing times of system valves. Operating experience shows important benefits after the digitalization. It enhances on-line information of system operation and automates calculation of load loss factor of each heat exchanger. It eases the evaluation of blockages and soiling in the system allowing optimization of cleaning proceedings. System Surveillance Requirements and Test Requirements reports have been automated optimizing the operation workload. The simulator use enables to identify optimal system configuration increasing safety margins of the system and ensuring Technical Specifications fulfillment. (authors)

21 SPECIFIC NUCLEAR REACTORS AND ASSOCIATED PLANTS↗

Developmental study of advanced HIS design method for digital I and C+HMIT of PWR plant - 277

A new conceptual frame of how to design and validate a digital HIS (human interface system) on an innovative numerical simulation basis is proposed for the support of plant operators' supervisory control of various types of automated complex NPPs (nuclear power plants). The proposed conceptual framework utilizes the object-oriented software for plant DiD (defense-in depth) risk monitor with the combination of nuclear reactor accident simulation by an advanced nuclear safety analysis code RELAP5/MOD4. The conceptual frame proposed in this paper will be applied for an example practice for the SBLOCA (small break loss of coolant accident) case of passive safety PWR (pressurized water reactor) AP1000. (authors)

21 SPECIFIC NUCLEAR REACTORS AND ASSOCIATED PLANTS↗

Internship Presentation: Reactor System Facility Modification to Detect Compromised Human Machine Interfaces

This study presents a multi-layered Industrial Control System (ICS)/Operational Technology (OT) security architecture aimed at detecting and mitigating compromised Human Machine Interface (HMI) and Instrumentation & Control (I&C) systems within the Flowing Autoclave System (FAS) at Idaho National Laboratory (INL). The approach combines network security solutions, hash-based algorithms, and blockchain technologies to verify system integrity and provide an immutable record of network activity. This integrated three-pronged strategy enhances the detection of system compromises, enabling preemptive action before significant damage occurs.

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3D Modeling of Safety-Related Upgrade Pilot Project

Constellation Energy and the United States Department of Energy (DOE) have established a public/private partnership to implement a pilot digital upgrade to replace legacy analog, safety-related reactor protection and emergency safety feature actuation systems (RPS/ESFAS) with modern digital systems. This effort is occurring at Constellation’s Limerick Generating Station. This project is being performed in accordance with industry processes that have been adapted to better support digital upgrades. These processes include IP-ENG-001, Standard Design Process, NISP-EN-04, Standard Digital Engineering Process and Electric Power Research Institute Report 3002011816, Digital Engineering Guide. The Light Water Reactor Sustainability (LWRS) Program at the Idaho National Laboratory (INL) has been supporting this effort. Latest INL HFE efforts in support of this project have focused on definition and implementation of the Human Factors Engineering (HFE) Program in support of Constellation design and related licensing efforts. This paper will present the development of the HFE 3D modeling execution of the Main Control Room safety upgrades. New equipment and modifications are planned for upgrading the new safety systems. 3D modeling allows for visualization of the new equipment and modifications to be shared with engineering and design teams for evaluation and review. Anthropometric considerations such as sight lines and functional reach can be evaluated directly using the 3D model. This effort has helped to provide visualizations for additional review with operations personnel and project stakeholders.

3D Modeling↗

Digitalization Guiding Principles and Method for Nuclear Industry Work Processes

The commercial U.S. light-water reactor fleet has been operating at historical efficiency, reliability, and safety over the last decade. Nuclear power has the highest capacity factor of any other power generation technology while also serving as the largest baseload source for carbon-free energy. Despite this remarkable achievement, continued operations for many plants are threatened due to fierce electricity market competition and rising operations and maintenance costs of which continued maintenance of obsolete analog equipment is a contributor. The digital age and associated technologies are where the future lies in process control, and nuclear has yet to take full advantage of the capabilities offered therein. The Light Water Reactor Sustainability Program (LWRS) at Idaho National Laboratory (INL), sponsored by the Department of Energy, has a mission to help the light-water reactor fleet manage its foundational capabilities to continue providing safe and reliable carbon-free power. LWRS helps support that mission by providing scientific, technology-based solutions for advanced concepts of operations with a more viable business model that will allow the fleet to continue to operate at peak levels through extended plant operation. The LWRS Digitalization Project at INL seeks to leverage digital technologies to synthesize and transform work processes. We provide a state-of-the-art analysis of digitalized work processes in nuclear power and investigate ways in which researchers at INL and the nuclear industry can work together to identify what data to access, how to access it, what to do with the data, and most importantly, how to use the insights for decision-making across all levels within the business. Borne from these considerations, we present four guiding principles for digitalization: develop a coherent digitalization plan, apply human factors engineering, establish data governance, and anticipate unintended consequences. Together, these principles form a method that plants can use to effectively to digitalize nuclear industry work processes. Our guiding principles are informed by multiple knowledge sources. First, we document activities from the Work Digitalization Initiative, which was conceived as a means for nuclear organizations to help define and standardize the industry’s approach to digitalizing work. Second, we detail primary research conducted with industry professionals regarding drivers and barriers to digitalization adoption. We present survey results that demonstrate what the industry hopes to get out of digitalization and the ways that INL can continue to support the industry’s digital transformation. Third, we present a digitalization use case with industry partners NextAxiom Technology and Xcel Energy. The project objective was to transform the current condition report work process from paper to digital, incorporating digitalized principles. We report the development of the application and lessons learned. The accomplishments achieved by this research and development serve to identify critical needs for plant guidance in support of digitalization implementation and contribute to the knowledge and strategies available for utilities considering or undertaking digitalization.

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Human Factors and Modeling Methods in the Development of Control Room Modernization Concepts

nuclear power plants. Although the nuclear industry has made steady improvement in outage optimization, each day of a refueling outage still represents an opportunity to save millions of dollars and each day an outage extends past its planned end date represents millions of dollars that may have been spent unnecessarily. Reducing planned outage duration or preventing outage extensions requires careful management of the outage schedule as well as constant oversight and monitoring of work completion during the outage execution. During a typical outage, there are typically more than 10,000 activities on the schedule that, if not managed efficiently, may cause expensive outage delays. Management of outages currently relies largely on paper-based resources and general-purpose office software. A typical tool currently used to monitor work performance is a burn-down curve, where total remaining activities are plotted against the baseline schedule to track bulk work completion progress. While these tools are useful, there is still considerable uncertainty during a typical outage that bulk work progress is adequate and therefore a lot of management time is spent analyzing the situation on a daily basis. This paper describes recent advances made in developing a framework for the design of visual outage information presentation, as well as an overview of the scientific principles that informed the development of the visualizations. To test the utility of advanced visual outage information presentation, an outage management dashboard software application was created as part of the Department of Energy’s Advanced Outage Control Center project. This dashboard is intended to present all the critical information an outage manager would need to understand the current status of a refueling outage. The dashboard presents the critical path, bulk work performance, key performance indicators, outage milestones and metrics relating current performance to historical performance. Additionally, the dashboard includes data analysis tools to allow outage managers to drill down into the underlying data to understand the drivers of the indicators.

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Light Water Reactor Sustainability Program Plant Modernization Technical Program Plan for FY 2021

This report presents the Technical Program Plan for FY 2019 for the Department of Energy Light Water Reactor Sustainability Program – Plant Modernization research pathway. A summary of the vision and strategy is provided to explain how this program addresses key issues and barriers for modernizing instrumentation and control technologies and infrastructure in domestic nuclear power plants. The report describes the pilot projects that have been formulated to develop and validate enabling technologies over the next several years that will result in digital alternatives to the legacy analog II&C systems in place today. This will allow much needed modernization of these systems to address reliability and obsolescence problems, as well as serve as a platform for substantial operational improvement. The report further describes key project resources and cooperative relationships, including the Electric Power Research Institute, the Nuclear Energy Institute )NEI), the Institute of Nuclear Power Operations (INPO), the IFE Halden Reactor Project, the Nuclear Regulatory Commission, and industry suppliers, that are instrumental to the success of the program. The report also lists the schedule for all program products, including the titles and report numbers for all published reports under this program.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

Light Water Reactor Sustainability Program Plant Modernization Technical Program Plan for FY 2021

This report presents the Technical Program Plan for FY 2019 for the Department of Energy Light Water Reactor Sustainability Program – Plant Modernization research pathway. A summary of the vision and strategy is provided to explain how this program addresses key issues and barriers for modernizing instrumentation and control technologies and infrastructure in domestic nuclear power plants. The report describes the pilot projects that have been formulated to develop and validate enabling technologies over the next several years that will result in digital alternatives to the legacy analog II&C systems in place today. This will allow much needed modernization of these systems to address reliability and obsolescence problems, as well as serve as a platform for substantial operational improvement. The report further describes key project resources and cooperative relationships, including the Electric Power Research Institute, the Nuclear Energy Institute )NEI), the Institute of Nuclear Power Operations (INPO), the IFE Halden Reactor Project, the Nuclear Regulatory Commission, and industry suppliers, that are instrumental to the success of the program. The report also lists the schedule for all program products, including the titles and report numbers for all published reports under this program.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

INVESTIGATION OF HUMAN RELIABILITY ANALYSIS METHODS FOR ANALYZING PRE-INITIATORS

As a type of human actions defined in human reliability analysis (HRA), pre-initiator refers to the human actions that may lead to the unavailability of systems, typically committed during maintenance, test, or calibration. This paper investigates representative HRA methods used for analyzing pre-initiators. The HRA methods are Technique for Human Error Rate Prediction (THERP), Korean Standard HRA (K-HRA) and Standard Plant Risk HRA (SPAR-H). In this paper, characteristics of each HRA method are compared for qualitative and quantification aspects. Two pre-initiators, i.e., a calibration task and a valve restoration task, are analyzed using the HRA methods to compare human error probabilities. Then, insights from the analysis and additional research requirements are discussed in this paper.

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