Addressing Human and Organizational Factors in Nuclear Industry Modernization: An Operationally Focused Approach to Process and Methodology

Abstract

Utility owners and operators of commercial nuclear power plants in the United States (U.S.) are and will be modernizing their nuclear power plants by performing a digital transformation involving design of an integrated set of systems that together enable a technology centric operating plant. The Plant Modernization Pathway of the U.S. Department of Energy Light Water Reactor Sustainability Program has a strategic action plan that lays the groundwork for a digital transformation of the nuclear industry. The model for this transformation is an advanced concept of operations, with an end point vision, "To achieve the maximum aggregate benefit enabled by this digital transformation." To achieve this, the digital infrastructure for a nuclear plant must be designed as an integrated set of systems that together enable a technology centric operating model.The digital transformation process obviously needs to involve technology considerations and systems engineering, but it also needs to include human and organizational expertise. Thus, human and organizational factors, including sociotechnical systems methods and techniques (e.g., Cognitive Systems Engineering, Systems Theoretic Accident Modeling and Processes, human systems integration, and Macroergonomics) need to be considered for digital transformation projects in order to effectively integrate human and organizational expertise efforts into the new work system that results from nuclear power plant digital modernization. That is, the work system is the basic unit of sociotechnical systems analysis and contains three components: personnel, technical, and organization and management. These components should be jointly optimized with respect to the interdependence of systems performance criteria of effectiveness, efficiency and safety. Joint optimization can be achieved through the application of three human and organization functions: knowledge representation, knowledge elicitation, and cross-functional integration. This report provides a strategic framework for effective integration of human and organizational expertise within nuclear power plant digital modernization efforts.

Guidance on Including Social, Organizational and Technical Influences in Nuclear Utility and Plant Modernization Plans

“…The first objective is to develop guidance for the analysis of socio-technical factors impacting potential nuclear industry modernization efforts, incorporating the techniques described in Dainoff et al (2020). The intent is to further operationalize this information in the form of guidance that analysts, engineers, and all stakeholders involved in similar efforts across the nuclear industry can use as part of their efforts.…”

“…The material that follows builds on findings and recommendations developed in an earlier stage of the current research program. That effort identified and described analytic tools and techniques for suggested application in nuclear power modernization efforts and similarly complex domains (Dainoff et al 2020). The current report is intended to further operationalize the theoretical and methodological guidance laid out in this previous effort.…”

“…Appendix A provides six case studies illustrating the variety of design settings in which methods of the type discussed by Dainoff and colleagues (2020) have been applied to analyze and resolve socio-technical issues in complex system designs as well as the challenges involved in their successful application. Dainoff et al (2020) advocate for the application of a methodological toolset drawn from a set of well-established analytic and design techniques, most of which are drawn from HFE, safety engineering, and systems engineering principles and experience, with much of that experience being from within the nuclear industry itself (e.g., EPRI 2012EPRI , 2015EPRI , 2018Ulrich et al 2012). Additionally, drawing on the systems-based approaches of analysts and investigators, such as Leveson (2011), Hollnagel and Woods (2005), and Rasmussen, Pejtersen and Goodstein (1994), Dainoff and colleagues present their recommendations within the context of a broad, 'work-system' integration approach, focused on achieving the joint optimization of three subsystems:…”

“…The high-level analytic processes corresponding to these questions are referred to by Dainoff et al (2020) as: (a) knowledge elicitation, (b) knowledge representation, and (c) cross-functional integration, respectively.…”

“…In this report, guidance is provided for the application of the socio-technical toolset described by Dainoff et al (2020) in situations in which the development of novel work-system concepts is currently underway or under consideration. A set of use-case examples is provided, including potential modernization initiatives that impact broad organizational functions, such as maintenance, team communications, and decision-making.…”