PROSPER guidelines - Nuclear Safety and Security - IAEA

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2.5.4. Trending and trend review 2.5.4.1. Attributes Trending allows a review to recognize developing, or emergent problems. By recognising developing problems, proactive action may be taken to restore positive trends. a) Trending may take any form which a plant/utility finds to be of greatest value. Typically, it should be possible to trend equipment, human performance and process (system or procedures) problems. In order to do this effectively, it may be necessary to adopt coding. This would allow plant/component type, root causes, event/action significance/priority, reporting criteria (threshold) etc. to be recorded and easily sorted. b) There is no point in trending if the trends do not receive comprehensive review. It is only by observing trends and applying careful thought and judgement that proactive action may be taken to reverse adverse trends or to enhance/support positive trends. c) NPPs need to devise their own trend review system. Typically, this may be based on a periodic site management review meeting. Departmental Managers participate. Significant events, root causes, reactor trips/forced shutdowns, accident rates, fire incidence, defects, leaks, safety related actions etc. may be reviewed. d) Trend summaries are reviewed by management and action plans agreed with corrective actions to address adverse trends. 2.5.4.2. Documentation a) Trend Criteria b) Event analysis reports c) Trend Review report. 2.5.4.3. Self-assessment review topics a) Is there an effective trending/coding process covering equipment, human performance and procedural and organizational failures? b) Who is involved in the trending/coding process? c) Are the trend review reports comprehensive? d) What reports are made to management on regular basis? How frequently are trend review reports prepared? e) How are trend review reports utilized? f) What other reports are given to management (e.g. reports requested on specific issues)? g) Do recurring events indicate that trending analysis and subsequent corrective actions has not been effective? h) How are generic issues identified, evaluated and prioritized? i) Is all the experience information available to the plant utilized in the trending process, e.g. low level events, near misses? j) What are the significant unresolved safety problems that have been identified — from trending data, field observations and plant performance data what are the key issues? Do deficiencies noted on the plant indicate that the process is not highlighting important issues? k) Are Quality Assurance audit findings included in the reviews? l) What do management believe are the key safety issues identified by OE process for the NPP? 14
m) How extensive is the review in identifying latent weaknesses in event prevention processes e.g. surveillance and corrective action programmes? Are all factors routinely assessed; initiating actions, flawed barriers, error precursors, organizational weaknesses? n) Are the results of trend review reports reflected in actions or enhancement programmes specified in the plant Business Plan or its equivalent? 2.5.5. External operating experience review 2.5.5.1. Attributes The use of external OE allows the NPP to learn from the experience of other NPP and implement corrective actions to preclude similar events from occurring at their NPP. a) The OE process provides for the collection of significant external OE for review. b) Personnel qualified to determine applicability to the NPP performs the review. c) Appropriate corrective actions are initiated to preclude occurrence of a similar event at the NPP. d) Information in the form of ‘lessons learned’ is disseminated to appropriate personnel. e) A periodic assessment of the use of external OE is conducted to monitor effectiveness. 2.5.5.2. Documentation a) Procedure for screening, dissemination of external OE, analysis and corrective actions setting. b) External OE screening meeting minutes. 2.5.5.3 Self-assessment review topics a) What sources of external operating experience information are available to the plant? b) What criteria are used to consider external events (e.g. same type of plant, human factors, processes — operations, maintenance, tech support etc.). c) How experienced is personnel involved in screening external events? d) How available is external OE information to personnel? e) How often is external OE information incorporated into the internal process? f) How effectively is external OE information communicated to relevant groups? g) How many external events are considered 2.5.6. Action management process 2.5.6.1. Attributes The result of the investigation activities (event investigation, trending, external OE, etc.) will be the placement of corrective actions. These actions must be designed to correct root causes and prevent repeat events. Actions should also consider the need to improve management systems and safety culture. Actions have the following attributes: a) they are specific and practical; b) their content and timescale are agreed by the recipient of the action (persons accountable and responsible for the action); 15
Page 1 and 2: IAEA Services Series No. 10 PROSPER
Page 3 and 4: FOREWORD PROSPER stands for peer re
Page 5 and 6: CONTENTS 1. INTRODUCTION ..........
Page 7 and 8: 1. INTRODUCTION Effective use of op
Page 9 and 10: The major objectives of the peer re
Page 11 and 12: External OE review Allows to learn
Page 13 and 14: The “documentation” lists infor
Page 15 and 16: d) To what degree has the NPP OE pr
Page 17 and 18: ) The criteria include high level e
Page 19: 2.5.3. Investigation/analysis proce
Page 23 and 24: n) Are corrective actions project m
Page 25 and 26: Indicators should describe the effe
Page 27 and 28: 3. STRATEGY, LOGISTICS AND ADMINIST
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Page 31 and 32: (d) Documents on the scope of the o
Page 33 and 34: 3.4.6. Reporting The PROSPER missio
Page 35 and 36: 3.5. ADVANCE INFORMATION PACKAGE To
Page 37 and 38: 4. GUIDELINES FOR THE TEAM EXPERTS
Page 39 and 40: 5. Comment on the comprehensiveness
Page 41 and 42: 4. Is the appropriate level of mana
Page 43 and 44: BIBLIOGRAPHY INTERNATIONAL ATOMIC E
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