1. Safety Culture Assessment Activities at CNE Cernavoda
Alexandra Tudor,
Performance Improvement Senior Engineer
Safety Department, CNE Cernavoda
Romania
Workshop on the use of a Harmonized SC Framework - J8-TR-55377
IAEA Vienna, October 23rd – 25th, 2017

2. Cernavoda Nuclear Power Plant
Safe & efficient operation of Units 1 & 2 – CANDU 6, 700 MWe
WANO Peer Review 2015
Cernavoda NPP received NUCLEAR EXCELLENCE rating, both from the World Association of Nuclear Operators (WANO) and the Institute of Nuclear Power Operation (INPO) in recognition of world-class performance and behaviors.
IAEA OSART 2016
Over the past ten years, the plant safety performance has been steadily improving. Strategic long term objectives were established to drive plant performance. A strong drive for learning and improvement was observed by the team in different organizational units.
During the mission, the plant personnel demonstrated many positive characteristics of a strong safety culture; examples include a recent conservative decision to shutdown the plant to repair a leak which was below the required action limit, and the good use of human error prevention tools in the field by plant staff.
The team also identified some areas that could be further strengthened to improve safety culture. Quality deficiencies in some procedures were identified but not resolved in a timely manner; deficiencies in the field were not identified and reported proactively; and some plant maintenance expectations and work practices are not adequate.
Overall, the team recognized plant management’s strong commitment to continuously improve operational safety performance.

3. Cernavoda Safety Culture Framework
Cernavoda Safety Culture Framework was developed in 2006 starting from the Edgar Schein’s 3-layers organizational culture model (1992), and based on the existent IAEA, WANO and INPO documents.
The framework is built on a set of observable characteristics which include shared beliefs and assumptions, principles which guide decisions and actions, management systems and controls, patterns of behavior of leaders and employees and the physical state of the working conditions and equipment.
Currently at revision 2, it includes examples of facts, behaviors and perceptions for each of the characteristics.
In 2013, the framework was supplemented by cross-reference appendices that demonstrate completeness and compatibility with INPO “Traits of a Healthy Safety Culture”

4. CERNAVODA SAFETY CULTURE FRAMEWORK
INPO
10 Traits of a Healthy Safety Culture
OBJECTIVES AND RESULTS INDICATE A STRONG REGARD FOR SAFETY 
Safety Performance Indicators
OBJECTIVES AND RESULTS INDICATE A STRONG REGARD FOR SAFETY 
Safety Performance Indicators
INPO
10 Traits of a Healthy Safety Culture
EQUIPMENT IS IN GOOD CONDITION, CORE REACTIVITY IS MANAGED AND PHYSICAL WORKING CONDITIONS ARE SAFE 
Equipment Condition & Configuration
Reactivity Management
Control of Modifications
Physical Working Conditions
EQUIPMENT IS IN GOOD CONDITION, CORE REACTIVITY IS MANAGED AND PHYSICAL WORKING CONDITIONS ARE SAFE 
Equipment Condition & Configuration
Reactivity Management
Control of Modifications
Physical Working Conditions WP
Work Processes LA
Leadership Safety Values and Actions
MANAGEMENT SYSTEMS ARE EFFECTIVE
Safety Management System
Roles & Responsibilities
Safety Rules & Procedures
Operational Decision Making
Capability And Training
Work Planning
Contractor Management
Change Management
Recognition & Rewards
Regulatory Relationship
MANAGEMENT SYSTEMS ARE EFFECTIVE
Safety Management System
Roles & Responsibilities
Safety Rules & Procedures
Operational Decision Making
Capability And Training
Work Planning
Contractor Management
Change Management
Recognition & Rewards
Regulatory Relationship
LEADERSHIP BEHAVIOURS
Standards & Expectations
Effective Supervision
Communications & Trust
LEADERSHIP BEHAVIOURS
Standards & Expectations
Effective Supervision
Communications & Trust DM
Decision-Making WE
Respectful Work Environment
INDIVIDUAL BEHAVIOURS
Personal Work Practices
Shared Mission & Teamwork
Questioning & Caution CL
Continuous Learning SC
Effective Safety Communication RC
Environment for Raising Concerns
ORGANIZATIONAL LEARNING IS EMBRACED
Operating Experience
Oversight & Improvement
Incidents & Concerns
Corrective Action Process PA
Personal Accountability PI
Problem Identification and Resolution
SAFETY PRINCIPLES ARE APPLIED
Nuclear safety has the utmost priority.
Defence in depth is maintained.
Human capability is achieved through training and error prevention techniques.
Controls and standards are maintained over all aspects of operation.
Internal and external experience is used to improve performance.
A questioning attitude is promoted.
Nuclear safety regulation is complied with.
Leaders are committed to nuclear safety and lead by attitude and example. QA
Questioning Attitude
SAFETY – CRITICAL ASSUMPTIONS ARE WIDELY SHARED (INVISIBLE)
We are vulnerable to events («It can happen here»)

5. Cross-references between SC Framework and INPO Traits (examples)
Cernavoda SC Framework Characteristics
INPO Traits of a Healthy Safety Culture
Incidents and Concerns
13.Employees and supervisors report that when an error or event occurs, management wants to find out what went wrong, and does not focus primarily on who was wrong. (Perception)
RC.1 SCWE Policy: The organization implements a policy that supports individual rights and responsibilities to raise safety concerns and does not tolerate harassment, intimidation, retaliation, or discrimination for doing so.
Corrective Action Process
14.     Employees at all levels have confidence in the corrective action processes to identify problems and root causes and to get the corrective actions done on schedule. (Perception)
PI.3 Resolution: The organization takes effective corrective actions to address issues in a timely manner commensurate with their safety significance.
16.     Corrective actions taken are comprehensive and implemented in a timely manner (Fact)
Safety Management System
17.     An overall safety management system is in place which includes a policy stating the commitment of the organization to safety (Fact)
WP.1 Work Management: The organization implements a process of planning, controlling, and executing work activities such that nuclear safety is the overriding priority. The work process includes the identification and management of risk commensurate to the work.
Roles & Responsibilities
22.     Employees at all levels assume individual responsibility for behavior and work practices that support nuclear safety and members of an organization do everything they can to achieve the results as expected. (Behaviour & Perception)
PA.2 Job Ownership: Individuals understand and demonstrate personal responsibility for the behaviors and work practices that support nuclear safety.
Change Management
41.     Change management and control processes that consider and incorporate potential safety impacts are in place for procedures, equipment and other organizational changes. (Fact)
LA.5 Change Management: Leaders use a systematic process for evaluating and implementing change so that nuclear safety remains the overriding priority.

6. Safety Culture Survey
A baseline safety culture staff survey was performed in 2006 using an electronic questionnaire, with the help of a specialized international organization. It contained 60 questions, and demographic information. Return rate was 55%.
Survey was repeated in 2010, 2011, 2013, 2014, The safety culture questionnaire consisted of 71 questions and it was electronically delivered via an Intranet application developed by Station IT. The survey was addressed to all plant personnel. Survey results are documented in IR.
The scoring and color coding scheme used in presenting the results of the survey is based on the 7-point Likert scale. The percentage of responses which fall in the top two categories (Agree or Strongly Agree) have been used as the primary means of separating out the data and assigning color codes.
This method of interpreting the data works much better than looking at the average score. Using the percentages gives wide bands of separation between strong and weak areas of the safety culture, which makes it much easier to see changes when the survey is repeated.
Supplementary, the questions of the survey were indexed against the INPO Safety Culture Traits and the same algorithm was applied to calculate colors.

7. Safety Culture Survey 2017
Participation rate: 796/1576 employees (including permanent contractors) =50.5%
Cultural aspects
Little or no variation of the results of the survey for many characteristics – is the organization “stiff” or the instrument is not adequate to feel the variations?
The overall scores are exceptionally high, probably due to the social culture and reaction to surveys in general in Romania
Acquiescence bias, the participant automatically endorses any statements
Social desirability bias - type of response bias that influences a participant to deny undesirable traits
Low participation rate - possibly lack of trust that the results of the survey will be acted upon
Defensiveness – scores for the questions referring to workers’ own performance are generally higher than scores referring to “others” – managers, contactors
High adherence, less creativity – indicated by a low number of comments
Communication remains an issue.

8. Examples from the survey

10. 2017 Survey Results
YELLOW
Changes are implemented taking into account the impact of safety.
Changes are communicated in the organization.
The time allocated to the works is sufficient to carry out the work in safety conditions. There is sufficient staff to perform the tasks safety.
Managers regularly discuss with staff the results and development directions of the organization and society, indicating the priority of nuclear safety.
Leaders visit workspaces and discuss with staff about certain issues in the plant, providing examples and strengthening positive safety behaviors.
Staff rewarding is done for behaviors and results that reinforce the priority of nuclear safety on production.
Safety assumption: Can Cernavoda NPP be affected by a serious event? It was the first time when such a question was asked. The result was irrelevant due to the perception that the meaning of the question was related to the existence of an adequate degree of defense (procedural and physical) for accidents, and consequntly the answer was No, it cannot, due to existence of adequate barriers. (50%)
GREEN
High respect and priority given to safety, including respect for the regulators and oversight bodies
Understanding personal responsibilities for safety
Careful cautious approach with a willingness to stop work when something unexpected is encountered.
Comfort with shutting down the reactor when unexpected conditions occur
Adherence to procedures
Looking out for equipment degradation, fixing minor safety problems, checking tools and equipment before use
Current use and appreciation of operating experience, trust to report

11. Variation study - Waterfall Chart
The percentage change was compared to the standard deviation for each question.
It is considered that:
- a difference between (+/-) 40% -80% * STDEV is considered an important difference.
- a difference greater than (+/-) 80% * STDEV is considered a significant difference.
The table is sorted starting with the questions that recorded an increase in the average score.
Four questions have increases higher than + 80% STDEV (Standard Deviation for 2017 scores is 10.9%)

12. 2017 Survey Results – INPO Traits
Traits of a Healthy Nuclear Safety Culture (INPO )
2017
2014
Individual Commitment to Safety
83.7%
84.4%
PA. Personal Accountability
87.2%
88.9%
QA. Questioning Attitude
91.1%
89.7%
CO. Effective Safety Communication
72.8%
74.7%
Management Commitment to Safety
80.6%
81.2%
LA. Leadership Safety Values and Actions
74.0%
78.6%
DM. Decision-Making
88.4%
83.4%
WE. Respectful Work Environment
79.3%
81.6%
Management Systems
81.3%
78.4%
CL. Continuous Learning
82.2%
PI. Problem Identification and Resolution
81.0%
76.0%
RC. Environment for Raising Concerns
82.5%
79.4%
WP. Work Processes
79.7%
The survey questions were indexed for the attributes of the 10 safety culture traits.
The same algorithm was applied to calculate colors for INPO Safety Culture traits
Highest score: Questioning attitude
Attention zones: Communication and Leadership Actions

13. Improvement initiatives
We have performed mini - surveys – limited staff, reduced nr of questions, on a particular topic: use of operating experience, trust, resources, emergency planning, etc. Results were analysed and some improvements were implemented.
Analysis of events from the point of view safety culture characteristics
Continuous training on safety culture, operating experience, SOERs (a special topic Engaged, thinking organization)
Building a “blame free” organization – a training material on breaking the circle of blame and reinforcing personal accountability
Promoting self-reporting of low level human performance events.
Enhance the learning activities based on operating experience.
Improve involvement in benchmarking and self-assessment