1. IAEA International Atomic Energy Agency Technical Meeting on Regulatory Oversight of Human and Organizational Factors Vienna, Austria | 14-18 December 2015 Breakout sessions

2. IAEA Two breakout sessions To facilitate discussions and interaction among the participants in a smaller group: HOF concept and what areas need for oversight on HOF Content of a HOF regulatory oversight programme Every group will be requested to share their results and conclusions in plenum December 2015TM on Regulatory Oversight of HOF2

3. IAEA Group Composition Group 1 (M7) Vanik Nersesyan (Armenia) Ivan Raukach (Belarus) Marco Alvarenga (Brazil) Hristo Botsoev (Bulgaria) Alice Salway (Canada) Radim Dolezal (Czech R.) Lusiana Waqualezu (Fiji) Group 4 (M7) Aude Geniaux (France) Werner Fassmann (Germany) Ram Gupta (India) Anri Ridwan (Indonesia) Takaya Hata (Japan) Mohammad Rababah (Jordan) Dong-Hoon Lee (Korea R.) December 2015TM on Regulatory Oversight of HOF3

4. IAEA Group 2 (MOE12) Christopher Kopisch (Germany) Peter Tomka (Hungary) Veronica Godinez-Sanchez (Mexico) Yvonne Dubers (Netherlands) Evgeny Kudryavtsev (Russia) Pavol MATkovcik (Slovakia) Eszter Retfavi (Hungary) Group 3 (MOE13) Amer Mahmood (Pakistan) Mari Nykanen (Finland) Viktor Szabo (Slovakia) Tea Bilic (Slovenia) Gladys Motlhabane (South Africa) Oleksandr Pecherytsia (Ukraine) Minh Le (Vietnam) December 2015TM on Regulatory Oversight of HOF4

5. IAEA HOF concept and what areas need for oversight on HOF Scope: To (further) develop a common understanding on HOF and the importance to deal with HOF Principle 3 of the Fundamental Safety Principle SF-1 states that, among other aspects 3.14. An important factor in a management system is the recognition of the entire range of interactions of individuals at all levels with technology and with organizations. To prevent human and organizational failures, human factors have to be taken into account and good performance and good practices have to be supported December 2015TM on Regulatory Oversight of HOF5

6. IAEA HOF concept and what areas need for oversight on HOF From GS-G-3.5 | Human factors and the interaction between individuals, technology and the organization (2.35) In a given situation, individuals have various types of resource at their disposal to enable them to carry out a task successfully Intrinsic to the individual: competence, motivation, cognitive abilities… Physical resources: Instrumentation, procedures or computer aids… Residing in the working environment: through teamwork, communication and leadership, in the management system and culture... All the resources (and their combination) help in preventing human error by providing barriers to error When the content, design and organization of a task correspond to the individual’s needs and capabilities, the conditions prevail for the individual to perform in a way that promotes safety December 2015TM on Regulatory Oversight of HOF6

7. IAEA HOF concept and what areas need for oversight on HOF Groups 1 and 2 Performance safety indicators for HOF What could be the definition of HOF? What are the key aspects of it? Why is it important or not? What does mean "entire range of interactions of individuals at all levels with technology and with organizations"? What does systemic and integrated view mean? Organizational factors vs Human Factors Groups 3 and 4 How HOF can be considered to contribute positively to safety? How can HOF management prevent from human errors? What should be addressed to prevent organization failures? What are the key attributes for managing organizational changes?/How to manage HOF? Role of the management system Should HOF permeate all activities? Should not be too cumbersome? What are the difficulties to oversee HOF? December 2015TM on Regulatory Oversight of HOF7

8. IAEA How HOF can be considered to contribute positively to safety? It should provide the best possible conditions and circumistances for using, developping and fostering personnel competencies and motivation to perform individually or collectively their tasks reliabelely and adequately It provides adequate support to task performance: motivation, physiological and psychological health, skill, knowledge, learning, social skills, feeling free of reporting incident, interpersonal respect, personnal developpment December 2015TM on Regulatory Oversight of HOF8

9. IAEA What should be addressed to prevent organization failures? What are the key attributes for managing organizational changes? How to manage HOF? Role of the management system Organization failure: if the act or event can be attributed to failure of organizational characteristics of a structure or processes of the organization Organizational factors related to failures The term “failure” should be defined (to guaranty failure report) Tasks assigned to the workers have to avoid inadequate workload/ they have to stimulate motivation proper incentives Well defined structures, responsibilities, authority December 2015TM on Regulatory Oversight of HOF9

10. IAEA What should be addressed to prevent organization failures? What are the key attributes for managing organizational changes? How to manage HOF? Role of the management system Well defined structures, responsibilities, authority Strong learning organization (monitoring and improvement of the process) Clear and transparent reporting system Many observations collected by inspectors; The observations are considered to be symptoms of degradation of safety culture Good relationship between licensee and the regulatory body December 2015TM on Regulatory Oversight of HOF10

11. IAEA What are the difficulties to oversee HOF? Various and interaction of factors (everything in the working situation and organization that has an influence on the activity) Knowledges envolving (advance human-machine inferfaces)-> one have to keep up to date Some of this factors are not observable easily (psychologichal factors, motivation, fears, fatigue) Variations in individual behavior/cultural differencies Variations in working environment (inadequate tool, inedaquate time allocated to a task..) Time and ressources, knowledge of regulatory inspectors, expertise of the regulatory body Avaibility of the data (extended working hours…) December 2015TM on Regulatory Oversight of HOF11

12. IAEA What are the difficulties to oversee HOF? Difficulties to make assessment on the contribution of theses factors to performance and safety Risk of oversimplification view of human behaviour Involving of regulatory body in the licencee’s organization Licensee transparency/ access to information (interviews) Regulatorybody self censorship Incomplete/inadaquate rules and regulations Independence of the regulary body December 2015TM on Regulatory Oversight of HOF12

13. IAEA 13 j.jubin@iaea.org THANK YOU