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Development of a Strategy for Full Nuclear Plant Modernization

Researchers sponsored by the United States Department of Energy Light Water Reactor Sustainability (LWRS) Program collaborate with several nuclear utilities on the modernization of their control room instrumentation and control (I&C) systems. In late 2017, an LWRS project team with expertise in nuclear power plant operations, I&C systems engineering, and human factors engineering started developing a strategy for full nuclear plant modernization. This paper documents the latest steps LWRS program researchers have taken to develop this strategy. Taken together with prior reports written on this specific topic, the work described here provides a clear picture on what the strategy for full nuclear plant modernization should look like.

99 GENERAL AND MISCELLANEOUS↗

A Review of Sociotechnical Approaches for Nuclear Power Plant Modernization

The current United States nuclear power plant fleet is in need of transforming the way work is performed to remain competitive with other electricity-generating sources. The use of new digital technologies can be applied to significantly reduce operating and maintenance costs. Recent research by the United States Department of Energy Light Water Reactor Sustainability Program has identified new opportunities to leverage advanced digital technologies to transform the way work is performed at existing plants. However, to ensure that the capabilities of people and advanced digital technologies are jointly optimized, a sociotechnical approach should be considered. This work explores recently introduced sociotechnical approaches to address the function allocation and data visualization considerations in the integration of new digital technologies to ensure safety, reliability, and maximizing the capabilities of proposed technological solutions that ensure the economic viability of the existing United States nuclear power plant fleet.

99 GENERAL AND MISCELLANEOUS↗

Human Factors Challenges in Modernizing Nuclear Power Plant Control Rooms

Jeffrey Joe has been invited to give a presentation entitled, “Human Factors Challenges in Modernizing Nuclear Power Plant Control Rooms,” at the 2024 Human Systems Symposium. Experts conducting human factors and human systems research will gather and share research at this conference. This conference is a good opportunity to develop new business for INL via research collaborations, as attendees exchange knowledge and explore the latest trends, advancements, and challenges in the field of human systems research across the DOE national laboratories.

99 GENERAL AND MISCELLANEOUS↗

Data Collection and Analysis Challenges and Mitigation Strategies for Quantitative Human Factors Research Studies in Nuclear Power Plant Modernization

The United States (U.S.) Department of Energy (DOE) Light Water Reactor Sustainability (LWRS) program Plant Modernization Pathway is conducting targeted research and development (R&D) to address aging and reliability concerns with the legacy instrumentation and control and related information systems of the U.S. LWR fleet. In this effort, the application of human factors engineering (HFE) provides an important role in ensuring new digital plant technologies enable broad innovation and business improvement with continued operational safety. Evaluation is a key activity in HFE, which often occurs iteratively through the system design lifecycle. While qualitative methods are important in collecting information of how users perform tasks through observations, quantitative methods are equally important in assessing system design based on performance. In collecting and analyzing this quantitative data, there are notable challenges in the nuclear HFE domain that may threaten the validity and reliability of the inferences made in these studies. Notable challenges include small sample size and limited resources, large error variance and small effect size, an “adding test features to losing degrees of freedom” dilemma, non-normal distribution, and heterogeneity of variance. The results in control room usability studies are often statistically non-significant, which makes it hard to interpret. This work discusses these challenges across different scientific viewpoints and provides real-world examples of these challenges in practice. Collectively, the objective of this work is to position these challenges to the larger data science community as a means of identifying future opportunities to address these issues.

99 GENERAL AND MISCELLANEOUS↗

A Tool for Performing Link Analysis, Operational Sequence Analysis, and Workload Analysis to Support Nuclear Power Plant Control Room Modernization

Nuclear power continues to have an imperative role for the U.S.’s electricity generation. However, for these nuclear power plants (NPPs) to remain economically viable, new strategies for reducing operations and maintenance costs must be explored. The U.S. Department of Energy Light Water Reactor Sustainability Program is researching how to digitally transform existing analog and hybrid main control rooms into a fully integrated control room that addresses this challenge. The transformation will fundamentally change the conduct of operations for these U.S. NPPs. Human factors engineering has a vital role in this effort, where traditional task analysis methods are important in informing the design of advanced human-system interface displays. This work describes a preliminary tool to support task analysis for the development of these advanced displays. Details on the use of this tool, including the specific task analysis methods offered, are presented in this paper.

99 GENERAL AND MISCELLANEOUS↗

Using Systems Theoretic Process Analysis and Causal Analysis to Map and Manage Organizational Information to Enable Digitalization and Information Automation

The overarching goal of this Light Water Reactor Sustainability Program–supported research and development project is to provide planning tools and comprehensive guidance to utilities considering or undertaking full nuclear plant modernization. The results of this research will provide the nuclear industry with a comprehensive and usable solution, including guidance, lessons learned, methods, and planning tools. This research is currently working to provide guidance on digitalization and information automation to enable the evolution of data to information, insight, and action—thereby allowing utilities to operate safely and cost-competitively with all other electrical generation sources. Light Water Reactor Sustainability Program researchers have also recently started investigating how human and technology integration principles, information automation, and digitalization enable data evolution. These researchers are currently in the process of validating the use of System-Theoretic Process Analysis to define high-level safety constraints in the United States Nuclear Regulatory Commission’s problem identification and resolution process (i.e., a plant compliance information gathering activity). The next step in this research, which is described in the following sections of this report, is to map out data evolution in a use case to identify inefficiencies in another aspect of plant compliance information gathering and communication activities—event investigations and root cause analyses.

21 SPECIFIC NUCLEAR REACTORS AND ASSOCIATED PLANTS↗

Root Cause Correlation Analysis of Software Failures via Orthogonal Defect Classification and Natural Language Processing

Systems theoretic process analysis (STPA) is becoming an increasingly popular technique to assess how complex digital software systems can fail. Rather than defining failures by their observable failure events, which may be sparse especially for safety rated nuclear digital instrumentation and control systems (DI&C), failures are defined as postulated unsafe actions under specific contextual conditions. This permits a top-down analysis of system hazards and identifies whether imposed constraints and requirements can sufficiently address undesirable hazards. However, STPA is a qualitative approach at identifying inadequacies in the development process and cannot currently be used to quantify unsafe action likelihoods for probabilistic risk assessment. Therefore, in this work, we examine the root causes of software failure and explore whether a consistent correlation can be linked to specific unsafe action classes. We implement Lbl2Vec, an unsupervised document classification and retrieval algorithm, on a database of 4,096 software defect reports acquired from various open-source software systems. By analyzing sentence structure, embedded labels, and word vectors, we show that certain defect types positively correlate to specific unsafe action classes over others. The correlations developed can be used to estimate the failure probability of safety intended DI&C systems which provides a licensing basis for nuclear plant modernization efforts.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

Root Cause Correlation Analysis of Software Failures via Orthogonal Defect Classification and Natural Language Processing

Systems theoretic process analysis (STPA) is becoming an increasingly popular technique to assess how complex digital software systems can fail. Rather than defining failures by their observable failure events, which may be sparse especially for safety rated nuclear digital instrumentation and control systems (DI&C), failures are defined as postulated unsafe actions under specific contextual conditions. This permits a top-down analysis of system hazards and identifies whether imposed constraints and requirements can sufficiently address undesirable hazards. However, STPA is a qualitative approach at identifying inadequacies in the development process and cannot currently be used to quantify unsafe action likelihoods for probabilistic risk assessment. Therefore, in this work, we examine the root causes of software failure and explore whether a consistent correlation can be linked to specific unsafe action classes. We implement Lbl2Vec, an unsupervised document classification and retrieval algorithm, on a database of 4,096 software defect reports acquired from various open-source software systems. By analyzing sentence structure, embedded labels, and word vectors, we show that certain defect types positively correlate to specific unsafe action classes over others. The correlations developed can be used to estimate the failure probability of safety intended DI&C systems which provides a licensing basis for nuclear plant modernization efforts.

22 - GENERAL STUDIES OF NUCLEAR REACTORS↗

Using Information Automation and Human Technology Integration to Implement Integrated Operations for Nuclear

The purpose of the research effort described in this report is to develop and demonstrate an approach to the design and implementation of advanced, automated systems intended to increase operational efficiencies at nuclear power plants. In particular, we describe methods for considering human-technology integration (HTI) issues throughout the various phases of system design, test, and implementation and how these considerations help promote effective design. This research project will develop planning tools and comprehensive guidance on how HTI principles and methods, in combination with information automation technologies, can enable effective data integration and coordination for full nuclear plant modernization. Specifically, this research project will develop an approach to automate the mapping of data from plant systems and processes to application needs, thereby significantly reducing the amount of human workload currently required for the execution of these tasks. In addition to developing an automated solution as a replacement for these tasks, this research will also analyze digitalization’s effectiveness in reducing operational costs of compliance related activities. Compliance activities are estimated to account for as much as 50% of operations and maintenance (i.e., non-fuel and non-capital) costs of plant operation.

97 MATHEMATICS AND COMPUTING↗

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

The objective of this report is to provide the nuclear power industry with guidance on including socio-technical issues in plans developed for current and future modernization efforts. Socio-technical issues of concern include social, organizational and related technical aspects of modernized systems. These can be addressed using a set of systematic analysis and design methods developed to address socio-technical issues of the sort facing the nuclear power industry. The next phase of this work will involve developing and implementing a modernization plan that includes socio-technical tools and methods identified and discussed in a report by Dainoff and colleagues (2020). The plan is expected to be developed and implemented in cooperation with a nuclear utility that has expressed interest in participating. The Dainoff et al report provides the foundation for the present effort and presents a methodological tool set for analyzing socio-technical issues applicable to many modernization efforts. The tools described by Dainoff et al are based on principles of human factors engineering, safety engineering, and systems engineering and are discussed within the specific context of nuclear utility modernization and transformation efforts. It is expected that the plan and the concepts described in the current report will be developed and implemented with a nuclear utility partner. The plan developed with the nuclear utility partner will have a substantially higher level of detail than the guidance provided in this report, particularly with regard to details of plan logistics, etc.

99 GENERAL AND MISCELLANEOUS↗

Developing a Roadmap for Total Nuclear Plant Transformation

Commercial nuclear power plants (NPPs) provide emission free, always-on electricity that must be part of the energy mix if U.S. industry and business are to remain competitive while enjoying the benefits of a clean environment. Most U.S. NPPs in operation today were licensed using state-of-the-art analog technology of the 1970’s. While these systems are well proven and designed with multiple redundant channels, they required extensive manual surveillance and testing procedures to demonstrate their continued functioning. All of this adds up to increasing labor costs as the only means to increase plant availability. The United States (U.S.) Department of Energy (DOE) Light Water Reactor Sustainability (LWRS) Program is performing a study to determine how an NPP can fully modernize, improve safety, and improve efficiency enough to make nuclear power competitive with current and future market conditions. The study is a process improvement analysis whereby current operational processes are evaluated to identify where efficiencies and cost-savings can be realized. This report will describe a process that will provide each utility with the tools to evaluate their present state, set goals for where they want to be regarding Operation and Maintenance (O&M) costs, while offering transformative pathways to achieve these improvements. The transformative changes will be divided into 1) work process improvements, 2) technology solutions, and 3) regulatory reform. By applying these pathways in combination, NPPs can achieve the dramatic O&M savings needed to sustain safe and economic operation into the future.

99 GENERAL AND MISCELLANEOUS↗

Demonstration and Evaluation of the Human-Technology Integration Guidance for Plant Modernization

The significance of nuclear power in its role producing carbon-free electricity to the U.S. cannot be overstated. However, with changes in the energy market coupled with changes in incentives given to certain resources like solar and wind, the operating and maintenance costs for these sources have seen a significant reduction, which has consequently negatively impacted the economic viability of the existing U.S. nuclear power plant fleet. Digital instrumentation and control (I&C) and control room modernization is a major critical work domain to reduce operating and maintenance costs. Existing nuclear power plants are commonly configured with mostly legacy analog I&C as well as isolated pockets of digital I&C (a plant process computer, digital recorders, etc.). One challenge with this analog I&C is that replacement parts are becoming prohibitively more expensive and difficult to obtain. Moreover, a significant challenge with the existing analog I&C is that the way in which plants are currently operated and maintained is no longer competitive with other electricity generating sources, like natural gas, where advanced digital I&C technologies are commonplace. This gap between the waynuclear power plants are operated compared to other electricity generating sources significantly challenges the economic viability of the nuclear industry. Indeed, digital I&C systems can fundamentally change the way the plant is operated (i.e., the concept of operation). The introduction of digital I&C technologies offers a wealth of benefits to the nuclear industry. However, it is important to emphasize that, to realize these benefits, a careful understanding of how to integrate technology in a collaborative way that leverages the capabilities of people and technologies is necessary. Human-technology integration applies human factors engineering methods and tools to ensure the safe and reliable use of these technologies while ensuring that the inherent features of the technologies that provide economic value are not missed. The scope of this work documents the demonstration of the recently developed human and technology integration methodology, as applied to developing a new vision and concept of operations for a major U.S. nuclear power plant fleet. This report focuses on the methodological aspects of developing a vision and concept of operations. This report shares the tools, activities, and lessons learned during a modernization currently underway for industry as a whole to consider when planning any significant digital modification and developing a new vision and concept of operations.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

Analysis and Planning Framework for Nuclear Plant Transformation

Commercial nuclear power in the United States has been an unqualified success by any measure, providing low cost, carbon-free, and safe baseload electricity for decades. The industry today is at the peak of its historical performance in terms of generation output, reliable operations, and demonstrated nuclear safety. However, it is no longer among the lowest-cost electric generation sources with the emergence of subsidized renewables and shale gas generation. The business model that has served the operating nuclear fleet so well over its life is now a drag on cost performance due to its reliance on a large highly skilled labor force. In contrast, digital technology and innovation are enabling dramatic efficiencies in energy production, resulting in fierce competition for a commodity such as electricity. The nuclear power industry has responded to this challenge with many initiatives to improve efficiency and modernize plant equipment, especially where reliability and obsolescence issues are pressing. However, it would be a missed opportunity to merely modernize the plant components and the work processes of an outdated business model that was formulated to manage the technology of the 1960s. Rather, the greater opportunity is to transform that business model to one that fully exploits the capabilities of modern digital technology, resulting in substantially lower production costs and sustainable market viability. One successful example of such transformation is the concept of Integrated Operations, which was introduced into the North Sea oil and gas industry a couple of decades ago when the profitability of operating these fields was severely threatened by low world petroleum prices and the high overhead of operating the offshore oil and gas platforms. This effort resulted in significant changes to how these oil fields were operated and allowed the industry to continue profitable operation of these platforms. This example has some remarkable parallels to the U.S. commercial nuclear industry as described in the next section. This report provides an analysis and planning framework for such a nuclear plant operating model transformation based on the transferable learnings from the North Sea transformation. This framework is termed Integrated Operations for Nuclear or ION. This report describes the key principles and methods of Integrated Operations and how they are being applied in a collaboration between the DOE Light Water Reactor Sustainability Program and Xcel Energy in an initiative to transform its operating model for performance improvement and long-term sustainability. It describes a method to bring the operating costs of a nuclear fleet in line with market-based pricing, transforming work functions to reduce cost with technology innovations. This initiative will continue over the next several years in the detailed development of transformative concepts for nuclear plants, which will be published as follow-up to this initial report on Integrated Operations for Nuclear.

21 SPECIFIC NUCLEAR REACTORS AND ASSOCIATED PLANTS↗

Integrated Operations for Nuclear: Work Reduction Opportunity Demonstration

Integrated Operations for Nuclear: Work Reduction Opportunity Demonstration The DI BCA document also identifies specific, digitally enabled WRO categories for further study. These were selected as most relevant by Reference Plant personnel from a larger list of WRO areas identified across the nuclear industry as captured INL/RPT-21-64134, “Process for Significant Nuclear Work Function Innovation Based on Integrated Operations Concepts.” This ION WRO demonstration report was developed to provide illustrative, specific, and actionable direction for intertwined PTPG changes associated with digital modernization efforts. The coordinated changes in these areas are intended to maximize safe plant operational and economic performance. This includes enabling WROs associated with detailed configuration, implementation, and use of digital systems and how they are supported over their lifecycle. Illustrating this direction through a minimum set of advanced technology examples establishes a model PTPG framework that can be leveraged across the spectrum of nuclear plant digital modernization efforts going forward. This document addresses many related concepts. To promote an integrated understanding of the topics that make up this work, this document contains an extensive set of internal hyperlinks. This set includes hyperlinks to page numbers in the table of contents, section numbers, items in lists, figures, tables, and references to other documents within the report. When hovering the cursor above hyperlinked text in Adobe, the cursor will change from “ ” to “ .” When the “ ” appears, a left mouse click will take the reader to the referenced location in the document. To return to the original location in the document, the reader need only press and hold the “alt” button on the keyboard and then simultaneously press the “<” directional key on the keyboard.

42 ENGINEERING↗

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

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.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

Plant Modernization Pathway: FY 2019 External Review Summary Report

This report describes an external review conducted by the Light Water Reactor Sustainability Program Plant Modernization Pathway (referred to as Pathway) to solicit feedback on the topics and results of the ongoing Instrumentation and Control (I&C) research program. This review was held in conjunction with the Nuclear Energy Institute (NEI) Digital I&C Working Group meeting that was held at Idaho National Laboratory on October 16–17, 2018. Members of the Nuclear Regulatory Commission (NRC) staff working on digital I&C issues through their Integrated Action Plan also attended. The NEI and NRC agreed that the meeting participants would serve as an external review panel for the purpose of obtaining expert input on the value and timing of the research projects. Five major research areas were presented, along with demonstrations of new technologies in the Human Systems Simulation Laboratory and the Computer-Assisted Virtual Environment. Following the presentations, the external review was conducted by referring to a set of summary slides of the five research areas, and allowing each participant to enter ratings and comments on a survey form as each area was addressed. Fourteen forms were returned. These feedback forms were analyzed by the Pathway who compiled and responded to the data and comments, which are documented in this report. The participants also had opportunity to provide comments on the LWRS Program as a whole and to suggest additional research topics of value. The feedback provided by the external review participants is taken to be a strong endorsement of the types of projects being conducted by the Pathway, the value they hold for the operating nuclear plants, and the general timing of need. The feedback aligns well with the priorities, levels of efforts allocated for the research projects, and project schedules of the current Pathway research program. The feedback also provides realistic observations on the practicality of some aspects of implementing these technologies. The Pathway will consider all of the feedback and address the recommended research topics that have been identified by the external review participants. Pathway research plans will be adjusted as warranted.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

FY24 LWRS Program overview

This slide deck provides a brief overview of the Light Water Reactor Sustainability (LWRS) Program. It will be used during public presentations. The LWRS Program aims to enhance the safe, efficient, and economical performance of our nation's nuclear fleet and extend the operating lifetimes of this reliable source of electricity.

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