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DOE OSTI2018

Developing a Strategy for Full Nuclear Plant Modernization

Recognizing the important role commercial nuclear power generation plays in the powering the economy and providing energy security to the nation, the U.S. Department of Energy (DOE) has established the Light Water Reactor Sustainability (LWRS) program to perform research and development (R&D) that further establishes the technical foundations for managing the long-term, safe, and economical operation of nuclear power plants (NPPs). One particular R&D area in the LWRS program is the Plant Modernization pathway, which includes human factors R&D and instrumentation and control systems engineering to enable full plant modernization. By funding R&D on plant modernization, the LWRS program provides important technical information that can be used by decision makers on how to best proceed with modernizing the existing fleet of NPPs. Under the LWRS program Plant Modernization pathway, a considerable amount of R&D has been performed in the human factors and I&C engineering areas. This work has been done in collaboration with many different U.S. utilities, and focused on both control room instrumentation and control (I&C) upgrades, and I&C upgrades in the field. The work performed to date under the LWRS program has had a notable impact on the ability for these utilities to continue to operate their respective fleets of reactors, and LWRS program researchers are intent on doing even more. In order to do this, a more unified strategy for full nuclear plant modernization needs to be developed. This report documents the latest step LWRS program researchers have taken to develop this strategy. Taken together with prior reports written on this specific topic the work described here provides an even clearer picture on what the strategy for full nuclear plant modernization should look like.

99 GENERAL AND MISCELLANEOUS↗
DOE OSTI2019

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↗
DOE OSTI2023

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↗
DOE OSTI2024

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↗
DOE OSTI2018

Developing a Human Factors Engineering Program Plan and End State Vision to Support Full Nuclear Power Plant Modernization

The Light Water Reactor Sustainability (LWRS) Program, which is sponsored by the United States (U.S.) Department of Energy (DOE), conducts research and development (R&D) to establish the technical bases to sustain U.S. nuclear assets. One area in the LWRS program is the Plant Modernization pathway, which includes human factors R&D, human factors engineering (HFE), and ergonomics. LWRS program researchers in this pathway conduct targeted R&D to address aging and reliability concerns with the legacy instrumentation and control (I&C) and related information systems in commercial nuclear power plants (NPPs). One key aspect of this pathway is to develop a strategy for full nuclear plant modernization, which previous LWRS plant modernization milestone reports have begun to describe. To further support this comprehensive plan and vision for full plant modernization, additional details need to be further developed. In particular, a core aspect of a strategy for full nuclear plant modernization is an HFE program plan and an end state vision for plant modernization that is well-integrated with both 1) a technically defensible approach to migrating the existing, mostly analog I&C infrastructure to a digital I&C infrastructure, and 2) a valid business case methodology to cost-justify the modernization activity. Thus, the purpose of this LWRS R&D activity and milestone report is threefold. First, the report provides guidance for operating commercial NPPs to support their development and evaluation of an HFE program management plan (HFE PMP) and an end state vision for plant modernization. The report presents best practices and lessons learned related to HFE PMPs based on MCR modifications in which analog systems were replaced by digital I&C systems. Second, the report summarizes the rationale for full digital I&C integration, highlights a number of factors that are critical to consider, and describes how HFE should merge with full digital I&C integration. Finally, the report summarizes and integrates the economic factors that must be considered to cost-justify HFE involvement in plant modernization.

99 GENERAL AND MISCELLANEOUS↗
DOE OSTI2017

Evaluation of Control Room Interface Designs to Support Modernization in Nuclear Power Plants

Control room modernization in the commercial nuclear power industry often takes the form of phased system-by-system upgrades that result in hybrid control rooms with digital and analog equipment. Ensuring that these upgrades results in enhanced human performance and more intuitive interfaces, researchers at INL have been supporting the design of upgraded systems in coordination with a large scale modernization effort at a partner utility. This report describes the experimental evaluation of a liquid radiological waste control room concept which investigated the use of color in system overview screens. The results indicated that maintaining existing color conventions to indicate component status yielded no benefit and in some cases caused a detriment to performance. The researchers recommended using a minimal muted color in overview screens, but advocated using color to enhance understanding of different flow paths and using saturated color to highlight abnormal operating states.

99 GENERAL AND MISCELLANEOUS↗
DOE OSTI2020

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↗
DOE OSTI2014

Baseline Human Factors and Ergonomics in Support of Control Room Modernization at Nuclear Power Plants

As part of control room modernization at a nuclear power plant, a utility should carefully follow the four phases prescribed by the U.S. Nuclear Regulatory Commission in NUREG-0711, Human Factors Engineering Program Review Model . These four phases include Planning and Analysis, Design, Verification and Validation, and Implementation and Operation. While NUREG-0711 is a useful guideline, it is written primarily from the perspective of regulatory review, and it therefore does not provide a nuanced account of many of the steps the utility might undertake as part of control room modernization. The guideline is largely summative—meant to catalog final products—rather than formative—meant to guide the overall modernization process. In this report, we highlight two crucial formative subelements of the Planning and Analysis phase specific to control room modernization that are not covered in NUREG-0711. These two subelements are the usability and ergonomics baseline evaluations. A baseline evaluation entails evaluating the system as-built and currently in use. The usability baseline evaluation provides key insights into operator performance using the control system currently in place. The ergonomic baseline evaluation identifies possible deficiencies in the physical configuration of the control system. Both baseline evaluations feed into the design of the replacement system and help ensure that control room modernization represents the successful evolution of the control system.

99 GENERAL AND MISCELLANEOUS↗
DOE OSTI2015

Baseline Evaluations to Support Control Room Modernization at Nuclear Power Plants

For any major control room modernization activity at a commercial nuclear power plant (NPP) in the U.S., a utility should carefully follow the four phases prescribed by the U.S. Nuclear Regulatory Commission in NUREG-0711, Human Factors Engineering Program Review Model. These four phases include Planning and Analysis, Design, Verification and Validation, and Implementation and Operation. While NUREG-0711 is a useful guideline, it is written primarily from the perspective of regulatory review, and it therefore does not provide a nuanced account of many of the steps the utility might undertake as part of control room modernization. The guideline is largely summative—intended to catalog final products—rather than formative—intended to guide the overall modernization process. In this paper, we highlight two crucial formative sub-elements of the Planning and Analysis phase specific to control room modernization that are not covered in NUREG-0711. These two sub-elements are the usability and ergonomics baseline evaluations. A baseline evaluation entails evaluating the system as-built and currently in use. The usability baseline evaluation provides key insights into operator performance using the control system currently in place. The ergonomics baseline evaluation identifies possible deficiencies in the physical configuration of the control system. Both baseline evaluations feed into the design of the replacement system and subsequent summative benchmarking activities that help ensure that control room modernization represents a successful evolution of the control system.

21 SPECIFIC NUCLEAR REACTORS AND ASSOCIATED PLANTS↗
DOE OSTI2020

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↗
DOE OSTI2022

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↗
DOE OSTI2017

A business case for nuclear plant control room modernization - 352

This paper presents a generic business case for implementation of technology that supports Control Room Modernization (CRM) in existing nuclear power plants (NPPs). The business case is based on advanced digital instrumentation and control (I and C), human-system interface (HSI), and work process technologies that allow NPP operators to conduct control room operations with improved human factors and efficiency, and therefore operate with fewer operational events. Labor savings can be harvested in terms of reduced overtime and redistribution of work. Significant savings are also demonstrated as reduced time to bring the plant back on line after completion of outages. The benefits are quantified to a rough order of magnitude, providing directional guidance to NPPs that are interested in developing similar business cases. The technologies employed in CRM include large overview displays, task-based operator displays, computer-based procedures, advanced alarm systems, computerized operator support systems, and wireless networks, among others. The CRM business case is founded on the following categories of cost savings: - Integrated Computer-Based Procedures for Operators; - Reduction in Corrective Action Program Work Due to Operator Error; - Reduction in Outage Critical Path Time; - Operation of Local Control Panels; - Reduction in Control Room Support; - Reduction in Plant Events Resulting in Generation Loss; - Paperless Control Room Processes. In addition to cost savings, these technologies also offer improvements to indirect ways that have impact on key performance indicators of the plant. (authors)

22 GENERAL STUDIES OF NUCLEAR REACTORS↗
DOE OSTI2018

Strategy for Safety-Related Digital I&C Qualification

Digital I&C qualification continues to be a major impediment to addressing the reliability and obsolescence issues of the legacy analog I&C systems of the operating LWR fleet. In particular, the issue of digital common cause failure (CCF) has been difficult to address and has been the reason that some nuclear plant licensees have deferred upgrades of these critical plant systems and have rather opted to maintain them with considerable engineering and maintenance efforts. This is getting more and more difficult in the face of declining analog technology suppliers and dwindling supplies of spare parts and support for many critical components. To remain a viable energy source for the nation, the nuclear fleet must reduce its operating costs to a competitive level. Digital technology is the foremost means of implementing performance improvements and cost reductions for this purpose. This has been demonstrated over and over again in other industry sectors, as well as in conventional generation facilities. However, due to the special nature of nuclear energy, these digital I&C qualification barriers remain and must be resolved in order to modernize these plants and transform the business model to one that is competitive. The purpose of this report is to present an assessment of digital I&C qualification issues and address gaps in qualification methods and processes that would potentially benefit from Department of Energy (DOE)-sponsored research and development. Two new qualification methods are described that are recommended for further Department of Energy-sponsored research and development. They are 1) Testability – the exhaustive (100%) testing of certain digital devices addressing all combinations of inputs and internal states, and 2) Elimination of CCF triggers – ensuring that any latent digital defects are not concurrently triggered in redundant and back-up safety systems. In addition this report presents a strategy for full nuclear plant modernization based on four interrelated elements that together address the remaining barriers to prudent implementation. These four elements are 1) End-State Architecture, 2) Cost-Benefit Analysis, 3) Regulatory Approval, and 4) Implementation Sequence Plan.

42 ENGINEERING↗
DOE OSTI2024

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↗
DOE OSTI2024

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↗
DOE OSTI2022

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↗
DOE OSTI2020

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↗