1、 IEEE Recommended Practice for the Investigation of Events at Nuclear Facilities Sponsored by the Nuclear Power Engineering Committee IEEE 3 Park Avenue New York, NY 10016-5997 USA IEEE Power and Energy Society IEEE Std 1707-2015IEEE Std 1707-2015 IEEE Recommended Practice for the Investigation of E
2、vents at Nuclear Facilities Sponsor Nuclear Power Engineering Committee of the IEEE Power and Energy Society Approved 28 October 2015 IEEE-SA Standards Board Abstract: Common terminology and recommended practices for initiating and conducting event investigations, analyzing data, producing results,
3、and identifying corrective actions associated with facility personnel, processes, equipment, and systems at nuclear facilities are provided in this document. The scope of event investigation activities addressed includes, but is not limited to, root cause analysis, which is an in depth investigation
4、 process used to identify primary causes of an event based on the systematic and consistent use of analysis tools. This recommended practice can be used for the investigation of all events and allows the use of a graduated approach to the depth of the investigation based upon the event significance.
5、 Keywords: event investigation, IEEE 1707, nuclear, root cause The Institute of Electrical and Electronics Engineers, Inc. 3 Park Avenue, New York, NY 10016-5997, USA Copyright 2015 by The Institute of Electrical and Electronics Engineers, Inc. All rights reserved. Published 30 December 2015. Printe
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34、 and the risk of infringement of such rights, is entirely their own responsibility. Further information may be obtained from the IEEE Standards Association. Copyright 2015 IEEE. All rights reserved. vi Participants At the time this IEEE recommended practice was completed, the SC 5.5 Lessons Learned
35、Working Group had the following membership: Julius Persensky, Chair Christopher Kerr, Co-Chair Kay Wilde Palmer, Vice Chair Carl Allesandro Terry Bartley Dorian Conger William Corcoran Robert Fisher Richard Foote Felicity Harrison Alex House Angie Kozak Jack Martin Graem Meteer Mark Paradies Robert
36、Shular Olivier St-Cyr Pierre Tanguay Tracy Theesfeld Paul Wong The following members of the individual balloting committee voted on this recommended practice. Balloters may have voted for approval, disapproval, or abstention. William Ackerman Satish Aggarwal Robert Aiello George Ballassi William Blo
37、ethe Daniel Brosnan Robert Carruth Tom Crawford Paul Croll John Disosway Stephen Fleger Keith Flowers Robert Fuld Randall Groves Ajit Gwal Daryl Harmon Hamidreza Heidarisafa Werner Hoelzl Piotr Karocki Christopher Kerr Thomas Koshy Omar Mazzoni Michael Newman Ted Riccio John Stevens Eugene Stoudenmi
38、re John Vergis Robert Waters Kenneth White When the IEEE-SA Standards Board approved this recommended practice on 28 October 2015, it had the following membership: John D. Kulick, Chair Jon Walter Rosdahl, Vice Chair Richard H. Hulett, Past Chair Konstantinos Karachalios, Secretary Masayuki Ariyoshi
39、 Ted Burse Stephen Dukes Jean-Philippe Faure J. Travis Griffith Gary Hoffman Michael Janezic Joseph L. Koepfinger* David J. Law Hung Ling Andrew Myles T. W. Olsen Glenn Parsons Ronald C. Petersen Annette D. Reilly Stephen J. Shellhammer Adrian P. Stephens Yatin Trivedi Phillip Winston Don Wright Yu
40、Yuan Daidi Zhong *Member Emeritus Copyright 2015 IEEE. All rights reserved. vii Introduction This introduction is not part of IEEE Std 1707-2015, IEEE Recommended Practice for the Investigation of Events at Nuclear Facilities. IEEE Subcommittee 5 on Human Factors, Control Facilities and Human Reliab
41、ility (SC5), a unit of the IEEE Nuclear Power Engineering Committee (NPEC), has developed and maintained human factors engineering standards for nuclear facilities since the early 1980s. SC5 has structured its standards in a hierarchical fashion. The top-level SC5 guidance document is IEEE Std 1023,
42、 IEEE Recommended Practice for the Application of Human Factors Engineering to Systems, Equipment, and Facilities of Nuclear Power Generating Stations and Other Nuclear Facilities. IEEE Std 1023 promotes the systematic integration of human performance considerations in the life cycle of commercial n
43、uclear power stations and other nuclear facilities. IEEE Std 1023 is supported by additional standards written to address specific technical needs. IEEE Std 1707 is an additional standard that provides a recommended practice to establish the characteristics of an acceptable approach to event investi
44、gations. Such investigations can serve as part of the basis for operating experience reviews needed to support IEEE Std 1023. The need for a Corrective Action Program at nuclear facilities is discussed in regulations (e.g., 10 CFR Part 50, Appendix B, criterion XVI). The investigation process in IEE
45、E Std 1707 provides one framework for implementing such programs. In addition, this process aligns with the event investigation section of the voluntary guidance of OSHA Safety and Health Program Management Guidelines (Federal Register 54:3904-3916), which supports 29 CFR 1910 requirements. This rec
46、ommended practice provides the nuclear industry a common approach for planning, conducting, and reporting event investigations. It includes definitions and elements for corrective action plans. Staff and management at nuclear facilities who complete event investigations and those evaluating event in
47、vestigation reports can use the document to fulfill their respective roles. Event investigation reports serve a key role for sharing event information within the facility conducting the investigation, as well as among similar facilities and by the organizations charged with evaluating the event inve
48、stigations. It is important that reports include sufficient information in a manner that allows for a common understanding of event causation. This recommended practice focuses not only on specific causes, but on the entire organizational infrastructures role in events. The investigation reports als
49、o can be used to focus on needed improvements in personnel, processes, and system and equipment performance. This recommended practice identifies seven elements of an acceptable event investigation including the following: a) Establishing roles and responsibilities (see 4.1) b) Planning (see 4.2) c) Information gathering and analysis (see 4.3) d) Cause determination (see 4.4) e) Corrective action plan (see 4.5) f) Investigation report (see 4.6) g) Records (see 4.7) This document is intended to be used by personnel at nuclear power plants, nuclear fuel processing plants, resear
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