ANSI IEEE 1786-2011 Guide for Human Factors Applications of Computerized Operating Procedure Systems (COPS) at Nuclear Power Generating Stations and Other Nuclear Facilities《核电站和其它.pdf

1、 IEEE Guide for Human Factors Applications of Computerized Operating Procedure Systems (COPS) at Nuclear Power Generating Stations and Other Nuclear Facilities Sponsored by the Nuclear Power Engineering Committee IEEE 3 Park Avenue New York, NY 10016-5997 USA 22 September 2011 IEEE Power +1 978 750

2、8400. Permission to photocopy portions of any individual standard for educational classroom use can also be obtained through the Copyright Clearance Center. iv Copyright 2011 IEEE. All rights reserved. Introduction This introduction is not part of IEEE Std 1786-2011, IEEE Guide for Human Factors App

3、lications of Computerized Operating Procedure Systems (COPS) at Nuclear Power Generating Stations and Other Nuclear Facilities. IEEE Subcommittee 5 on Human Factors, Control Facilities, and Human Reliability (SC5), a unit of the IEEE Nuclear Power Engineering Committee (NPEC), has developed and main

4、tained human factors engineering standards for nuclear facilities since the early 1980s. The SC5 has structured its standards in a hierarchical fashion. The top-level SC5 guidance document is IEEE Std 1023, a, Recommended Practice for the Application of Human Factors Engineering to Systems, Equipmen

5、t, 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 nuclear power plants and other nuclear facilities. IEEE Std 1023 is supported by additional stand

6、ards written to address specific technical needs. IEEE Std 1786-2011 is an additional standard that provides guidance for the application of computerized operating procedure systems (COPS) in nuclear facilities. The SC5 has considered the need for guidance on computerized procedures since the early

7、1990s. During that time, advancing technology and experience demonstrated the viability of such systems, enabling this standard to be developed with the consensus of industry, vendor, and regulatory participants. Computerized operating procedure systems are systems used to present plant operating pr

8、ocedures via electronic visual display rather than hard copy (i.e., print) media. Using computers to present nuclear plant operating procedures has been explored at least since the early 1980s, with several commercial power plant applications implemented by the late 1990s. Such systems have yet to b

9、e widely adopted, due to questions of operating philosophy, the cost-benefits of control room upgrade, associated regulatory uncertainty, and so forth. However, with the advent of highly computerized control rooms in new plant construction, the implementation of COPS will be increasingly widespread.

10、 It is generally accepted that computers are well-suited to such tasks as monitoring, display, and logical evaluation of real-time data. These capabilities can address many of the routine problems that invite human error in the use of conventional, hard-copy operating procedures. At the same time, c

11、oncerns remain about the impact of computers on the role and performance of human operators, and about the allocation of decision-making authority to computers. This document takes a conservative approach to these issues, such that the following principles are implicit throughout: Procedures are wri

12、tten directions for human operators, developed according to established procedure development guidance. When procedures are implemented by COPS, the role of COPS is to facilitate the human operators elective use of those procedures. The established operator roles, directions given by a procedure (i.

13、e., their structure, technical content, and so forth), criteria by which procedure content is judged acceptable, and the responsibility of the operator to best implement those directions, should not vary with the procedure media. The recommendations for COPS can thus be guided, to some extent, by an

14、alogy to the organization and use of conventional hard-copy procedures. For example, operators should be able to report their locations in a procedure network at any time, as well as their reasons for being in that location. Capabilities that are not transparent to the operator, such as nondetermini

15、stic branching, dynamic structuring of procedure contents, or complex machine reasoning, are thus not recommended for COPS applications. aInformation on references can be found in Clause 2. v Copyright 2011 IEEE. All rights reserved. These guidelines should be implemented within the framework of a f

16、ormal human factors program, including task analysis of the procedures to be computerized. Consideration of the users needs and preferences will help ensure that COPS can be employed confidently and effectively. The guide consists of the primary guidance in Clause 1 through Clause 5, along with thre

17、e annexes. Annex B and Annex C provide additional information (e.g., tutorials) for guide steps in Clause 4 and Clause 5. The working group deemed certain topics to be outside the scope of this guide, on the basis that no unique considerations were identified for COPS and that general guidance was b

18、etter provided elsewhere. These topics include the conduct of plant operations, control room communications, cybersecurity, display and control design, general human factors engineering, operator training, procedure development, system testing, and software development. Notice to users Laws and regu

19、lations Users of these documents should consult all applicable laws and regulations. Compliance with the provisions of this standard does not imply compliance to any applicable regulatory requirements. Implementers of the standard are responsible for observing or referring to the applicable regulato

20、ry requirements. IEEE does not, by the publication of its standards, intend to urge action that is not in compliance with applicable laws, and these documents may not be construed as doing so. Copyrights This document is copyrighted by the IEEE. It is made available for a wide variety of both public

21、 and private uses. These include both use, by reference, in laws and regulations, and use in private self-regulation, standardization, and the promotion of engineering practices and methods. By making this document available for use and adoption by public authorities and private users, the IEEE does

22、 not waive any rights in copyright to this document. Updating of IEEE documents Users of IEEE standards should be aware that these documents may be superseded at any time by the issuance of new editions or may be amended from time to time through the issuance of amendments, corrigenda, or errata. An

23、 official IEEE document at any point in time consists of the current edition of the document together with any amendments, corrigenda, or errata then in effect. In order to determine whether a given document is the current edition and whether it has been amended through the issuance of amendments, c

24、orrigenda, or errata, visit the IEEE Standards Association web site at http:/ieeexplore.ieee.org/xpl/standards.jsp, or contact the IEEE at the address listed previously. For more information about the IEEE Standards Association or the IEEE standards development process, visit the IEEE-SA web site at

25、 http:/standards.ieee.org. Errata Errata, if any, for this and all other standards can be accessed at the following URL: http:/standards.ieee.org/reading/ieee/updates/errata/index.html. Users are encouraged to check this URL for errata periodically. vi Copyright 2011 IEEE. All rights reserved. Inter

26、pretations Current interpretations can be accessed at the following URL: http:/standards.ieee.org/reading/ieee/interp/ index.html. Patents Attention is called to the possibility that implementation of this guide may require use of subject matter covered by patent rights. By publication of this guide

27、, no position is taken with respect to the existence or validity of any patent rights in connection therewith. The IEEE is not responsible for identifying Essential Patent Claims for which a license may be required, for conducting inquiries into the legal validity or scope of Patents Claims or deter

28、mining whether any licensing terms or conditions provided in connection with submission of a Letter of Assurance, if any, or in any licensing agreements are reasonable or non-discriminatory. Users of this guide are expressly advised that determination of the validity of any patent rights, and the ri

29、sk of infringement of such rights, is entirely their own responsibility. Further information may be obtained from the IEEE Standards Association. vii Copyright 2011 IEEE. All rights reserved. Participants At the time this IEEE guide was completed, the Human Factors Applications and Methods Subcommit

30、tee Working Group 5.1 had the following members that attended meetings and contributed to the effort: Stephen Fleger, SC5 Chair Robert Fuld, Vice Chair Robert Waters, Working Group Chair Chris Kerr, Co-Champion Richard Browder, Co-Champion Brian Babcock Valerie Barnes Michael Boggi David Desaulniers

31、 Matt Gibson Robert Hall Jack Hardy Doug Hill Jacques Hugo Robert Leger Mel Lipner Scott Malcolm Jerold Marks Dan Meekhoff Julie Reed Anthony T. Spurgin Robert Starky Thad Wingo Jing Xing The following members of the individual balloting committee voted on this guide. Balloters may have voted for ap

32、proval, disapproval, or abstention. William J Ackerman Satish Aggarwal Angela Anuszewski George Ballassi Royce Beacom William Bloethe Daniel Brosnan Nissen Burstein Robert Carruth Suresh Channarasappa Gary Engmann Stephen Fleger Ron Greenthaler Randall Groves Daryl Harmon Werner Hoelzl Peter Hung Pa

33、ul Johnson Piotr Karocki J Koepfinger Melvin Lipner John Macdonald Michael S. Newman Bartien Sayogo Glen Schinzel Gil Shultz Gary Stoedter John Vergis Robert Waters Yvonne Williams David Zaprazny Shuhui ZhangWhen the IEEE-SA Standards Board approved this guide on 16 June 2011, it had the following m

34、embership: Richard H. Hulett, Chair John Kulick, Vice Chair Robert M. Grow, Past President Judith Gorman, Secretary Masayuki Ariyoshi William Bartley Ted Burse Clint Chaplin Wael Diab Jean-Philippe Faure Alexander Gelman Paul Houz Jim Hughes Joseph L. Koepfinger* David J. Law Thomas Lee Hung Ling Ol

35、eg Logvinov Ted Olsen Gary Robinson Jon Walter Rosdahl Sam Sciacca Mike Seavey Curtis Siller Phil Winston Howard L. Wolfman Don Wright *Member Emeritus viii Copyright 2011 IEEE. All rights reserved. Also included are the following nonvoting IEEE-SA Standards Board liaisons: Satish Aggarwal, NRC Repr

36、esentative Richard DeBlasio, DOE Representative Michael Janezic, NIST Representative Francesca Drago IEEE Standards Program Manager, Document Development Erin Spiewak IEEE Standards Program Manager, Technical Program Development ix Copyright 2011 IEEE. All rights reserved. Contents 1. Overview 1 1.1

37、 Scope . 1 1.2 Purpose 1 2. Normative references 2 3. Definitions 2 4. Conceptual framework . 3 4.1 General 3 4.2 Human factors engineering principles for COPS. 3 4.3 Types of COPS 3 4.4 Types of operating procedures. 4 5. Design guidelines . 4 5.1 General 4 5.2 Guidelines applicable to Type 1, Type

38、 2, and Type 3 systems 4 5.3 Guidelines applicable to Type 2 and Type 3 systems 5 5.4 Guidelines unique to Type 3 systems 6 5.5 Guidelines for the application of procedure-based automation . 6 5.6 COPS backup. 8 5.7 Quality assurance for non-safety-related COPS 8 5.8 Process data integrity. 8 5.9 Ma

39、intenance and configuration management 9 Annex A (informative) Bibliography . 10 Annex B (informative) Conceptual framework (supplement) 12 Annex C (informative) Additional design guidance. 16 C.1 Human factors. 16 C.2 Active steps. 16 C.3 Remote viewing 17 C.4 Application of procedure-based automat

40、ion by Type 3 systems. 17 C.5 Soft controls 18 C.6 Hold points 19 C.7 Operator initiated halts/Sequence interrupts within Type 3 COPS . 20 C.8 Training. 21 C.9 Transitioning between COPS and backup procedures 22 C.10 Quality assurance 24 C.11 Data integrity 25 C.12 Maintenance and configuration mana

41、gement . 25 1 Copyright 2011 IEEE. All rights reserved. IEEE Guide for Human Factors Applications of Computerized Operating Procedure Systems (COPS) at Nuclear Power Generating Stations and Other Nuclear Facilities IMPORTANT NOTICE: This standard is not intended to ensure safety, security, health, o

42、r environmental protections. Implementers of the standard are responsible for determining appropriate safety, security, environmental, and health practices or regulatory requirements. This IEEE document is made available for use subject to important notices and legal disclaimers. These notices and d

43、isclaimers appear in all publications containing this document and may be found under the heading “Important Notice” or “Important Notices and Disclaimers Concerning IEEE Documents.” They can also be obtained on request from IEEE or viewed at http:/standards.ieee.org/IPR/disclaimers.html. 1. Overvie

44、w 1.1 Scope This document provides guidance for the application of computerized operating procedure systems (COPS). This guidance concerns the design (i.e., form and function) and use of COPS. In general, this guide does not provide guidance for the technical content of the operating procedures bein

45、g presented except as needed to address unique aspects of procedure implementation on COPS. Software tools that can be described as computerized procedures but reside outside the control room (such as might be used for maintenance or testing) are also beyond the scope of this document. 1.2 Purpose T

46、he project is intended to provide application guidance, based on current industry experience, for the design and use of computerized operating procedure systems (COPS) at nuclear power generating stations IEEE Std 1786-2011 IEEE Guide for Human Factors Applications of Computerized Operating Procedur

47、e Systems (COPS) at Nuclear Power Generating Stations and Other Nuclear Facilities 2 Copyright 2011 IEEE. All rights reserved. and other nuclear facilities. This guide will identify acceptable practices and important considerations for applying COPS to facility operations. This guide is intended to

48、support developers, users, and reviewers of COPS. 2. Normative references The following referenced documents are indispensable for the application of this document (i.e., they must be understood and used, so each referenced document is cited in text and its relationship to this document is explained

49、). For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments or corrigenda) applies. IEEE Std 7-4.3.2, IEEE Standard Criteria for Digital Computers in Safety Systems of Nuclear Power Generating Stations.1, 2IEEE Std 603, IEEE Standard Criteria for Safety Systems for Nuclear Power Generating Stations. IEEE Std 1012, IEEE Standard for Software Verification and Validation. IEEE Std 1023, IEEE Recommended Practice for the Application of Human Factors Engineering to Systems