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Regulation of Human and Organizational Factors in Canada:Regulation of Human and Organizational Factors in Canada:

April 11, 2013

e-doc # 4106011

Presented to

International Conference on Effective Nuclear Regulatory Systems

Presented by

Kathleen Heppell-Masys, Director GeneralDirectorate of Safety Management

Recent Experiences with a Safety Culture Discussion PaperRecent Experiences with a Safety Culture Discussion Paper

Canadian Nuclear Safety Commission 2

ObjectivesObjectives

• To discuss how a healthy safety culture supports

human and organizational performance

• To describe steps the CNSC has taken to

strengthen the Safety Culture framework in

Canada

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Essence of Human & Organizational FactorsEssence of Human & Organizational Factors

Can this individual

Working within this organization

In this social environment

With this equipment, training, procedure and

protective equipment

Carry out the task safely and to the

expected standard of performance

Canadian Nuclear Safety Commission 4

CNSC’s Regulatory ApproachCNSC’s Regulatory Approach

Responsibility for Nuclear Safety

• Licensees are responsible for managing regulated activities in

a manner that protects health, safety, security and the

environment while respecting Canada’s international

obligations

• CNSC is responsible to the public, through Parliament, for

regulatory oversight that assures that licensees properly

discharge their responsibilities

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Act

Regulations

Licences

Regulatory Documents

CNSC Regulatory Framework:Human & Organizational FactorsCNSC Regulatory Framework:Human & Organizational Factors

•Policy on human factors

•Minimum staff complement

•Human factors engineering program plans

•Certification of persons working at NPPs

All regulatory documents: nuclearsafety.gc.ca

•Management system

•Human performance

•Minimum staff complement

•Training

•Certification and examination

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Safety Management at the CNSCSafety Management at the CNSC

Some of our expertise

• Human Factors

• Quality

Management

• Engineering

• Psychology

• Sociology

• Operations

Management Systems

Personnel Certification

Human and Organizational

Performance

Training Program

Evaluation

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Safety Culture

HOF & Human PerformanceHOF & Human Performance

Human Performance

Organization Job Design Worker

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What is Safety Culture?What is Safety Culture?

The characteristics of the work environment,

such as the values, rules, and common understandings,

that influence employees’ perceptions and attitudes

about the importance the organization places on safety

Values SHAPE Behaviours

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Invisible Assumptions

Management System

Safety Culture

Safety Culture:Why Assessment is Important?

Visible Artefacts

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Safety Culture: What We’ve AchievedSafety Culture: What We’ve Achieved

• Performed assessments at all major licensees

• Developed a “Safety Culture Self-Assessment Guide” for licensees

• Hosted a symposium & workshop

• Involved in revision of national management system standard that includes safety culture

• Incorporated safety culture in several

Licence Condition Handbooks and

Regulatory Documents

• Published a Discussion Paper

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CNSC Discussion PapersCNSC Discussion Papers

• Used to solicit early public feedback on policies or approaches

• CNSC considers feedback when determining the type and nature of requirements and guidance to issue

• Discussion Paper sent to an extensive stakeholder distribution list and posted on website

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Safety Culture Discussion Paper ObjectivesSafety Culture Discussion Paper Objectives

1. Provide clear definition and characteristics so that licensees have a shared understanding of safety culture

2. Formalize safety culture self-assessment requirements for licensees

3. Solicit feedback on the application of a graded-approach to all licensees based on risk

4. Clarify regulatory oversight role in verifying licensee activities

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Safety Culture Discussion Paper CommentsSafety Culture Discussion Paper Comments

• Licensees are committed to:

� Fostering a healthy safety culture

� Regular assessments of safety culture in their organizations

• Licensees requested flexibility in self-assessment requirements and the CNSC’s safety culture oversight approach

• Stakeholders recommended ongoing dialogue with the CNSC

• Support for the IAEA’s initiatives on safety culture

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Safety Culture:Ongoing Challenges

Safety Culture:Ongoing Challenges

• Adapting the scope of oversight to licensees

of varying sizes and complexities

• Ongoing discussions with the full range of

licensees

• Striking a balance

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Safety Culture: What’s Next?Safety Culture: What’s Next?

• Licensees will continue to

– Foster a healthy safety culture

– Perform self-assessments

• CNSC will

– Develop a regulatory tool defining requirements

– Leverage opportunities to engage all licensees

– Contribute to and use IAEA’s documents

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ConclusionsConclusions

• Feedback from discussion paper is invaluable as the CNSC strengthens its regulatory framework

• Safety culture has a powerful influence on human performance

• Licensees are responsible for shaping their organization’s safety culture

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AcknowledgementsAcknowledgements

• Conference Paper:

� Helen McRobbie and Victor Goebel

• Safety Culture Team:

� André Bouchard, Patrick Collins, Victor Goebel

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Thank you!Thank you!

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