DRAFT-Advanced Alarm Systems PDF
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ACCESSIONNUMBERML003714955 NUREG/CR-xxxx BNL-NUREG xxxx Advanced Alarm Systems Revision of Guidance and Its Technical Basis Preparedby WilliamS.Brown,JohnM.O’Hara,andJamesC.Higgins Brookhaven National Laboratory Prepared for U.S. Nuclear Regulatory Commission NUREG/CR BNL-NUREG Advanced Alarm Systems: Revision of Guidance and Its Technical Basis ManuscriptCompleted: DatePublished: Preparedby WilliamS.Brown,JohnM.O’Hara,andJamesC.Higgins BrookhavenNationalLaboratory Upton,NY 11973-5000 Prepared for Officeof NuclearRegulatoryResearch U.S.NuclearRegulatoryCommission Washington,DC 20555 NRCJCNW-6290 ABSTRACT TheobjectiveofthisstudywastoupdateandreviseNuclearRegulatoryCommission’s(NRC)guidancefor reviewingalarmsystemdesignintheHuman-SystemInterfaceDesignReviewGuideline(NUREG-0700,Revision 1). TherevisionswerebasedonrecentNRCresearchontheeffectsofalarmsystemdesigncharacteristicson operatorperformanceandonastudyexaminingtheintroductionofnewcomputer-basedhuman-systeminterface systemsintoconventionalnuclearpowerplants.Inadditionthispresentstudyexaminedresearchonalarmsystems publishedsincetheNRC’spreviousdevelopmentofguidanceforalarmsystems,publishedinHumanFactors EngineeringGuidancefortheReviewofAdvancedAlarmSystems(NUREG/CR-6105). Specifically,where supportedbythetechnicalbases,changesweremadetothealarmsystemcharacterization,HFEguidelines,andthe previouslyidentifiedhumanperformanceissues. WhilethecharacterizationofalarmsystemsinNUREG/CR-6105 didareasonablejobofrepresentingtheirfunctionalcharacteristics,itdidnotsufficientlyaddressallaspectsof alarmsystemsthatareimportanttoadesignreview. Thus,thecharacterizationwasexpandedto(1)betterillustrate therelationshipofthealarmsystemtotheplant’sprocessesandsystems,and(2)moreclearlyindicatethe relationshipbetweenthehuman-systeminterfaceaspectsofthealarmdesignandtheguidanceinNUREG-0700, Rev.1. Theresearchcoveredmanyaspectsofalarmsystemdesign.Accordingly,modificationshavebeenmadein mostoftheelementsofthecharacterization.Ingeneral,theresearchprovidedconfirmatorydatathatwasusedto clarifytheguidelines.Inaddition,severalnewguidelinesweredevelopedandthecriteriaofsomeexisting guidelinesweremodifiedorsupplementedbasedonthisrecentresearch. Severalhumanperformanceissueswere identifiedinrecentliterature. Inmostcases,theyreflectthosepreviouslyidentifiedinearlierphasesofthisproject. Thisinformationwasusedtoreviseissues,whereappropriate.ThechangestothecharacterizationandHFE guidelinesdiscussedinthisdocumentwerereviewedandwillbeincorporatedintoNUREG-0700,Revision2. iii NUREG/CR NUREG/CR iv TABLEOFCONTENTS Page ABSTRACT................................................................................ iii LISTOFFIGURES ......................................................................... vii EXECUTIVESUMMARY .................................................................... ix PREFACE ................................................................................ xiii ACRONYMS .............................................................................. xv 1 INTRODUCTION ................................................................... 1-1 2 OBJECTIVE ....................................................................... 2-1 3 METHODOLOGY .................................................................. 3-1 3.1 Overview ................................................................... 3-1 3.2 CharacterizationoftheAlarmSystem............................................. 3-2 3.3 DevelopmentoftheTechnicalBasis .............................................. 3-2 3.4 DevelopmentofGuidelinesandDocumentation..................................... 3-4 3.5 IdentificationofIssues ........................................................ 3-5 3.6 PeerReview ................................................................. 3-5 4 RESULTS ......................................................................... 4-1 4.1 BasisfortheModificationstotheAlarmSystemCharacterization ...................... 4-1 4.1.1 EvaluationofRecentResearch:DescriptionsofAlarmSystemDesigns ........... 4-1 4.1.2 ModificationstotheAlarmSystemCharacterization .......................... 4-8 4.2 GuidelinesforHFEDesignReview .............................................. 4-9 4.2.1 GeneralGuidelines .................................................... 4-9 4.2.1.1 EvaluationofRecentResearch .................................... 4-9 4.2.1.2 ModificationstoGeneralGuidelinesforAlarmSystems ............... 4-11 4.2.2 AlarmDefinition ..................................................... 4-12 4.2.2.1 EvaluationofRecentResearch ................................... 4-12 4.2.2.2 ModificationstoAlarmDefinitionGuidelines ....................... 4-14 4.2.3 AlarmProcessingandReduction ........................................ 4-14 4.2.3.1 EvaluationofRecentResearch ................................... 4-14 4.2.3.2 ModificationstoGuidelinesforAlarmProcessingandReduction ....... 4-16 v NUREG/CR 4.2.4 PrioritizationandAvailabilityofAlarms .................................. 4-17 4.2.4.1 EvaluationofRecentResearch ................................... 4-17 4.2.4.2 ModificationstoGuidelinesonAlarmPrioritizationandAvailability ..... 4-19 4.2.5 Display ............................................................ 4-19 4.2.5.1 VisualDisplays ............................................... 4-20 4.2.5.1.1EvaluationofRecentResearch ........................... 4-20 4.2.5.1.2ModificationstoVisualDisplayGuidelines ................. 4-22 4.2.5.2 AuditorySignals .............................................. 4-22 4.2.5.2.1EvaluationofRecentResearch ........................... 4-23 4.2.5.2.2ModificationstoGuidelinesforAuditorySignals ............. 4-26 4.2.6 Control ............................................................ 4-27 4.2.6.1 EvaluationofRecentResearch ................................... 4-27 4.2.6.2 ModificationstoGuidelinesforAlarmControl ...................... 4-27 4.2.7 Automated,Dynamic,andModifiableFeatures ............................. 4-28 4.2.8 Reliability,Test,Maintenance,andFailureIndications ....................... 4-28 4.2.9 AlarmResponseProcedures ............................................ 4-29 4.2.9.1 EvaluationofRecentResearch ................................... 4-29 4.2.9.2 ModificationstoGuidelinesforAlarmResponseProcedures ........... 4-29 4.2.10 Control-DisplayIntegrationandLayout ................................... 4-29 4.2.10.1 EvaluationofRecentResearch ................................... 4-29 4.2.10.2 ModificationstoGuidelinesforControl-DisplayIntegrationandLayout .. 4-30 4.3 HumanPerformanceIssues .................................................... 4-30 5 DISCUSSION ...................................................................... 5-1 6 REFERENCES ..................................................................... 6-1 APPENDIXA AlarmSystemCharacterization ................................................. A-1 APPENDIXB AlarmSystemGuidelines ..................................................... B-1 APPENDIXC AlarmSystemHumanPerformanceIssues ........................................ C-1 NUREG/CR vi LIST OF FIGURES 3.1 MajorstepsindevelopingNUREG-0700 ................................................. 3-2 3.2 Technicalbasisandprocessfordevelopingguidance ........................................ 3-3 3.3 Exampleofanalarmsystemdesignreviewguideline ........................................ 3-6 vii NUREG/CR NUREG/CR viii EXECUTIVE SUMMARY The alarm system is one of the primary means by which process abnormalities and failures are brought to plant personnel’s attention. The need to improve the human factors engineering (HFE) of alarm systems has led to the development of advanced, computer-based alarm systems. The goal of such systems is to assist the operator by processingalarmdata,andtoimprovethepresentationofthisinformation. Thistechnologypromisestoprovideameans ofcorrectingmanyknowndeficienciesinalarmsystems. Advanced,computer-basedalarmsystemsareavailableas upgradestoexistinghuman-systeminterfaces(HSIs),andareincludedinnewcontrolroomdesigns. TheU.S.NuclearRegulatoryCommission(NRC)reviewstheHFEaspectsofcontrolroomstoensurethattheirdesign meetsgoodhumanfactorsengineeringprinciplesandthattheoperator’sperformanceandreliabilityareappropriately supportedtoprotectpublichealthandsafety. TheHuman-SystemInterfaceDesignReviewGuideline,NUREG-0700, Rev.1,wasdevelopedtoprovideguidanceonHFEfortheNRC. TheNRCstaffusesNUREG-0700for(1)reviewing submittals of HSI designs prepared bylicensees or applicants for a license or design certification of a commercial nuclearpowerplant(NPP),and(2)undertakingHSIreviewsthatcouldbeincludedinaninspectionorothertypesof regulatoryreviewofHSIdesigns,orincidentsinvolvinghumanperformance. ItdescribesthoseaspectsoftheHSI design review process that are important to identifying and resolving human engineering discrepancies that could adverselyaffectplantsafety. NUREG-0700alsohasdetailedHFEguidelinesforassessingtheimplementationofHSI designs. Alarmsystemsarekeyelementsofcontrolroomsbecauseofthecomplexityoftheprocesscontroltask. Accordingly, NRCconductedaprogramofresearchaimedatdevelopingatechnicalbasisforreviewingadvancedalarmsystems. Inanearlier NRCproject,thekeydesignfeatures of advanced alarmsystems werecharacterized,andHFEreview guidance was developed and documented in Human Factors Engineering Guidance for Advanced Alarm Systems, NUREG/CR-6105. Theguidancewasbasedonavarietyofsources,includingHFEguidelinesandstandards,industry experience,andliteratureonfeaturesofalarmsystemdesignandtheireffectsonoperatorperformance. Theguidance wassubsequentlyintegratedintoSection4ofNUREG-0700,Rev.1. Sincethepublicationofthisguidance,therehasbeenaconsiderableamountofresearchonalarmsystemsthatmayhave implicationsfordevelopingnewguidanceorforrevisingtheexistingguidance. Thepurposeofthestudyreportedhere wastoexaminerecentresearchandexpandandrevisetheguidancetomaintainitasstate-of-the-artalarmsystemdesign reviewguidance. Thus,theobjectiveof this studywas toreviewrecentliteratureand,wheresupportedbythetechnicalbasesinthat literature,toaddressthefollowing: 1. ReviseandexpandthealarmcharacterizationinNUREG/CR-6105. 2. ReviseandexpandtheHFEdesignreviewguidance: • Developnewreviewguidancetoaddressalarmsystemdesigncharacteristics,orhumanperformanceissues notfullycoveredinNUREG-0700,Rev.1 • RevisetheexistingreviewguidanceforalarmdesignsinNUREG-0700,Rev.1 • Augmentthetechnicalbasisofexistingguidancewithconfirmatoryinformation 3. Identifyhumanperformanceissues. The methodology used to accomplish these objectives was the general NUREG-0700 methodology for guidance development.TherevisionstothecharacterizationandguidancewerebasedonrecentNRCresearchontheeffectsof alarm system design characteristics on operator performance and on a study examining the introduction of new computer-based human-systeminterface systems into conventional nuclear power plants. In addition we examined ix NUREG/CR researchonalarmsystemspublishedsincetheNRC’spreviousdevelopmentofguidanceforalarmsystems,published inNUREG/CR-6105. Theresultsforeachobjectivewillbebrieflysummarizedbelow. AlarmSystemCharacterization A system characterization is important because it provided a structure within which the reviewer could request information about a system and with which to structure the guidance. Existing alarm systems were reviewed and compared with the alarm characterization previously developed in NUREG/CR-6105. While the characterization reasonablyrepresentedthefunctionalcharacteristicsofalarmsystems,itdidnotadequatelyaddressallaspectsthatare importanttoanHFEdesignreview. Thus,thecharacterizationwasexpandedto(1)betterillustratetherelationshipof thealarmsystemtotheprocessesandsystemsoftheplant,and(2)moreclearlyindicatetherelationshipsbetweenthe HSIaspectsofthealarmsystemandtheguidance. HFEDesignReviewGuidelines Recentresearchhasaddressedmanyaspectsofalarmsystemdesign,andasaresult,modificationsweremadetomost oftheelementsofthealarmsystemcharacterization.Ingeneral,theresearchyieldedconfirmatorydatawhichcouldbe usedtofurtherclarifytheguidelines. Inaddition,wheresupportedbytheliterature,newguidelinesweredeveloped. Theguidelineswereorganizedandspecifiedinastandardformatandwereorganizedasfollows: • GeneralGuidelines • AlarmDefinition • AlarmProcessing • AlarmPrioritizationandMessageAvailability • Display - GeneralAlarmDisplayGuidelines - DisplayofHigh-PriorityAlarms - DisplayofAlarmStatus - DisplayofSharedAlarms - AlarmMessages - CodingMethods - DisplayLayoutandOrganization • User-SystemInteraction - GeneralGuidelines - SilenceFunctions - AcknowledgeFunctions - ResetFunctions - AlarmManagement - AutomaticFeatures • ControlDevices • Backup,Test,Maintenance,andFailureIndicationFeatures - Reliability - Test - Maintenance - FailureIndication • AlarmResponseProcedures • Control-DisplayIntegrationandLayout Theguidancewasthenpeerreviewedandrevised. ThisnewguidancewillbeintegratedintoNUREG-0700. NUREG/CR x
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