United States Nuclear Regulatory Commission - Protecting People and the Environment

Definition List for Human Factors

Following is a list of definitions, used by coders, for the "area" and the "detail" codes that are assigned to each human performance problem. The definitions are provided so that one can understand what types of problems or issues are assigned to that particular code.

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Training: Area Definitions

T1. Initial if training is basic training leading up to initial qualifications
T2. Continuing/re-qualification training if training presents advanced topics or refresher training on basic topics
T3. On-the-job training if training is job performance oriented, leading to task qualification, and/or conducted in a work environment
T4. Simulator training if training is conducted using a control room simulator

Training: Details Definitions

100 Training less than adequate if the incident/condition is due to not providing any training on a specific topic, or training is incomplete/incorrect
101 Training process problem if the incident/condition is due to a break down in the systems approach to training (SAT) (e.g., inadequate job or task analysis, task qualification process was not sufficient to ensure that the worker could successfully perform the task in actual job conditions, inadequate program evaluation or feedback, or failure to keep lesson materials current)
102 Individual knowledge less than adequate If the worker has received the appropriate training but fails to apply or inadequately applies the relevant knowledge

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Training: Details Definitions - Simulator Training

103 Simulator training less than adequate if the simulator model does not provide a means of simulating a failure of a particular device, mimic the actual system response, or match actual plant system response during training use, or simulator is not used for training when it should be

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Procedures and Reference Documents: Area Definitions

P1 General operating procedures related to all phases of normal plant operation (including drawings)
P2 Abnormal/off normal/alarm conditions all Abnormal Operating Procedure (AOP) or Alarm Response Procedure (ARP)
P3 Emergency (EOP's/ERP's) all Emergency Operating Procedures (EOP) and Emergency Response Procedures (ERP)
P4 Reactivity control procedures/documents related to altering the core reactivity (movement between modes), such as general plant startup and shutdown, and includes any governing reactor engineering or nuclear engineering procedure used by cognizant plant staff overseeing the operators as they alter core reactivity
P5 Maintenance/modification procedures/documents related to corrective and preventive maintenance activities, and also includes vendor manuals
P6 Surveillance/test/calibration procedures/documents governing activities related to testing of equipment to ensure operability during normal operation or after maintenance, calibration, troubleshooting
P7 Chemical/radiochemical procedures/documents related to acquiring current information on radionuclides or water chemistry problems
P8 Refueling procedures/documents related to movement of fuel or control rods
P9 Administrative procedures, checklists, etc. related to general activities such as tagging, scaffolding, housekeeping, configuration control
P10 Licensing documents documents detailing specific license requirements such as Technical Specifications, Final Safety Analysis Report (FSAR), or design basis documents
P11 Special procedures/documents related to unique situations such as once in a plant life test and installation of a unique modification
P12 Other procedure/documents which do not fit into any of the other area definitions

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Procedures and Reference Documents: Details Definitions

110 No procedure/reference document if a procedure/document does not exist
111 Procedure/reference document technical content is less than adequate if a procedure/document exists but does not provide sufficient guidance for the worker to avoid error, or the procedure/document contains incorrect information (e.g., missing step)
112 Procedure/reference document contains human factors deficiencies if the procedure/document content is correct but the human factors design makes it difficult for the worker to follow the guidance, or the worker misinterprets information contained in the procedure/document
113 Procedure/reference document development and maintenance less than adequate if the procedure/document was developed using inadequate analysis, has not been updated in either the original or in a specific copy, or its physical condition has not been maintained

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Fitness for Duty: Area Definitions

F1 Drugs if the incident/condition is related to the use, sale, or possession of illegal drugs, or from the use of prescription or over-the-counter substances
F2 Alcohol if the incident/condition is related to the use, sale, or possession of alcohol
F3 Mental/emotional if the incident/condition is related to impairment from a transient personal problem (e.g., divorce or illness or death of a family member), or a chronic mental or emotional challenge (e.g., depression)
F4 Fatigue if there is impaired performance due to fatigue/alertness factors, or there is a problem in the management of worker fatigue
F5 Unknown/other If the incident/condition is related to an impairment where the specific nature of the fitness for duty factor is not described or is not listed in this section

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Fitness for Duty: Detail Definitions - Fitness for Duty

120 Testing less than adequate if the incident/condition is related to a lack of or weakness(es) in the drug and alcohol testing program
121 Assessment less than adequate if the incident/condition is related to a missing or ineffective fatigue assessment
122 Behavioral observation less than adequate if the incident/condition is related to a lack of or ineffective observation of workers subject to a fitness for duty program for behavioral indications that an individual may not be fit for duty
123 Self-declaration less than adequate if incident/condition is related to the worker not making or ineffectively making a statement to a supervisor that he/she is not fit for duty
124 Training less than adequate if the incident/condition is related to weakness(es) in FFD training or a failure to receive training
125 Work hour control if the incident/condition is related to ineffective design of routine work schedules and control of unscheduled work hours (e.g., overtime)
126 Task design/work environment if task factors (e.g., repetition, cognitive stimulation, automation) or environmental factors (e.g., heat, noise) are not effectively controlled to maintain worker alertness
127 Circadian factors/individual differences if there is performance impairment related to naturally occurring variations in alertness repeating on an approximate 24 hour cycle or related to differences among individuals (including sleep disorders) and individual lifestyles affecting ability to remain alert or tolerate shift work
128 Non-compliance if the incident/condition does not meet relevant standards, procedures, or regulatory requirements related to fitness for duty
129 Impairment if the individual(s) ability to safely and competently perform duties is impaired or is questionable and coincides with conditions that contribute to fitness for duty problems (e.g., fatigue: extended work hours, decreased rest, shift transitions), statement of being unfit for duty, or indication that the individual was unfit (e.g., sleeping, not fully alert/attentive)

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Oversight: Area Definitions

O1 Oversight if the incident/condition is due to management or supervision of work activity or workers

Oversight: Details Definitions

130 Inadequate supervision/command and control if the incident/condition is due to a lack of or less than adequate supervision or command and control of work activity implementation
131 Expectations or directions less than adequate if specific expectations (e.g., from manager, supervisor, etc.) are unavailable, unclear, incorrect, or places emphasis on meeting schedule in spite of problems, excessive work load, or job demands, or workers feel rushed due to perceived direction (e.g., from supervisors, management, etc.)

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Problem Identification and Resolution: Area Definitions

R1 Problem identification if incident/condition is related to the identification of an issue or deficiency
R2 Problem evaluation if incident/condition is related to the evaluation (e.g., apparent cause, root cause) of an issue or deficiency
R3 Problem resolution if incident/condition is related to the corrective actions to address an issue or deficiency
R4 Corrective action program if incident/condition is related to the effectiveness of the corrective action program at a programmatic level
R5 Safety conscious work environment if incident/condition is related to employees not feeling free to raise safety concerns

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Problem Identification and Resolution: Detail Definitions - Problem Identification

140 Problem not completely or accurately identified if the incident/condition is not completely or accurately identified at an appropriate threshold, in a timely matter, and entered correctly into the corrective action program
141 Problem not properly classified or prioritized if the incident/condition is not appropriately classified to receive the proper level of evaluation (e.g., apparent cause or root cause), or is not prioritized commensurate with its safety significance.
142 Operating experience (OE) review less than adequate if the incident/condition is related to failure to consider the implications of previous plant or industry OE (including NRC communications)
143 Tracking/trending less than adequate if the tracking of problems to identify trends that might indicate a more significant safety issue is not conducted or is ineffective
144 Audit/self-assessment/effectiveness review less than adequate if the number or quality of audits, self-assessments, or effectiveness review is not sufficient to identify problems

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Problem Identification and Resolution: Detail Definitions - Problem Evaluation

145 Causal development less than adequate if the identification of causal factors (e.g., the apparent or root cause) is not appropriately focused or of the right scope to correct the problem
146 Evaluation less than adequate if the problem evaluation does not give appropriate consideration to the extent of condition, generic implications, common cause, or previous occurrences

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Problem Identification and Resolution: Detail Definitions - Problem Resolution

147 Individual corrective action less than adequate if a specific fix was not completed, or if completed, was ineffective in fixing the incident/condition and/or failed to prevent recurrence
148 Action not yet started or untimely if a specific corrective action was previously identified, but has not been started or was not implemented on a timely basis
149 No action planned if a previous occurrence did not identify any corrective actions where there should have been

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Problem Identification and Resolution: Detail Definitions - Corrective Action Program

150 Programmatic deficiency if the program for identifying and correcting problems has not been effective in addressing problems or preventing recurrences of problems due to programmatic or organizational weaknesses

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Problem Identification and Resolution: Detail Definitions - Safety Conscious Work Environment

151 Willingness to raise concerns less than adequate if there is indication of reluctance to raise safety concerns
152 Preventing and detecting retaliation less than adequate if the incident/condition is related to ineffective detection and prevention of retaliation or perceptions of retaliation for raising safety concerns

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Communication: Area Definitions

C1 Oral if the incident/condition is related to instructions or information transmitted orally
C2 Written if the incident/condition is related to instructions or information other than that in procedures which is transmitted in writing (e.g., night orders, memos, operator aids for operation of equipment)

Communication: Details Definitions

160 No Communication/information not communicated if information is not shared, not found, not used, or sent to the wrong place or person
161 Communication less than adequate if the incident/condition is related to any of the following:
- information is missing key elements (e.g., not specifying a particular train), is incorrect (e.g., misstating information such as providing the wrong identification number for a piece of equipment), or is confusing
- the information is correctly stated or written but is not understood or is misinterpreted
- the correct information is received late (e.g., starting a test before informing the control room)
- the groups fail to cross check the information being communicated
162 Communication equipment less than adequate if no equipment is available, or if available, equipment does not allow for clear communication in the environment in which it is being used (e.g., too much static, insufficient number of radio frequencies to support the amount of work, failure to make the signal stand out from the background noise)

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Human-System Interface: Area Definitions

H1 Human-system interface (HSI) components/equipment if the incident/condition is related to any of the following:
-alarms/annunciators (used to provide audible or visual notifications or indications)
-controls and input devices (either analog or digital, used to change the operating characteristics of equipment)
-displays (not the panel; the presentation of information that is used for monitoring or controlling equipment)
-panel or workstation layout (the physical arrangement of devices, displays, alarms and equipment as they relate to each other or to the worker)
-labels (placard or printed information designed to provide identifying information)
-pumps, valves, electrical devices, or other devices that are operated or needed for the performance of a task
H2 Simulator if the incident/condition involves the simulator for non-training purposes
H3 Physical work environment if the physical work conditions have an adverse impact on the performance of tasks (e.g., temperature and humidity (indoor), lighting, noise levels, radiation levels, work area layout or accessibility, and postings)

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Human-System Interface: Details Definitions - HSI Components

170 HSI or information availability/quality less than adequate if the incident/condition is related to any of the following:
-information contained on or location of labels is confusing or misleading
-information and identify ability with associated alarms, controls, or displays is not clear
-presentation of information on menus for CRT screens or large overview display panels is confusing or misleading (includes hybrid analog and digital interfaces)
-the size, shape, coding or scale marking scheme is confusing or misleading

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Human-System Interface: Details Definitions - Simulator

171 Simulator fidelity less than adequate if the simulator model does not provide a means of simulating a failure of a particular device, does not mimic the actual system response, or does not match actual plant system response, during uses other than training
172 Simulator use less than adequate if the simulator should have been used but is not, or it is used for inappropriate purposes (e.g., using the simulator to collect information on plant response when calculations should have been performed)

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Human-System Interface: Details Definitions - Physical Work Environment

173 Physical conditions less than adequate if the incident/condition is related to any of the following physical work conditions (not related to fatigue or alertness):
-extremes of either hot or cold temperature or other extreme weather conditions
-inadequate level of lighting, too much glare, or wrong color lighting
-distracting noise level
-work practices required because of the radiation level, or performance of the task was made more difficult by requirements for worker to wear protective clothing
-limited access to equipment or controls
-inappropriate work area size
-postings contain limited information, are in inadequate/inappropriate locations, or are untimely, out-of-date, or uncontrolled

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Work Planning and Implementation: Area Definitions

W1 Work planning and coordination if the incident/condition is related to the scheduling, allocation, staffing, or planning of work tasks
W2 Conduct of work if the incident/condition is due to work practices that are not consistent with the type, difficulty, or importance/risk-significance of the task
W3 Awareness/attention if the incident/condition is due to a lack of awareness, attention or checking

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Work Planning and Implementation: Details Definitions - Work Planning and Coordination

180 Scheduling and planning less than adequate if the incident/condition is due to a lack of scheduling of work, key aspects of the job not being considered, or insufficient time available to complete the task
181 Inadequate staffing/task allocation less than adequate if the incident/condition is due to work practices that are not consistent with the type, difficulty, or importance/risk-significance of the task
182 Work package quality less than adequate if the work package is missing information, or the information is incorrect or insufficient to ensure successful work
183 Pre-job activities less than adequate if the pre-job activities (e.g., briefing, walk through, shift turnover, or preparation activity) were missing or insufficiently covered information, or conditions were not verified prior to conducting the activities
184 Tag outs if the incident/condition is due to missing or incorrect tagging

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Work Planning and Implementation: Details Definitions - Conduct of Work

185 Procedural adherence less than adequate if personnel fail to identify errors through independent verification or if they perform verifications inconsistent with management expectations or industry standards
186 Failure to take action/meet requirements if the appropriate action to address the situation/circumstances or to meet requirements is not taken or is taken inadequately (e.g., meet surveillance requirements, notify NRC)
187 Action implementation less than adequate if implementation of an action (e.g., physical such as manipulations, or mental such as calculations/analyses) is performed incorrectly or inadequately
188 Work practice or craft skill less than adequate if the skill of the craft activities are not performed consistent with management expectations, safety significance of activity, or industry standards
189 Recognition of adverse condition/questioning attitude less than adequate if unfavorable/uncertain conditions/situation is not recognized in a timely manner
190 Failure to stop work/non-conservative decision-making if personnel fail to stop work or establish appropriate controls when presented with unfavorable or uncertain work conditions
191 Team interactions less than adequate if there is a lack of or inadequate inter/intra-group coordination
192 Work untimely if work is done before authorized, delayed with or without reason, or performed out of sequence
193 Non-conservative action if the worker knowingly fails to follow a procedure or supervisory direction or takes a non-approved action
194 Housekeeping less than adequate if the work areas have unusual amounts of dirt, or tools, materials, and equipment are not properly cared for or stored
195 Log keeping or log review less than adequate if log entries are missing, incomplete or untimely
196 Independent verification/plant tours less than adequate if personnel fail to identify errors through independent verification (e.g., peer/second check), or verifications are performed inconsistent with management expectations or industry standards

Work Planning and Implementation: Details Definitions - Awareness and Attention

197 Self-check less than adequate if a worker fails to adequately self-check before, during, or after performing task (e.g., Stop, Think, Act, Review)
198 Worker distracted/interrupted/monitoring LTA includes incidents/conditions due to failing to maintain situational awareness or vigilance, conducting infrequent or ineffective control board monitoring (e.g., status monitoring), or being distracted or interrupted from assigned tasks

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Page Last Reviewed/Updated Thursday, March 29, 2012