RISK MANAGEMENTORGANIZATIONALINFRASTRUCTURE
C.R. (RICK) GRANTOM P.E.
NRRC Workshop on

Risk-Informed Decision Making: A Survey of U.S. Experience
Tokyo, Japan, June 1-2, 2017

Nuclear Risk Research Center, CRIEPIThe B. John Garrick Institute for the Risk Sciences

UCLAOrganizational Infrastructure Overview
Presentation - 50 min
Q&A - 20 min
Summary of:• Organizational Considerations• Mission/Charter• Objectives• Section 3.13: Safety Culture;• Section 3.15: Communicating Risk Insights;

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2The B. John Garrick Institute for the Risk Sciences

UCLAImportant Organizational Considerations for RiskManagement
Risk Management Organizational Scope• Identification of Risk Hazards (What hazards will be managed?)• Type of Risk Management (Deterministic, Technical/Analytical, Probabilistic, Historical,Qualitative, Expert Opinion, Combinations)• Span of Control (Broad/Narrow Application across Company)• Span of Influence (Broad/Narrow communication across Company)

Risk Management Methods & Processes• Scope of Analyses• Analysis Methods (Qualitative Only, Quantitative, Both)Objectives• Use for Improving safety and efficiencies• Use for regulatory purposes• Use for communicating risks• Internal to the Company• External to the Company

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UCLA

Key Risk Management Organizational Functions

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UCLA

Key Risk Management Functions
Vision/Mission/Charter/Governance

ModelControl&Use

User Tools
Development

User Tools
Applied

Roles/Responsibilities/Processes/Procedures

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UCLA

Vision/Mission/Charter/GovernanceDocumented and communicated Company Vision/Mission Statement• Similar to NRC PRA Policy Statement

Governing Procedure or Manual defining how the Vision/Mission will
be accomplished• Defined Goals and Objectives (e.g., Performance Indicators)• Defined reporting structure• Defined implementing procedures, processes, guidelines• Establishes Who, What, When, Where, Why, and How (5W1H)

Establish necessary organizational changes (Roles & Responsibilities)
Establish Company wide Communication and Training Plan
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6The B. John Garrick Institute for the Risk SciencesUCLAKey Risk Management Organizational Skill Sets
ModelControl&Use
Knowledgeable on:•
PRA analytical methods•
PRA Data Collection Processes•
PRA Standard Technical Elements &Requirements•Plant Design•
Operations & Maintenance Processes•
PRA software codes•
Quality Assurance requirements•
Providing review/oversight of specialized areas(e.g., External Events)•
Configuration Control Process Requirements•
Performing analyses (i.e., quantifying) withrespect to actual or postulated plant conditions•
Communicating risk insights

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User Tools
Development

User Tools
AppliedKnowledgeable on:•
Model Control & Use Skill Sets•
Interface between PRA inputs and plant
processes, procedures, and activities (INPUTS)•
Interface between PRA outputs and plant
processes, procedures, and activities•
Software codes and tools used for applications•
Quality Assurance requirements•
Building organization-specific user tools andaids for non-PRA practitioners•
Maintaining Configuration Control of deployedapplications•
Updating deployed applications in accordancewith configuration control requirements•
Communicating risk insights
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Knowledgeable on:•
Plant processes, procedures, and guidelines toa deep level of detail and knowledge•
Specific organizational points-of-contacts•
Writing organization specific training packages•
Training organizations on risk applications•
Writing requirements for plant processes,procedures, and guidelines while incorporatingrisk informed applications and insights•
Administering organizational interfaces relative
to risk informed applications•
Communicating risk insights and information tocompany organizations

The B. John Garrick Institute for the Risk Sciences

UCLA

The Model Control & Use
Establish configuration control of PRA Models, Operational Models,
Reliability Models, etc.
Goal: Reflect as reasonably as practical the “as-built, as-operated”
stationDefine requirements for performing risk analyses (trained, qualified
practitioner, trained qualified technical reviewer, management orsupervisory approver)Configuration control of the model(s)Configuration control of the risk quantifying software
Capable of quantifying risk models and performing risk analyses
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UCLAPRA Input & Feedback Paths
Vendor Manuals equipment operatingfeatures, failure modes

Design Change system configuration(Design Drawings)
Generic IndustryData - industry
system/equipment
failure rates

Performance Data plant specific system/equipment failure rates,
Maintenance Data frequency/duration

TechnicalSpecifications allowed outage times,
surveillance testintervals

PRA INPUT&FEEDBACK PATHS

Master Equipment
Database Equipment identification(i.e., TAG Number)Engineering Analysis Room Heat-up Calcs,
Accident progression andsequencing, Thermohydraulicevaluations

Design Basis
Documents system design basis,
success criteria

FSAR system design basis,
assumptions, success criteria,
Failure Modes andEffects Analysis

Plant OperatingProcedures - Normalsystem alignments
Engineering
Procedures other testing

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Maintenance
Procedures system alignment
for maintenance

9Surveillance
Procedures system alignmentfor testing

Emergency Operating
Procedures - Accident
condition alignments, operator
recovery actions

The B. John Garrick Institute for the Risk Sciences

UCLAPRA Technical AdequacyFor PRA, compliance with PRA Standards with an independent peer review is necessary
for technical credibility• ASME/ANS PRA Standard, RA-Sa-2013 at Capability Category IIASME Joint Committee on Nuclear Risk Management responsible for PRA Standards• Standards define requirements; not how the requirements are performed• Standards help ensure consistency in technical adequacy

JCNRM newly formed Japan International Working Group in conjunction with AESJFor supporting PRA activities (e.g., performance database, thermohydraulic analyses,
other engineering analyses):• Meet requirements for quality calculations (Preparer, Reviewer, Approver)• Supporting software codes and tools meet Software quality assurance requirements

Plant Specific PRA is intended to be realistic and reflect the actual plant design andoperating characteristics
There should be high confidence that the PRA accurately reflects plant design andperformance by the utility and the regulator
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UCLA

User Tools Development (Applications)User tools defined by specific organizational needs• What risk information and insights are useful for Operations, Work Control,Engineering, Management, Outage organizations?
• How can risk insights be used to help support organizations to achieve their
responsibilities, objectives, and goals?
• What insights can improve safety and effectiveness?
• PRA may or may not be applicable, but Risk Management is always
applicable!
• Tools structured to enable decision making at various organizational levels as
appropriate for organizational responsibilities and personnel job
requirements• Management oversight and applicable performance indicators provide
notification of potentially risk significance conditions
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UCLA

User Tools Applied (Implementation)
Implementation is associated with organizational communication of risk
insights and information as well as deploying risk informed applications(i.e. user tools) to company organizations• Individuals responsible for risk informed application implementation are notintended to be PRA experts. They are intended to be experts in company and plant
processes and procedures as well as knowing key organizational points-of-contact forrevising processes and monitoring results• This means: Writing/revising organizational Procedures and Training for properly
using risk application tools• This means: Revising some organizational job functions and some individual job
descriptions to properly integrate risk applications into an organization• Administering risk informed applications relative to integrated working groups orother expert panel groups using risk insights and information for decision making• This means: Providing feedback and lessons learned to improve station performance,correct problems, and improve risk and safety knowledge

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UCLA

Risk Management Organizational Location andLogistics
Crucial organizational decision is working location of risk
management functions and skill sets
Current utility arrangements for Risk Management functions aremixed• Corporate location only
• Corporate and site location• Site location only

Experience shows that risk management organizational effectivenesscan be significantly impacted

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13The B. John Garrick Institute for the Risk SciencesUCLALocation & Logistics Pros and Cons
Corporate onlyCorporate only•••••

Better supports enterprise level risk management
Can establish high level risk management expectations andexecutive management interfaces more readily
Can make broad based decisions more readily due to access to
executive decision makers
Can better ensure consistency across multiple sites
Risk management skill sets at corporate perform plant to plantrisk analyses•••••

Corporate & Site•
••
•
•
•

Improved communication between site and corporate relative toexpectations, requirements and issue resolution
Establishes more continuous and improved communication
between site and corporate on risk management issues
Demonstrates importance of risk management to sites by having acontinuous organizational site presence
Potential to incorporate risk management personnel into station
decision making processes and integrate directly into plant
support functions
Risk Management functions and skill sets can be divided up
between corporate and siteBetter supports the development and deployment of risk insights
and applications

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Typically does not establish risk management controls toequipment and organizational process levels
More of an “us and them” relationship between site and corporate
instead of a team relationshipMore displaced from plant issues that can impact risk
Effectiveness of site risk management programs is greatly reduced(reduced insights, user tools, knowledge of PRA)
No site risk management skill sets

Corporate & Site•••••

More difficult change management challenge to establish
organizational and risk management process ties between
corporate and site
Must determine organizational responsibility (Does Risk
Management work for the site or work for corporate?)
Site to site variability in budgets allotments, level of responsibility,
span of control, span of influence
Work load increase due to more direct and more frequent
communication and procedural interfaces between site andcorporate
Some skill sets at the site to improve communications andknowledge (user tools and implementation, maybe somequantification capabilities)

The B. John Garrick Institute for the Risk SciencesUCLA

Location & Logistics Pros and Cons
Site only

Site only

• Establishes direct responsibility of risk to sitemanagement• Directly establishes organizational responsibility to siteorganizations (i.e., a risk management group at the site)• All skill sets are at the site to support continued safe
operations and resolve issues• Increase likelihood that a deeper knowledge of as-built,
as-operated station will be incorporated into PRA• Direct and constant communication with site personneland organizations• Increased feedback into risk programs

Nuclear Risk Research Center, CRIEPI• Requires additional effort for corporate to provide oversightand monitoring to ensure expectations and objectives arebeing met
• Requires additional effort for the site organizations tocommunicate risk management issues and insights• Significantly increased likelihood of site to site variability inobjectives, scope, purpose, and support for risk management

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The B. John Garrick Institute for the Risk Sciences

UCLASummaryFull maturity of organizational risk management takes time (needorganization and risk assessment processes)
Important to develop a change management plan that builds riskmanagement capabilities over a reasonable time period (5-year plan,10-year plan)Identify individuals with required skill sets or “grow” them
Establish career path for individuals with risk management andanalysis skills
The closer the risk functions are to the sources of risk, the better thelikelihood that risk insights and analysis will be understood and used
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