核安全文化的十項特征

2023年12月14日發(作者：若即若離什么意思)

檔案

INPO12-012

2012年12月

INPO

Traits of a Healthy Nuclear Safety Culture

健全的核安全文化特征

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OPEN DISTRIBUTION

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OPEN DISTRIBUTION: Copyright ? 2012 by the Institute of Nuclear Power Operations. Not for sale or commercial u. All other rights rerved.

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NOTICE: This information was prepared in connection with work sponsored by the Institute of Nuclear Power Operations (INPO).

Neither INPO, INPO members, INPO participants, nor any person acting on behalf of them (a) makes any warranty or reprentation,

expresd or implied, with respect to the accuracy, completeness, or ufulness of the information contained in this document, or that the

u of any information, apparatus, method, or process disclod in this document may not infringe on privately owned rights, or (b)

assumes any liabilities with respect to the u of, or for damages resulting from the u of any information, apparatus, method, or

process disclod in this document.

注：該信息是由美國核電運行研究所發起準備的。無論是INPO組織，INPO成員，INPO的代表，或者任何人，（a）不對該文件的準確性，完整性或有效性做任何承諾。使用該文件中的信息，儀器，方法或過程不得侵犯私人權利。(b)因使用這些信息，儀器，方法或者過程，承擔責任。

TABLE OF CONTENTS/目錄

INTRODUCTION/介紹................................................................................................................................ 4

BACKGROUND/背景……………………………………………………………………………………...6

THE TRAITS AND THEIR ATTRIBUTES/特征及其特點.................................................................... 11

Individual Commitment to Safety/個人對安全的承諾...............................................................................11

3 Personal Accountability/個人職責...........................................................................................................11

Questioning Attitude/質疑的態度............................................................................................................11

Safety Communication/安全溝通............................................................................................................12

Management Commitment to Safety/管理者對安全的承諾.......................................................................14

Leadership Accountability/領導職責.......................................................................................................14

Decision-Making/決策.............................................................................................................................15

Respectful Work Environment/彼此尊重的工作環境..............................................................................16

Management Systems/管理體系..................................................................................................................17

Continuous Learning/持續學習...............................................................................................................17

Problem Identification and Resolution/識別問題、解決問題..................................................................17

Environment for Raising Concerns/關注的氛圍................................. ....................................................18

Work Process/工作流程.......................................................................................................................19

Acknowledgements/致謝.............................................................................................................................21

4 INTRODUCTION

Traits of a Healthy Nuclear Safety Culture builds on the

knowledge and experience developed since the publication

The change in the title reflects the commercial nuclear

industry’s alignment of its own terminology with that ud

document was developed through a collaborative effort by

U.S. industry personnel and the staff of the Institute of

介 紹

《健全的核安全文化特征》是基of Principles of a Strong Nuclear Safety Culture in 2004.

于2004年出版的核安全文化原則的知識和經驗而產生的。標題的變化，by the U.S. Nuclear Regulatory Commission. This

體現了核工業的商業化與美國核管理委員會的一致。此文件由美國核行業Nuclear Power Operations (INPO), with input from

人員和美國核電運行研究所（INPO）reprentatives of various regulatory agencies, the public,

and the nuclear industry worldwide. Traits of a Healthy

Nuclear Safety Culture reflects an alignment in two ts of

化特征》整合了兩套用于描述核安全terms that have been ud to describe nuclear safety culture:

INPO and the industry defined safety culture in leadership

terms of principles and attributes, and the U.S. Nuclear

（INPO）和核能產業以領導者的身份Regulatory Commission defined safety culture in regulatory

定義了安全文化的主要原則和特征，terms of components and aspects. Whereas each t of terms

rved its special function, the result created confusion

而美國核管理委員會定義了安全文化within operating organizations as to the esntial elements

的組成。每一套術語都有其特定的功of a healthy safety culture.

能，但兩套術語同時使用容易在運營組織中引起混淆，這是一個健全的安全文化應當避免的。

文化的術語：美國核電運行研究所成員共同努力而成。《健全的核安全文

Traits of a Healthy Nuclear Safety Culture describes the

esntial traits and attributes of a healthy nuclear safety

culture, with the goal of creating a framework for open

《健全的核安全文化特征》描述了一個健全的核安全文化的特征和他discussion and continuing evolution of safety culture

特點，目的在于在整個商用核電工業throughout the commercial nuclear energy industry. For the

領域中建立一個自由交流，持續改進purpos of this document, a trait is defined as a pattern of

thinking, feeling, and behaving such that safety is

安全文化的框架。根據該文件的目的，5 emphasized over competing priorities. Experience has

將特征定義為一種思維方式、感觀、shown that the personal and organizational traits described

行為，認為安全重于一切。經驗表明，in this document are prent in a positive safety culture and

that shortfalls in the traits and attributes contribute

該文件中描述的個人和組織的特征反significantly to plant events.

映在一個積極的安全文化中。缺少這些特征，將對電廠事故產生重要影響。

Rather than prescribing a specific program or

該文件描述的是基本特征，而不是特殊程序或者實施辦法。一個組織implementation method, this document describes the basic

traits. The traits and attributes, when embraced, will be

reflected in the values, assumptions, behaviors, beliefs, and

及其成員的價值觀、理念、行為、信norms of an organization and its members. Ideally, the traits

念、規范將體現這些特征和特點。理will describe what it is like to work at a nuclear facility and

how things are done there. Traits appear in boldface. The

想地講，這里所述的特征描述的是在attributes clarify the intent of the traits.

一個核電環境中，做什么工作及怎樣工作。 特征以黑體字出現。特點闡明特征的含義。

Utility managers are encouraged to make in-depth

comparisons between the traits and their day-to-day

policies and practices and to u any differences as a basis

for improvements.

績效經理應在該特征與其它日常準則之間做深入對比，并以此為基礎，持續改進。

In addition to the traits and attributes, two addendums are

available. Addendum I: Behaviors and Actions That Support

a Healthy Nuclear Safety Culture, describes executive,

除了這些特征和特點，還有兩個附件可供參考。 附件1：《支持健全核nior manager, manager, supervisor, and individual

安全文化的行為》，描述了總經理，高contributor behaviors that contribute to a healthy safety

級經理，監查人員以及個人對核安全culture. An additional table is provided to describe detailed

behaviors and actions for each attribute. Addendum II:

文化作用行為。另附有表格，描述了Cross-References, provides cross-references from INPO

每一個特征的具體行為和行動。附件12-012, Traits of a Healthy Nuclear Safety Culture, to the

previous Principles of a Strong Nuclear Safety Culture, U.S.

6 Nuclear reactor

2：《交叉引用》，包括從INPO12-012，asssment program cross-cutting area components, and the

《健全的核安全文化特征》、以及之前International Atomic Energy Agency safety culture

attributes. This cross-reference can help individuals

的《核安全文化準則》、美國核管理委understand how the common language was developed and

員會相關文件、及國際原子能機構安can be uful in change management efforts in this

important area.

Regulatory Commission operating

全文化特征中的引用。 這些交叉引用可以幫助員工理解這些通俗易懂的語言是如何發展而來，以及怎樣在這一重要領域改變管理方式。

BACKGROUND

Watershed events over the years have influenced the safety

culture at U.S. commercial nuclear power plants. The

result of the accident at Three Mile Island Nuclear Station.

Many fundamental problems involving hardware,

背 景

過去幾年，一些轉折性事故影響industry had its first significant wake-up call in 1979 as a

了美國商用核電站的核文化。第一次警示是發生在1979年的三里島核電procedures, training, and attitudes toward safety and

站事故。這次事故涉及許多基礎性問regulation contributed to the event.

題，如硬件、程序、培訓、安全態度以及監管。

In 1986, the Chernobyl accident was a stark reminder of the

hazards of nuclear technology. This accident resulted from

many of the same weakness that led to the Three Mile

1986年，切諾貝利事故是對核技術危害的另一個重要提醒。這次事故Island accident. In addition, it highlighted the importance of

由許多與三里島事故相同的原因造maintaining design configuration, plant status control, line

成。此外，它強調了設計結構，核電authority for reactor safety, and cultural attributes related to

7 safety.

站運行控制，核反應堆安全業務權限，以及安全文化特點的重要性。

Respon from industry and regulatory organizations to both

the events was sweeping. Improvements were made in

standards, hardware, emergency procedures, process,

核工業領域以及監管組織對這兩次事故的反應是徹底的。對安全的改training (including simulators), emergency preparedness,

進體現在許多方面，如標準、硬件、design and configuration control, testing, human

應急措施、程序、培訓（包括模擬的）、performance, and attitudes toward safety.

The 2002 discovery of degradation of the Davis-Bes

problems that develop when the safety environment at a

plant receives insufficient attention.

應急預案、設計與結構控制、測試、Nuclear Power Station reactor vesl head highlighted

人員績效、安全態度等。

2002年發現戴維斯-貝斯核電站反應堆壓力容器封頭老化，這表明，如果不重視安全環境，便可能出現問題。

Most recently, the 2011 nuclear accident at the Fukushima

Daiichi power plant illustrates the importance of thoroughly

asssing possible nuclear safety impacts of a hypothetical,

最近的一次事故，2011年日本福島核電站核事故，證實了對假設可能yet credible, extreme external event. It also illustrates the

發生的極端外部事故全面評估的重要importance of emergency respon command and control,

性。它也證實了對類似事故緊急反應training, and resource availability for such an event.

指揮與控制，培訓，資源有效性是非常重要的。

A theme common in the events is that, over time,

problems crept in, often related to or a direct result of the

plant culture. Had the problems been recognized,

這些事故的一個共性就是，一段時間內問題不知不覺出現。這經常與challenged, and resolved, the events could have been

電站的核文化有著直接的關系。如果prevented or their verity lesned. The ries of decisions

人們認識到這些問題，勇于挑戰這些and actions that resulted in the events can usually be

traced to the shared assumptions, values, and beliefs of the

問題，解決這些問題，那么這些事故8 organization.

是可以避免的，或者這些事故的嚴重性是可以降低的。通常可以從共有的理念，價值觀，以及組織的信條中找到這些決策及行為的某些蹤跡。

The events and the notion that culture is a key ingredient

in the overall success of the plant form the basis for this

document.

Organizational culture is the shared basic assumptions that

are developed in an organization as it learns and copes with

problems. The basic assumptions that have worked well

這些事故、以及文化是核電站全面成功的關鍵因素的概念，形成了本文件的基礎。

組織文化是一個組織在其學習和enough to be considered valid are taught to new members of

解決問題過程中形成的共有理念。這the organization as the correct way to perceive, think, act,

些理念之前運用的很好，因此組織的and feel. Culture is the sum total of a group’s learning.

Culture is for the group what character and personality are

新成員會繼續學習，認為這些信念是for the individual.

理解、思考、以及感受的正確方法。文化是一個組織學習的總和。文化對于一個企業而言，就如同性格對于一個人的意義。

In addition to a healthy organizational culture, each nuclear

station, becau of the special characteristics and unique

hazards of the technology—radioactive byproducts,

由于核電站的特殊性和技術的特殊危害性——副產品有輻射、核反應concentration of energy in the reactor core, and decay

堆能量集中、衰變熱，除了有一個健heat—needs a healthy safety culture.

全的組織文化，每個核電站還需要有Nuclear safety culture is defined as the core values and

behaviors resulting from a collective commitment by

leaders and individuals to emphasize safety over

competing goals to ensure protection of people and the

核安全文化定義為，領導及個人為了保護員工和環境，集體做出“安一個健全的安全文化。

9 environment.

全高于一切”的核心價值觀和行為。

This updated definition was developed to apply broadly

across all industries that u nuclear technologies. For the

commercial nuclear power industry, nuclear safety remains

該定義廣泛地適用于所有運用核技術的工業。對于商用核電工業，核the overriding priority. Although the same traits apply to

安全具有至高的重要性。盡管放射安radiological safety, industrial safety, curity, and

全，工業安全，環境安全具有相同的environmental safety, nuclear safety is the first value

adopted at a nuclear station and is never abandoned.

特征，核安全是核電站的第一價值觀，并且永不廢棄。

Nuclear safety is a collective responsibility. The concept of

nuclear safety culture applies to every employee in the

nuclear organization, from the board of directors to the

核安全是集體的責任。核安全的概念適用于所有工作在核電組織的人individual contributor. No one in the organization is exempt

員，從董事長到每一位員工。組織中from the obligation to ensure safety first.

的任何人都有責任確保“安全第一”，無一例外。

The performance of individuals and organizations can be

monitored and trended and, therefore, may rve as an

indicator of the health of an organization’s safety culture.

個人及組織的表現具有可監測性和可跟蹤性，因此可以做為一個組織However, the health of a facility’s safety culture could lie

安全文化的指標。然而，根據安全文anywhere along a broad continuum, depending on the

化推廣程度不同，一個健全的安全文degree to which the attributes of safety culture are

embraced. Even though safety culture is somewhat of an

化存在于一個廣泛的連續范圍內。盡intangible concept, it is possible to determine whether a

管安全文化是一個無形的概念，但確station tends toward one end of the continuum or the other.

認一個核電站是否持續發展還是可能的。

Commercial nuclear power plants are designed, built, and

operated to produce electricity. Safety, production, and cost

control are necessary goals for the operation of such a plant.

商用核電站是為了發電而設計、建造和運行的。安全、生產、成本控10 The outcomes are quite complementary, and most plants

制對于此類核電站來說是必要目標。today achieve high levels of safety, impressive production

而這些目標是互補的，現代的核電站records, and competitive costs, reinforced by decisions and

actions made with a long-term view. This perspective keeps

大多從長遠的眼光來做決策和行動，safety as the overriding priority for each plant and for each

因此核電站運營較為安全、產出高、individual associated with it.

成本低。這種遠見使每一個電站和個人將安全放在第一位。

Nuclear safety culture is a leadership responsibility.

Experience has shown that leaders in organizations with a

healthy safety culture foster safety culture through activities

such as the following:

核安全文化是一種領導層的責任。經驗證實，組織中具有健全的安全文化觀的領導在生產活動中注重以下方面：

Leaders reinforce safety culture at every opportunity.

The health of safety culture is not taken for granted.

領導利用每一次機會強化安全文化。領導不會理所當然地認為安全文化是健全的。

Leaders frequently measure the health of safety culture

with a focus on trends rather than absolute values.

領導經常是通過關注趨勢，而不是根據絕對值來檢驗安全文化的健全度。

Leaders communicate what constitutes a healthy safety

culture and ensure everyone understands his or her role

in its promotion.

領導就構成健全的安全文化與他人交流，確保每一個人理解他/她在促進安全文化中的角色。

Leaders recognize that safety culture is not all or

nothing but is, rather, constantly moving along a

continuum. As a result, there is a comfort in discussing

safety culture within the organization as well as with

領導認識到安全文化并不是全部，但也不是無足輕重，而是認11 outside groups, such as regulatory agencies.

識到，它是連續的，不斷變化的。因此，在組織內部和外部（如監管機構）討論安全文化是非常必要的。

The traits described in this document are divided into three

categories that are similar to the three categories of safety

culture in International Nuclear Safety Advisory Group

本文所描述的特征分為三個類別，與《國際核安全顧問團（INSAG）(INSAG)-4, Safety Culture. The categories and their

-4——安全文化》中的分類相似。分primary traits are as follows:

類及其主要特征如下:

Individual Commitment to Safety

— Personal Accountability

— Questioning Attitude

— Safety Communication

—質疑的態度

個人安全承諾

—個人職責

—安全溝通

Management Commitment to Safety

— Leadership Accountability

— Decision-Making

— Respectful Work Environment

—決策

管理者安全承諾

—領導職責

—彼此尊重的工作環境

12 Management Systems

— Continuous Learning

— Problem Identification and Resolution

— Environment for Raising Concerns

— Work Process

管理體系

—持續學習

—識別問題、解決問題

—關注的氛圍

—工作流程

THE TRAITS AND THEIR ATTRIBUTES

特征及其特點

Individual Commitment to Safety

PA. Personal Accountability

個人對安全的承諾

PA. 個人職責

All individuals take personal responsibility for safety.

Responsibility and authority for nuclear safety are well

defined and clearly understood. Reporting relationships,

每個人對安全負責。明確理解自己的核安全職責和權限。在隸屬關系，positional authority, and team responsibilities emphasize the

職位權力，團隊職責中強調核安全重overriding importance of nuclear safety.

13 于一切。

Attributes:

特點：

PA.1 Standards: Individuals understand the importance

PA.1標準：個人理解遵守核電標of adherence to nuclear standards. All levels of the

準的重要性。對不滿足標準的情形，organization exerci accountability for shortfalls in meeting

standards.

各級組織應履行相應職責。

PA.2 Job Ownership: Individuals understand and

PA.2 工作主導權：個人理解和踐demonstrate personal responsibility for the behaviors and

行自己有利于核安全的行為和工作。

work practices that support nuclear safety.

PA.3 Teamwork: Individuals and work groups

PA.3 團隊協作：為確保維持核安communicate and coordinate their activities within and

全，個人和團體在組織內外就所從事across organizational boundaries to ensure nuclear safety is

maintained.

的活動進行溝通和協調。

QA. Questioning Attitude

QA. 質疑的態度

Individuals avoid complacency and continuously challenge

為了識別可能導致錯誤或不適當existing conditions, assumptions, anomalies, and activities

操作的差異，個人應避免自滿,不斷質in order to identify discrepancies that might result in error or

inappropriate action. All employees are watchful for

疑現有狀況、假設、異常和活動。所assumptions, values, conditions, or activities that can have

有員工警惕可能對電廠安全造成不良an undesirable effect on plant safety.

影響的理念、價值觀、情況或活動。

Attributes： 特點：

QA.1 Nuclear is Recognized as Special and Unique:

Individuals understand that complex technologies can fail in

unpredictable ways.

QA.1認為核技術是特殊的和獨特的：個人應認識到，復雜的技術可14 能在不可預知的情況下失效。

QA.2 Challenge the Unknown: Individuals stop when

faced with uncertain conditions. Risks are evaluated and

managed before work proceeds.

QA.2質疑不明情況：個人面臨不確定性時應停止操作。工作前應評估和控制風險。

QA.3 Challenge Assumptions: Individuals challenge

assumptions and offer opposing views when they believe

something is not correct.

QA.3質疑假設：當人們認為某件事不正確時，應質疑假設，并提出相反觀點。

QA.4 Avoid Complacency: Individuals recognize and

plan for the possibility of mistakes, latent issues, and

inherent risk, even while expecting successful outcomes.

QA.4避免自滿：即使認為有成功的結果，個人也應意識到錯誤、潛在問題、內在風險可能存在，并做好應對計劃。

CO. Safety Communication

Communications maintain a focus on safety. Safety

communication is broad and includes plant-level

CO. 安全溝通

溝通時應以安全為中心。有關安communication, job-related communication, worker-level

全的溝通非常廣泛，包括電廠級溝通、communication, equipment labeling, operating experience,

工作相關的溝通、工人級溝通、設備and documentation. Leaders u formal and informal

communication to convey the importance of safety. The

標識、操作經驗和文檔管理。領導利flow of information up the organization is en as important

用正式和非正式的溝通傳達安全的重as the flow of information down the organization.

Attributes:

CO.1 Work Process Communications: Individuals

特點：

要性。組織中上行和下行的信息流同等重要。

incorporate safety communications in work activities.

CO.2 Bas for Decisions: Leaders ensure that the bas for

operational and organizational decisions are communicated

15 in a timely manner.

CO.3 Free Flow of Information: Individuals communicate

openly and candidly, both up, down, and across the

organization and with oversight, audit, and regulatory

organizations.

CO.4 Expectations: Leaders frequently communicate and

reinforce the expectation that nuclear safety is the

organization’s overriding priority.

CO.1工作過程溝通：個人在工作過程中就安全信息進行溝通。

CO.2 決策依據：領導確保運營和組織決策的基礎及時地得以溝通。

CO.3信息自由流通：個人開放、坦率地在組織中進行上行和下行的溝通。監督、審核和管理機構時也如此。

CO.4預期:領導經常溝通和強化預期：在組織中核安全高于一切。

16

Management Commitment to Safety

LA. Leadership Accountability

Leaders demonstrate a commitment to safety in their

decisions and behaviors. Executive and nior managers

are the leading advocates of nuclear safety and demonstrate

their commitment both in word and action. The nuclear

safety message is communicated frequently

管理者安全承諾

LA.領導職責

領導在決策和行為中體現承諾。總經理和高級經理是核安全文化的倡and

導者，他們在言行上對核安全起到模范作用。應經常和不間斷地對核安全consistently, occasionally as a stand-alone theme. Leaders

throughout the nuclear organization t an example for

safety. Corporate policies emphasize the overriding

信息進行交流，偶爾做為一個獨立主importance of nuclear safety.

題進行交流。領導在整個核電組織中確立一個安全案例，公司法規強調核安全重于一切。

Attributes

特點：

LA.1 Resources: Leaders ensure that personnel,

LA.1資源：為支持核安全，領導equipment, procedures, and other resources are available

確保提供足夠和適當的人員、設備、and adequate to support nuclear safety.

程序和其他資源。

LA.2 Field Prence: Leaders are commonly en in

LA.2巡視現場：領導經常巡查工working areas of the plant obrving, coaching, and

作場所：觀察、指導，強化標準和預reinforcing standards and expectations. Deviations from

standards and expectations are corrected promptly.

期。對于偏離標準和預期的情況，迅速糾正。

LA.3 Incentives, Sanctions, and Rewards: Leaders

LA.3激勵、懲罰和獎勵：領導確ensure incentives, sanctions, and rewards are aligned with

保激勵、懲罰和獎勵與核安全方針一nuclear safety policies and reinforce behaviors and

17 outcomes that reflect safety as the overriding priority.

致，并強調，行為和結果體現出安全重于一切。

LA.4 Strategic Commitment to Safety: Leaders ensure

LA.4安全戰略承諾：領導確保電plant priorities are aligned to reflect nuclear safety as the

廠的優先考慮的事與核安全高于一切overriding priority.

的信念相一致。

LA.5 Change Management: Leaders u a systematic

LA.5 變化管理：為確保安全重于process for evaluating and implementing change so that

一切，領導使用一個系統的過程評估nuclear safety remains the overriding priority.

和實施變化。

LA.6 Roles, Responsibilities, and Authorities: Leaders

LA.6角色、責任和權力：為保證clearly define roles, responsibilities, and authorities to

核安全，領導明確定義角色、責任和ensure nuclear safety.

權力。

LA.7 Constant Examination: Leaders ensure that nuclear

LA.7持續檢查：為確保對核安全safety is constantly scrutinized through a variety of

進行持續檢查，領導使用多種監測技monitoring techniques, including asssments of nuclear

safety culture.

LA.8 Leader Behaviors: Leaders exhibit behaviors that

t the standard for safety.

術，包括核文化評估。

LA.8領導者行為：領導演示為安全確立標準的行為。

DM. Decision-Making

DM.決策

18 Decisions that support or affect nuclear safety are

決策可以系統、嚴格、徹底地支systematic, rigorous, and thorough. Operators are vested

持或影響核安全。當面對非預期或不with the authority and understand the expectation, when

faced with unexpected or uncertain conditions, to place the

plant in a safe condition. Senior leaders support and

reinforce conrvative decisions.

Attributes:

確定的情況時，為確保電廠置于安全狀態，操作者擁有權限，并且了解預期。高層領導支持和強化做出保守決策。

DM.1 Consistent Process: Individuals u a consistent,

特點：

systematic approach to make decisions. Risk insights are

incorporated as appropriate.

DM.2 Conrvative Bias: Individuals

DM.1一致的過程：個人使用一個u

一致的、系統的方法來作決策。適當地洞察風險。

decision-making practices that emphasize prudent choices

over tho that are simply allowable. A propod action is

determined to be safe in order to proceed, rather than unsafe

in order to stop.

DM.2保守的偏見：個人在決策時謹慎選擇那些簡單可行的選項。不是DM.3 Accountability for decisions: Single-point

為了工作進行，而確認一個建議活動accountability is maintained for nuclear safety decisions.

WE. Respectful Work Environment

Trust and respect permeate the organization, creating a

是安全的，也不是為了停工而確認其不安全。

DM.3決策職責：有關核安全決策respectful work environment. A high level of trust is

的單點責任應保持下來。

established in the organization, fostered, in part, through

timely and accurate communication. Differing professional

opinions are encouraged, discusd, and resolved in a timely

WE.彼此尊重的工作環境

manner. Employees are informed of steps taken in respon

to their concerns.

組織中應存在信任和尊重，創造一個彼此尊重的工作環境。通過及時準19 Attributes:

確地溝通，高度信任可以局部地在一 WE.1 Respect is Evident: Everyone is treated with

個組織中建立，培養起來。鼓勵和討dignity and respect.

WE.2 Opinions are Valued: Individuals are encouraged

to voice concerns, provide suggestions, and rai questions.

Differing opinions are respected.

WE.3 High Level of Trust: Trust is fostered among

individuals and work groups throughout the organization.

WE.4 Conflict Resolution: Fair and objective methods

are ud to resolve conflicts.

特點：

WE.1尊重是明顯的：尊重每個人。

WE.2重視意見：鼓勵個人說出顧慮，提出建議和問題。尊重不同觀點。

WE.3高度信任：在組織中的個體和工作團隊之間培養信任。

WE.4解決沖突：解決沖突時使用公平和客觀的方法。

論不一致的專業觀點并及時解決矛盾。對于員工的關注應給予回應。

20 Management Systems

CL. Continuous Learning

CL.持續學習

管理體系

Opportunities to continuously learn are valued, sought

評估、尋求、實現持續學習的機out, and implemented. Operating experience is highly

會。重視操作經驗，提高從以往經驗valued, and the capacity to learn from experience is well

developed. Training, lf-asssments, and benchmarking

學習的能力。為了激勵學習和提高能are ud to stimulate learning and improve performance.

力，可以應用培訓、自我評估、對照Nuclear safety is kept under constant scrutiny through a

variety of monitoring techniques, some of which provide an

管理。用不同的監測技術對核安全進independent “fresh look.”

行持續的、詳細的審查，其中的一些技術可以提供獨立的新視角。

Attributes:

特點：

CL.1 Operating Experience: The organization systematically

and effectively collects, evaluates, and implements lessons

from relevant internal and external operating experience

information in a timely manner.

CL.1操作經驗：組織適時、系統、有效地收集、評估和應用內部和外部的操作經驗信息。

CL.2 Self-Asssment: The organization routinely conducts

lf-critical and objective asssments of its programs,

practices, and performance.

CL.2自我評估：組織例行地對程序、實踐和表現進行自我批評和客觀評價。

CL.3 Benchmarking: The organization learns from other

organizations to continuously improve knowledge, skills,

and safety performance.

CL.4 Training: High-quality training maintains a

knowledgeable workforce and reinforces high standards for

maintaining nuclear safety.

CL.3對照：為不斷提高知識、技能及安全表現，組織向其它組織學習。

CL.4培訓：高質量的培訓可以維持一個學識淵博的員工團隊，利于保21 持核安全的高標準。

PI. Problem Identification and Resolution

PI.識別問題、解決問題

Issues potentially impacting safety are promptly

迅速識別、徹底評估影響安全的identified, fully evaluated, and promptly addresd and

潛在問題，根據重要性迅速處理和糾corrected commensurate with their significance.

Identification and resolution of a broad spectrum of

正。為加強安全和提高表現，應識別problems, including organizational issues, are ud to

和解決包括組織問題在內的廣泛問strengthen safety and improve performance.

題。

Attributes:

特點：

PI.1 Identification: The organization implements a

corrective action program with a low threshold for

identifying issues. Individuals identify issues completely,

PI.1識別:為識別問題，組織可執行一個低門檻的糾正措施計劃。個人accurately, and in a timely manner in accordance with the

按照程序及時、徹底、準確地識別問program.

題。

PI.2 Evaluation: The organization thoroughly evaluates

issues to ensure that problem resolutions and solutions

address caus and extents of conditions commensurate with

their safety significance.

PI.2評估：為確保問題的解決措施、原因闡述和范圍狀況與其安全重要性一致，組織應徹底評估問題。

PI.3 Resolution: The organization takes effective corrective

actions to address issues in a timely manner commensurate

with their safety significance.

PI.3解決問題：為解決問題，組織及時采取與問題安全重要性相一致的糾正措施。

PI.4 Trending: The organization periodically analyzes

information from the corrective action program and other

asssments in the aggregate to identify adver trends or

PI.4趨勢：組織定期分析糾正措施計劃和其它評估結果，以此識別不22 conditions.

利趨勢和狀況。

RC. Environment for Raising Concerns

RC.提出顧慮的氛圍

A safety-conscious work environment (SCWE) is

maintained where personnel feel free to rai safety

concerns without fear of retaliation, intimidation,

建立一個有安全意識的環境（SCWE），個人可以自由地提出顧harassment, or discrimination. The station creates,

慮，而不用擔心遭到報復、威脅、侵maintains, and evaluates policies and process that allow

擾或歧視。電廠建立、維護、評估相personnel to freely rai concerns.

關政策和程序，允許員工提出顧慮。

Attributes:

特點：

RC.1 SCWE Policy: The organization implements a policy

that supports individual rights and responsibilities to rai

safety concerns and does not tolerate harassment,

intimidation, retaliation, or discrimination for doing so.

RC.1SCWE原則：組織鼓勵個人提出安全顧慮，并不會受到報復、威脅、侵擾或歧視。

RC.2 Alternate Process for Raising Concerns: The

organization implements a process for raising and resolving

concerns that is independent of line management influence.

RC.2提出關注的其他程序：組織執行一套不受管理影響的鼓勵提出顧Safety issues may be raid in confidence and are resolved

慮的程序。員工可以自信地提出安全in a timely and effective manner.

問題，并被及時有效地解決問題。

WP. Work Process

WP.工作程序

The process of planning and controlling work activities

為保證安全，執行計劃和控制工is implemented so that safety is maintained. Work

作。工作管理是一個特定程序。該程management is a deliberate process in which work is

identified, lected, planned, scheduled, executed, clod,

序對工作進行識別、選擇、計劃、進and critiqued. The entire organization is involved in and

度、執行、完成和評審。整個組織參fully supports the process.

23 與并支持該程序。

Attributes:

特點：

WP.1 Work Management: The organization implements

a process of planning, controlling, and executing work

activities such that nuclear safety is the overriding priority.

WP.1工作管理：組織執行一套計劃、控制和執行工作活動的程序，以The work process includes the identification and

確保核安全重于一切。工作程序包括management of risk commensurate to the work.

識別和管理與工作相關的風險。

WP.2 Design Margins: The organization operates and

maintains equipment within design margins. Margins are

carefully guarded and changed only through a systematic

WP.2設計裕量：組織在設計裕量內操作并維護設備。只有通過謹慎、and rigorous process. Special attention is placed on

系統的程序才可以監視和改變裕量。maintaining fission product barriers, defen-in-depth, and

對保持裂變產品屏障、縱深防御和安safety-related equipment.

全相關設備要保持特別注意。

WP.3 Documentation: The organization creates and

maintains complete, accurate, and up-to-date

documentation.

WP.4 Procedure Adherence: Individuals follow

process, procedures, and work instructions.

WP.3文件：組織建立和保持完整、準確和最新的文件。

WP.4遵守程序：個人遵守工藝流程、程序和工作指導書。

24

25

Acknowledgements

致謝

The following individuals participated in advisory groups that developed the traits and attributes in this

document.

以下個人參與了顧問團并對本文檔作出了貢獻。

Jeffrey B. Archie

Senior Vice President and

Chief Nuclear Officer

South Carolina Electric & Gas

Company

Ronald A. Barnes

Director, Nuclear Regulatory

Affairs

Arizona Public Service

Company

Elizabeth Beswick

Nuclear Professionalism

Consultant Nuclear Generation

EDF Energy

Susan Bristte

Manager, Management System

Department

Bruce Power

Annick Carnino

Director

Energy Strategists Consultancy

Limited

Conrad Dube

Project Manager

WANO Paris Center

Randall K. Edington

David F. Garchow

Vice President, Plant Technical

Support

Institute of Nuclear Power

Operations

Ronald Gaston

Licensing Manager

Exelon Corporation

Billie Garde, Esq.

Partner

Clifford & Garde, LLP

Pierre Francois Gest

Senior Safety Officer

Operational Safety Section

International Atomic Energy

Agency

Edward D. Halpin

Senior Vice President and

Chief Nuclear Officer

Pacific Gas and Electric

Company

Jun Hamada

General Manager & Group

Leader

Japan Nuclear Technology

Institute

Bernard Jeannin

Safety Standards Advisor

Safety and Security

Coordination

International Atomic Energy

Agency

Molly Keefe

Human Factors Analyst

Office of Nuclear Reactor

Regulation

U.S. Nuclear Regulatory

Commission

Anne Kerhoas

Senior Safety Specialist

Division of Nuclear Installation

Safety

Department of Nuclear Safety

and Security

International Atomic Energy

Agency

G. Kenneth Koves, Ph.D.

Principal Program Manager

Institute of Nuclear Power

Operations

Johann Kritzinger

Corporate Consultant: Human

Kevin J. Mulligan

Vice President, Operations

Support

Entergy Nuclear

Michael J. Pacilio

President and Chief Nuclear

Officer Exelon Nuclear

Exelon Corporation

Ray Powell

Chief, Technical Support and

Asssment Branch

Region I

U.S. Nuclear Regulatory

Commission

Gregory Rolina

Rearcher

Mines ParisTech

Philip K. Rusll

Team Leader

Institute of Nuclear Power

Operations

Jack Rutkowski

Reactor Inspector

Region III

U.S. Nuclear Regulatory

Commission

26 Executive Vice President and

Chief Nuclear Officer

Lori Hayes

Manager, Corporate Nuclear

Performance

Nuclear Operating Unit

Eric Ruesch

Senior Reactor Inspector

Arizona Public Service

Company

Edwin J. Eilola

Director, Nuclear Oversight

PSEG Nuclear LLC

Jo Manuel Diaz Francisco

Communication and Safety

Coordinator

Electronuclear

Preston D. Swafford

Executive Vice President and

Chief Nuclear Officer

Tenne Valley Authority

Carin Sylvander

Human Performance, RQH and

Safety Culture

Vattenfall AB; Ringhals NPP

Alexandra Tudor

Engineer, Performance

Monitoring Section

Safety and Compliance

Department

CNE Cernavoda,

S.N. Nuclearelectrica

Eduard Volkov

Director

Prognoz - Obninsk Science

Rearch Center

Andrew J. Vomastek

Fleet Manager, Dominion

Nuclear Employee Concerns

Programs

Dominion Generation

Oversight

Progress Energy, Inc.

Albert R. Hochevar

Deputy Director, OR Team

Leaders

Institute of Nuclear Power

Operations

Tom Houghton

Senior Director, Safety

Focud Regulation

Nuclear Energy Institute

William R. Illing

Senior Program Manager

Institute of Nuclear Power

Operations

Eskom Holdings SOC Ltd

Valérie Lagrange

Safety Management & Human

Factors Advisor

Nuclear Operation Division

Electricité de France

James E. Lynch

Vice President, Assistance

Institute of Nuclear Power

Operations

Kamishan Martin

Human Factors Engineer

Office of Nuclear Reactor

Regulation

U.S. Nuclear Regulatory

Commission

Stephanie Morrow, Ph.D.

Human Factors Analyst

Office of Nuclear Reactor

Regulation

U.S. Nuclear Regulatory

Commission

27

Region IV

U.S. Nuclear Regulatory

Commission

Diane Sieracki

Senior Safety Culture Program

Manager

Office of Enforcement

U.S. Nuclear Regulatory

Commission

Undine Shoop

Chief, Health Physics and

Human Performance Branch

Office of Nuclear Reactor

Regulation

U.S. Nuclear Regulatory

Commission