Readiness Review Course November 2006. Nov 20062 Readiness Review Course Introduction – Mod 1.

Readiness Readiness Review CourseReview Course


November 2006November 2006

Nov 2006Nov 200622

Readiness ReviewReadiness ReviewCourseCourse

Introduction – Mod 1Introduction – Mod 1

Nov 2006Nov 200633

Learning ObjectivesLearning Objectives

Understanding the definition and purpose of a Understanding the definition and purpose of a Readiness Review;Readiness Review;Understanding the differences between an Understanding the differences between an Operational Readiness Review and a Readiness Operational Readiness Review and a Readiness Assessment;Assessment;Knowledge of current DOE Orders, Directives, and Knowledge of current DOE Orders, Directives, and References for the Readiness Review process;References for the Readiness Review process;Knowledge of general terms used in the Readiness Knowledge of general terms used in the Readiness Review Process.Review Process.

Nov 2006Nov 200644

Definition of a Readiness Definition of a Readiness Review Review

A disciplined, systematic, documented, A disciplined, systematic, documented, performance-based review of:performance-based review of:

Facilities

Equipment and Systems

Personnel

Procedures

Safety Management Programs

(e.g., Emergency Management, Safety Analysis,

Conduct of Operations,Integrated Safety Management,

Quality Assurance,Industrial Hyg and Safety,Waste Management, etc.)

Nov 2006Nov 200655

Purpose of a RRPurpose of a RR

Ensure readiness of facility and personnel to start the Ensure readiness of facility and personnel to start the facility within the bounds of acceptable risk defined facility within the bounds of acceptable risk defined by:by:– The Safety Basis/Authorization Agreement;The Safety Basis/Authorization Agreement;– Applicable ES&H regulations. Applicable ES&H regulations.

Ensure the facility/activity has adequate Safety Ensure the facility/activity has adequate Safety Management Programs implemented and sufficient Management Programs implemented and sufficient controls in place to start and continue operations controls in place to start and continue operations within those bounds.within those bounds.

Nov 2006Nov 200666

RR Historical SummaryRR Historical Summary

• 9-23-86, DOE 5480.6, Safety of DOE-owned Nuclear Reactors;9-23-86, DOE 5480.6, Safety of DOE-owned Nuclear Reactors;• 3-3-90, DNFSB 90-4, Rocky Flats Restart;3-3-90, DNFSB 90-4, Rocky Flats Restart;• 11-12-91, SEN-16B-91, Approval for Restart of Facilities Shutdown for Safety 11-12-91, SEN-16B-91, Approval for Restart of Facilities Shutdown for Safety

Reasons and for Startup of Major New Facilities;Reasons and for Startup of Major New Facilities;• 2-26-92, NE-1 Procedure for Restart of Reactor & Non-reactor Nuclear Facilities;2-26-92, NE-1 Procedure for Restart of Reactor & Non-reactor Nuclear Facilities;• 8-26-92, DNFSB 92-6, Order/Standard Development;8-26-92, DNFSB 92-6, Order/Standard Development;• 9-17-92, EM Policy and Guidance for Readiness Determinations;9-17-92, EM Policy and Guidance for Readiness Determinations;• 9-15-93, DOE O 5480.31/ 425.1, Startup and Restart of Nuclear Facilities;9-15-93, DOE O 5480.31/ 425.1, Startup and Restart of Nuclear Facilities;• 12-93, DOE-STD-3006-95, Planning and Conduct of ORRs/RAs, updated;12-93, DOE-STD-3006-95, Planning and Conduct of ORRs/RAs, updated;• 9-26-99, DNFSB Letter on ORR/RA inadequacies, leading to 425.1B and 3006-00;9-26-99, DNFSB Letter on ORR/RA inadequacies, leading to 425.1B and 3006-00;• 10-00, DOE ORR/RA Course created, developed, conducted as needed/as 10-00, DOE ORR/RA Course created, developed, conducted as needed/as

requested ;requested ;

• 6-15-00, DOE-STD-3006-00 (series);6-15-00, DOE-STD-3006-00 (series);• 3-13-03, 425.1C (series);3-13-03, 425.1C (series);• 12-15-03, DOE 3012-2003 (series).12-15-03, DOE 3012-2003 (series).

Nov 2006Nov 200677

DOE O 425.1C, DOE O 425.1C, Startup and Restart of Nuclear FacilitiesStartup and Restart of Nuclear Facilities

– For Startup and Restart of Hazard Category 1, 2, and 3 For Startup and Restart of Hazard Category 1, 2, and 3 Nuclear FacilitiesNuclear Facilities

– Delineates whether an Operational Readiness Review Delineates whether an Operational Readiness Review (ORR) or a Readiness Assessment (RA) is required(ORR) or a Readiness Assessment (RA) is required

– Delineates the Authorization AuthorityDelineates the Authorization Authority– Defines the 18 Minimum Core RequirementsDefines the 18 Minimum Core Requirements– References the use of DOE-STD-3006-2000 References the use of DOE-STD-3006-2000

Orders and Directives Cont.Orders and Directives Cont.

Nov 2006Nov 200688


DOE-STD-3006-2000, DOE-STD-3006-2000, Planning and Conduct of Planning and Conduct of Operational Readiness ReviewsOperational Readiness Reviews

– Provides guidance regarding the implementation of DOE O Provides guidance regarding the implementation of DOE O 425.1C; 425.1C;

– Provides for a consistent approach in planning and Provides for a consistent approach in planning and performing a readiness review; performing a readiness review;

– Provides templates and sample documents which can be Provides templates and sample documents which can be used in organizing and performing a readiness review; used in organizing and performing a readiness review;

– Can be used as guidance in the development of Site Office Can be used as guidance in the development of Site Office procedures. procedures.

Nov 2006Nov 200699


DOE-HDBK-3012-2003, DOE-HDBK-3012-2003, Team Leader's Preparation Team Leader's Preparation Guide for Operational Readiness ReviewsGuide for Operational Readiness Reviews (ORR)(ORR)

– Provides guidance to the Team Leader on how to Provides guidance to the Team Leader on how to plan, manage, perform, and document a RR; plan, manage, perform, and document a RR;

– Defines the Team Leader, Team Members, and Defines the Team Leader, Team Members, and Administrators roles and responsibilities; Administrators roles and responsibilities;

– Provides templates and forms to assist in developing Provides templates and forms to assist in developing RRRR

Nov 2006Nov 20061010

Readiness Review

Operational Readiness Review Readiness Assessment

• Startup Hazard Category 1, 2, 3• Restarts Hazard Category 1 & 2

– Unplanned shutdown– Extended shutdown– Substantial process/system/– Facility changes

• Major changes to safety basis• Whenever deemed appropriate by DOE

• Restarts– Nuclear Facilities– Hazard Category 3

• Startup/restart nonnuclear– High, Moderate, or Low hazard

• When deemed necessary by Site Office

Operational Readiness Review Operational Readiness Review and Readiness Assessmentand Readiness Assessment

Nov 2006Nov 20061111

A readiness review required for: A readiness review required for:

– Startup of new hazard categories 1, 2, and 3 Startup of new hazard categories 1, 2, and 3 nuclear facilities nuclear facilities

– Restart of hazard categories 1 and 2 nuclear Restart of hazard categories 1 and 2 nuclear facilities facilities

– Whenever deemed appropriate by DOE Whenever deemed appropriate by DOE Management Officials for any nuclear facilityManagement Officials for any nuclear facility

Operational Readiness Review Operational Readiness Review

Nov 2006Nov 20061212

Readiness AssessmentReadiness Assessment

A readiness review required for:A readiness review required for:

– Restart of nuclear facilities not requiring an Restart of nuclear facilities not requiring an ORR, as defined in DOE O 425.1C ORR, as defined in DOE O 425.1C

– Graded approach to application of the 18 Graded approach to application of the 18 minimum core requirements minimum core requirements

Nov 2006Nov 20061313

Exemption ProcessExemption ProcessExemption ProcessExemption Process

DOE-STD-3006-2000, Ch 4.6 & 5.11 references DOE DOE-STD-3006-2000, Ch 4.6 & 5.11 references DOE O and M 251.1-1, Ch X which describes: O and M 251.1-1, Ch X which describes:

General Provisions;General Provisions;Exemption Approval Process (Approval Authority, Exemption Approval Process (Approval Authority, CSO, OPI, EH, NNSA CTS); CSO, OPI, EH, NNSA CTS); Exemption Request (Information needed); and Exemption Request (Information needed); and Approval Criteria.Approval Criteria.

DOE-STD-3006-2000, Ch 4.6 & 5.11 references DOE DOE-STD-3006-2000, Ch 4.6 & 5.11 references DOE O and M 251.1-1, Ch X which describes: O and M 251.1-1, Ch X which describes:


Nov 2006Nov 20061414

DefinitionsDefinitions

Nov 2006Nov 20061515


Readiness-to-Proceed MemorandumReadiness-to-Proceed Memorandum

– A formal document from the Contractor to the A formal document from the Contractor to the Authorization Authority stating that the facility Authorization Authority stating that the facility has been brought to a state of readiness to has been brought to a state of readiness to start operationsstart operations

(DOE-STD-3006-2000)(DOE-STD-3006-2000)

Nov 2006Nov 20061616

Authorization AuthorityAuthorization Authority– DOE Management Official that will approve DOE Management Official that will approve

the startup or restart of a facilitythe startup or restart of a facility– Specified by the type of readiness review Specified by the type of readiness review

(ORR or RA) and the category of the facility(ORR or RA) and the category of the facility

(DOE O 425.1C)(DOE O 425.1C)

Definitions Definitions (cont)(cont)

Nov 2006Nov 20061717

Startup/Restart Notification Report (SNR)Startup/Restart Notification Report (SNR)

– A report issued by the responsible contractor to A report issued by the responsible contractor to identify a startup or restart of a nuclear or hazardous identify a startup or restart of a nuclear or hazardous non-nuclear facility. non-nuclear facility.

– Issued annually with a one year projection of Issued annually with a one year projection of expected readiness reviewsexpected readiness reviews

– Update (addendum) issued prior to commencement of Update (addendum) issued prior to commencement of the Contractor Readiness Reviewthe Contractor Readiness Review


Nov 2006Nov 20061818

Plan-of-Action (POA)Plan-of-Action (POA)– The document prepared by line management which The document prepared by line management which

describes the breadth of the RR and the describes the breadth of the RR and the prerequisites which must be met to start the RR. It prerequisites which must be met to start the RR. It is the document by which line management defines is the document by which line management defines what will be evaluated by the RR. what will be evaluated by the RR.

– Both the Contractor and DOE prepare a POABoth the Contractor and DOE prepare a POA– Submitted to the authorization authority for Submitted to the authorization authority for

approval.approval.

(DOE-STD-3006-2000)(DOE-STD-3006-2000)


Nov 2006Nov 20061919

Implementation Plan (IP)Implementation Plan (IP)

– The procedural document by which the RR The procedural document by which the RR is conducted. This document implements is conducted. This document implements the scope and direction approved in the RR the scope and direction approved in the RR POA and define the depth of the reviewPOA and define the depth of the review

(DOE-STD-3006-2000)(DOE-STD-3006-2000)


Nov 2006Nov 20062020

IndependentIndependent– Independent of operation Independent of operation

being reviewedbeing reviewed– Will not review their own Will not review their own

work or work for which they work or work for which they are responsibleare responsible

– NOT from line organization NOT from line organization responsible for the operationresponsible for the operation

Fully ObjectiveFully Objective– Striving to do what is rightStriving to do what is right– May be from the line May be from the line

organization, but not organization, but not responsible for that responsible for that operation or workoperation or work

– May still work for the May still work for the Authorization AuthorityAuthorization Authority


Nov 2006Nov 20062121


SER

DSA (or equivalent)TSR, HAR, FHA,

BIO, USQ

WSSPHA

Drawings (facility, tooling, etc.)Technical Manuals

Engineering Calculation NotesContractor Safety Programs

Authorization Basis (AB)

Authorization Agreement

S/RID

EIS

ORR/RA

NESS

Defined Work Scope

Special Terms & Conditions

Environmental Permits

Site S&S PlanEmergency Preparedness Plan

Safety Basis(SB)

Nov 2006Nov 20062222

Graded ApproachGraded Approach

– Used to adjust the Used to adjust the depthdepth of detail required and magnitude of of detail required and magnitude of resources expended;resources expended;

– Based on the potential impact on safety, environmental Based on the potential impact on safety, environmental compliance, safeguards and security, and its programmatic compliance, safeguards and security, and its programmatic importance, including present and future mission;importance, including present and future mission;

– Justification required for any of the 18 minimum core Justification required for any of the 18 minimum core requirements not being reviewed for an ORR, but not a RArequirements not being reviewed for an ORR, but not a RA

(DOE-STD-3006-2000)(DOE-STD-3006-2000)


Nov 2006Nov 20062323

Definitions For ReferenceDefinitions For Reference

Nov 2006Nov 20062424

Other DefinitionsOther Definitions

Nuclear FacilityNuclear Facility – ReactorReactor - Any apparatus that is designed or used to sustain - Any apparatus that is designed or used to sustain

nuclear chain reactions in a controlled manner, including critical nuclear chain reactions in a controlled manner, including critical and pulsed assemblies, and research, test, and power reactors.and pulsed assemblies, and research, test, and power reactors.

– Nonreactor Nuclear FacilityNonreactor Nuclear Facility - Activities or operations that involve - Activities or operations that involve radioactive and/or fissionable materials in such form and quantity radioactive and/or fissionable materials in such form and quantity that a nuclear hazard potentially exists to the employees or the that a nuclear hazard potentially exists to the employees or the general public.general public.

– AcceleratorAccelerator - Device that speeds up charged particles, such as - Device that speeds up charged particles, such as electrons or protonselectrons or protons

Nov 2006Nov 20062525

Nuclear Hazard Category 1, 2, and 3Nuclear Hazard Category 1, 2, and 3

Nonnuclear Hazardous Category High, Nonnuclear Hazardous Category High, Moderate, Low, Standard IndustrialModerate, Low, Standard Industrial

Nuclear FacilityNuclear Facility

Nonnuclear Hazardous FacilityNonnuclear Hazardous Facility

Other Definitions Other Definitions (cont)(cont)

Nov 2006Nov 20062626

Nuclear Hazard Category 1 FacilitiesNuclear Hazard Category 1 Facilities

– Facilities with potential for “significant off-site consequences.” Facilities with potential for “significant off-site consequences.” Based on total curie content, potential material forms, and Based on total curie content, potential material forms, and maximum energy for dispersion available. One class of maximum energy for dispersion available. One class of facilities which possess this hazard potential is Class A facilities which possess this hazard potential is Class A nuclear reactors. nuclear reactors.

– DOE Management Officials may designate other facilities as DOE Management Officials may designate other facilities as Category1 if it is felt that there exists the potential for Category1 if it is felt that there exists the potential for “significant off-site consequences.”“significant off-site consequences.”

(DOE-STD-1027-92)(DOE-STD-1027-92)


Nov 2006Nov 20062727


– Facilities that contain threshold quantities (TQ) of Facilities that contain threshold quantities (TQ) of radioactive materials which present the potential for radioactive materials which present the potential for “significant on-site consequences.” The TQ values for “significant on-site consequences.” The TQ values for Category 2 facilities are provided in Table A.1 of DOE-Category 2 facilities are provided in Table A.1 of DOE-STD-1027-92. STD-1027-92.

(DOE-STD-1027-92)(DOE-STD-1027-92)


Nov 2006Nov 20062828


– Largely includes laboratory operations, low level Largely includes laboratory operations, low level waste handling facilities, and research machines waste handling facilities, and research machines which possess less than the Category 2 quantities which possess less than the Category 2 quantities of material and are considered to represent a low of material and are considered to represent a low hazard. There is only the potential for “significant hazard. There is only the potential for “significant localized consequences.”localized consequences.”

(DOE-STD-1027-92)(DOE-STD-1027-92)


Nov 2006Nov 20062929

Non-Nuclear Hazardous Facility Non-Nuclear Hazardous Facility

– Buildings, utilities, structures, operations or Buildings, utilities, structures, operations or services, and related activities whose use is services, and related activities whose use is directed to a common purpose at a single directed to a common purpose at a single location that uses, stores, or otherwise has location that uses, stores, or otherwise has hazardous non-nuclear materials.hazardous non-nuclear materials.

(DOE G 450.4-1A, Integrated Safety Management System Guide)(DOE G 450.4-1A, Integrated Safety Management System Guide)


Nov 2006Nov 20063030

Non-Nuclear Hazardous MaterialsNon-Nuclear Hazardous Materials

– A material, energy source, or operation with the A material, energy source, or operation with the potential to cause illness, injury, or death to personnel potential to cause illness, injury, or death to personnel or damage to a facility or to the environment (without or damage to a facility or to the environment (without regard to the likelihood or credibility of accident regard to the likelihood or credibility of accident scenarios or consequence mitigation).scenarios or consequence mitigation).



Nov 2006Nov 20063131

Non-Nuclear Hazardous Facilities Non-Nuclear Hazardous Facilities CategorizationCategorization

– Contractor will determine, in their Integrated Safety Contractor will determine, in their Integrated Safety Management System Description and associated Management System Description and associated Hazard Analysis (HA) the category of a hazardous Hazard Analysis (HA) the category of a hazardous non-nuclear facility. non-nuclear facility.

– Categorization must be coordinated with DOECategorization must be coordinated with DOE


Nov 2006Nov 20063232

Classification of Non-Nuclear Hazardous FacilitiesClassification of Non-Nuclear Hazardous Facilities

– High Hazard:High Hazard: Potential for onsite or offsite impacts to large Potential for onsite or offsite impacts to large numbers of persons or major impacts to the environment.numbers of persons or major impacts to the environment.

– Moderate Hazard:Moderate Hazard: Considerable potential for onsite impacts Considerable potential for onsite impacts to people or the environment, but at most, only minor offsite to people or the environment, but at most, only minor offsite impacts.impacts.

– Low Hazard:Low Hazard: Minor onsite and negligible offsite impacts to Minor onsite and negligible offsite impacts to people or the environment. people or the environment.


Nov 2006Nov 20063333


Authorization Basis Authorization Basis

– Combination of information relating to the control of hazards at a Combination of information relating to the control of hazards at a nuclear facility (including design, engineering analyses, and nuclear facility (including design, engineering analyses, and administrative controls) upon which DOE depends for its administrative controls) upon which DOE depends for its conclusion that activities at the facility can be conducted safely.conclusion that activities at the facility can be conducted safely.

Nov 2006Nov 20063434


The Authorization Basis is described in documents such as:The Authorization Basis is described in documents such as:

Facility DSA/SERs/SARs/BIOs/HAR/TSRs, other safety Facility DSA/SERs/SARs/BIOs/HAR/TSRs, other safety analyses documents;analyses documents;

Facility-specific implementing mechanisms to comply w/ Facility-specific implementing mechanisms to comply w/ DOE Orders, policies, or other contract provisions DOE Orders, policies, or other contract provisions (infrastructure program);(infrastructure program);

Permits . . . Permits . . .

Nov 2006Nov 20063535


Safety BasisSafety Basis

– Combination of information relating to the control of Combination of information relating to the control of hazards at a nuclear facility (including design, hazards at a nuclear facility (including design, engineering analysis, and administrative controls) engineering analysis, and administrative controls) upon which DOE depends for its conclusion that upon which DOE depends for its conclusion that activities at the facility can be conducted safely.activities at the facility can be conducted safely.

Nov 2006Nov 20063636


Documented Safety Analysis Report Documented Safety Analysis Report (DSA)(DSA)

– Documents the adequacy of safety Documents the adequacy of safety the analysis for a nuclear facilitythe analysis for a nuclear facility

Nov 2006Nov 20063737


Safety Evaluation Report (SER)Safety Evaluation Report (SER)

– A documented review of a SAR which may impose A documented review of a SAR which may impose conditions of approval, which might include conditions of approval, which might include constraints on TSRs, or alterations to other constraints on TSRs, or alterations to other commitmentscommitments

Nov 2006Nov 20063838


Technical Safety Requirement (TSR)Technical Safety Requirement (TSR)

– A document that defines the safety A document that defines the safety boundaries and management or boundaries and management or administration controls administration controls

Nov 2006Nov 20063939


Hazard Analysis Report (HAR)Hazard Analysis Report (HAR)

– The HAR documents the HA required of a The HAR documents the HA required of a Nuclear Explosives Operation and Nuclear Explosives Operation and associated activitiesassociated activities

Nov 2006Nov 20064040


Justification for Continued Operations (JCO)Justification for Continued Operations (JCO)

– Documents that procedures and policies are in place Documents that procedures and policies are in place that will ensure safe operations until a SAR can be that will ensure safe operations until a SAR can be finalizedfinalized

Nov 2006Nov 20064141


Basis for Interim Operation (BIO)Basis for Interim Operation (BIO)

– A document which establishes interim safety A document which establishes interim safety basis until SAR and TSRs are developed and basis until SAR and TSRs are developed and approvedapproved

Nov 2006Nov 20064242


Unreviewed Safety Question (USQ)Unreviewed Safety Question (USQ)

– Allows for making physical and procedural Allows for making physical and procedural changes and continue to operate without DOE changes and continue to operate without DOE approval as long as Safety Basis is not affectedapproval as long as Safety Basis is not affected

Nov 2006Nov 20064343

Abbreviations and Acronyms Abbreviations and Acronyms

AA Authorization AgreementAA Authorization AgreementAB Authorization BasisAB Authorization BasisASA Audited Safety AnalysisASA Audited Safety AnalysisCORR Contractor Operational Readiness ReviewCORR Contractor Operational Readiness ReviewCR Core RequirementCR Core RequirementCRAD Criteria and Review Approach DocumentCRAD Criteria and Review Approach DocumentDSA Documented Safety AnalysisDSA Documented Safety AnalysisIP Implementation PlanIP Implementation PlanJCO Justification for Continued OperationsJCO Justification for Continued OperationsMSA Management Self AssessmentMSA Management Self AssessmentOSR Operational Safety Requirements (TSR)OSR Operational Safety Requirements (TSR)

Nov 2006Nov 20064444

Abbreviations and Acronyms (cont)Abbreviations and Acronyms (cont)

ORR Operational Readiness ReviewORR Operational Readiness ReviewPOA Plan of ActionPOA Plan of ActionRA Readiness AssessmentRA Readiness AssessmentSAR Safety Analysis Report (DSA)SAR Safety Analysis Report (DSA)SER Safety Evaluation ReportSER Safety Evaluation ReportSNR Startup Notification ReportSNR Startup Notification ReportS/RID Standards/Requirements identification DocS/RID Standards/Requirements identification DocSSC Structures, Systems, and ComponentsSSC Structures, Systems, and ComponentsTSR Technical Safety RequirementsTSR Technical Safety RequirementsWSS Work Smart StandardsWSS Work Smart Standards

Nov 2006Nov 20064545

QuestionsQuestions



November 2006November 2006

Nov 2006Nov 20064747

Readiness ReviewReadiness ReviewCourseCourse

Introduction – Mod 1Introduction – Mod 1

Nov 2006Nov 20064848

Learning ObjectivesLearning Objectives

Understanding the definition and purpose of a Understanding the definition and purpose of a Readiness Review;Readiness Review;Understanding the differences between an Understanding the differences between an Operational Readiness Review and a Readiness Operational Readiness Review and a Readiness Assessment;Assessment;Knowledge of current DOE Orders, Directives, and Knowledge of current DOE Orders, Directives, and References for the Readiness Review process;References for the Readiness Review process;Knowledge of general terms used in the Readiness Knowledge of general terms used in the Readiness Review Process.Review Process.

Nov 2006Nov 20064949

Definition of a Readiness Review Definition of a Readiness Review

A disciplined, systematic, documented, A disciplined, systematic, documented, performance-based review of:performance-based review of:

Facilities

Equipment and Systems

Personnel

Procedures

Safety Management Programs

(e.g., Emergency Management, Safety Analysis,

Conduct of Operations,Integrated Safety Management,

Quality Assurance,Industrial Hyg and Safety,Waste Management, etc.)

Nov 2006Nov 20065050

Purpose of a RRPurpose of a RR

Ensure readiness of facility and personnel to start the Ensure readiness of facility and personnel to start the facility within the bounds of acceptable risk defined facility within the bounds of acceptable risk defined by:by:– The Safety Basis/Authorization Agreement;The Safety Basis/Authorization Agreement;– Applicable ES&H regulations. Applicable ES&H regulations.

Ensure the facility/activity has adequate Safety Ensure the facility/activity has adequate Safety Management Programs implemented and sufficient Management Programs implemented and sufficient controls in place to start and continue operations controls in place to start and continue operations within those bounds.within those bounds.

Nov 2006Nov 20065151

RR Historical SummaryRR Historical Summary

• 9-23-86, DOE 5480.6, Safety of DOE-owned Nuclear Reactors;9-23-86, DOE 5480.6, Safety of DOE-owned Nuclear Reactors;• 3-3-90, DNFSB 90-4, Rocky Flats Restart;3-3-90, DNFSB 90-4, Rocky Flats Restart;• 11-12-91, SEN-16B-91, Approval for Restart of Facilities Shutdown for Safety 11-12-91, SEN-16B-91, Approval for Restart of Facilities Shutdown for Safety

Reasons and for Startup of Major New Facilities;Reasons and for Startup of Major New Facilities;• 2-26-92, NE-1 Procedure for Restart of Reactor & Non-reactor Nuclear Facilities;2-26-92, NE-1 Procedure for Restart of Reactor & Non-reactor Nuclear Facilities;• 8-26-92, DNFSB 92-6, Order/Standard Development;8-26-92, DNFSB 92-6, Order/Standard Development;• 9-17-92, EM Policy and Guidance for Readiness Determinations;9-17-92, EM Policy and Guidance for Readiness Determinations;• 9-15-93, DOE O 5480.31/ 425.1, Startup and Restart of Nuclear Facilities;9-15-93, DOE O 5480.31/ 425.1, Startup and Restart of Nuclear Facilities;• 12-93, DOE-STD-3006-95, Planning and Conduct of ORRs/RAs, updated;12-93, DOE-STD-3006-95, Planning and Conduct of ORRs/RAs, updated;• 9-26-99, DNFSB Letter on ORR/RA inadequacies, leading to 425.1B and 3006-00;9-26-99, DNFSB Letter on ORR/RA inadequacies, leading to 425.1B and 3006-00;• 10-00, DOE ORR/RA Course created, developed, conducted as needed/as 10-00, DOE ORR/RA Course created, developed, conducted as needed/as

requested ;requested ;

• 6-15-00, DOE-STD-3006-00 (series);6-15-00, DOE-STD-3006-00 (series);• 3-13-03, 425.1C (series);3-13-03, 425.1C (series);• 12-15-03, DOE 3012-2003 (series).12-15-03, DOE 3012-2003 (series).

Nov 2006Nov 20065252

DOE O 425.1C, DOE O 425.1C, Startup and Restart of Nuclear FacilitiesStartup and Restart of Nuclear Facilities

– For Startup and Restart of Hazard Category 1, 2, and 3 For Startup and Restart of Hazard Category 1, 2, and 3 Nuclear FacilitiesNuclear Facilities

– Delineates whether an Operational Readiness Review Delineates whether an Operational Readiness Review (ORR) or a Readiness Assessment (RA) is required(ORR) or a Readiness Assessment (RA) is required

– Delineates the Authorization AuthorityDelineates the Authorization Authority– Defines the 18 Minimum Core RequirementsDefines the 18 Minimum Core Requirements– References the use of DOE-STD-3006-2000 References the use of DOE-STD-3006-2000


Nov 2006Nov 20065353


DOE-STD-3006-2000, DOE-STD-3006-2000, Planning and Conduct of Operational Readiness ReviewPlanning and Conduct of Operational Readiness Reviewss

– Provides guidance regarding the implementation of DOE O Provides guidance regarding the implementation of DOE O 425.1C; 425.1C;

– Provides for a consistent approach in planning and Provides for a consistent approach in planning and performing a readiness review; performing a readiness review;

– Provides templates and sample documents which can be Provides templates and sample documents which can be used in organizing and performing a readiness review; used in organizing and performing a readiness review;

– Can be used as guidance in the development of Site Office Can be used as guidance in the development of Site Office procedures. procedures.

Nov 2006Nov 20065454


DOE-HDBK-3012-2003, DOE-HDBK-3012-2003,

Team Leader's Preparation Guide for OperationaTeam Leader's Preparation Guide for Operational Readiness Reviewsl Readiness Reviews (ORR)(ORR)

– Provides guidance to the Team Leader on how to Provides guidance to the Team Leader on how to plan, manage, perform, and document a RR; plan, manage, perform, and document a RR;

– Defines the Team Leader, Team Members, and Defines the Team Leader, Team Members, and Administrators roles and responsibilities; Administrators roles and responsibilities;

– Provides templates and forms to assist in developing Provides templates and forms to assist in developing RRRR

Nov 2006Nov 20065555

Readiness Review

Operational Readiness Review Readiness Assessment

• Startup Hazard Category 1, 2, 3• Restarts Hazard Category 1 & 2

– Unplanned shutdown– Extended shutdown– Substantial process/system/– Facility changes

• Major changes to safety basis• Whenever deemed appropriate by DOE

• Restarts– Nuclear Facilities– Hazard Category 3

• Startup/restart nonnuclear– High, Moderate, or Low hazard

• When deemed necessary by Site Office

Operational Readiness Review Operational Readiness Review and Readiness Assessmentand Readiness Assessment

Nov 2006Nov 20065656

A readiness review required for: A readiness review required for:

– Startup of new hazard categories 1, 2, and 3 Startup of new hazard categories 1, 2, and 3 nuclear facilities nuclear facilities

– Restart of hazard categories 1 and 2 nuclear Restart of hazard categories 1 and 2 nuclear facilities facilities

– Whenever deemed appropriate by DOE Whenever deemed appropriate by DOE Management Officials for any nuclear facilityManagement Officials for any nuclear facility

Operational Readiness Review Operational Readiness Review

Nov 2006Nov 20065757

Readiness AssessmentReadiness Assessment

A readiness review required for:A readiness review required for:

– Restart of nuclear facilities not requiring an Restart of nuclear facilities not requiring an ORR, as defined in DOE O 425.1C ORR, as defined in DOE O 425.1C

– Graded approach to application of the 18 Graded approach to application of the 18 minimum core requirements minimum core requirements

Nov 2006Nov 20065858

Exemption ProcessExemption ProcessExemption ProcessExemption Process

DOE-STD-3006-2000DOE-STD-3006-2000, Ch 4.6 & 5.11 references DOE , Ch 4.6 & 5.11 references DOE O and M 251.1-1, Ch X which describes: O and M 251.1-1, Ch X which describes:


DOE-STD-3006-2000DOE-STD-3006-2000, Ch 4.6 & 5.11 references DOE , Ch 4.6 & 5.11 references DOE O and M 251.1-1, Ch X which describes: O and M 251.1-1, Ch X which describes:


Nov 2006Nov 20065959


Nov 2006Nov 20066060


Readiness-to-Proceed MemorandumReadiness-to-Proceed Memorandum

– A formal document from the Contractor to the A formal document from the Contractor to the Authorization Authority stating that the facility Authorization Authority stating that the facility has been brought to a state of readiness to has been brought to a state of readiness to start operationsstart operations

(DOE-STD-3006-2000)(DOE-STD-3006-2000)

Nov 2006Nov 20066161

Authorization AuthorityAuthorization Authority– DOE Management Official that will approve DOE Management Official that will approve

the startup or restart of a facilitythe startup or restart of a facility– Specified by the type of readiness review Specified by the type of readiness review

(ORR or RA) and the category of the facility(ORR or RA) and the category of the facility

(DOE O 425.1C)(DOE O 425.1C)


Nov 2006Nov 20066262

Startup/Restart Notification Report (SNR)Startup/Restart Notification Report (SNR)

– A report issued by the responsible contractor to A report issued by the responsible contractor to identify a startup or restart of a nuclear or hazardous identify a startup or restart of a nuclear or hazardous non-nuclear facility. non-nuclear facility.

– Issued annually with a one year projection of Issued annually with a one year projection of expected readiness reviewsexpected readiness reviews

– Update (addendum) issued prior to commencement of Update (addendum) issued prior to commencement of the Contractor Readiness Reviewthe Contractor Readiness Review


(DOE O 425.1C)(DOE O 425.1C)

Nov 2006Nov 20066363

Plan-of-Action (POA)Plan-of-Action (POA)– The document prepared by line management which The document prepared by line management which

describes the breadth of the RR and the describes the breadth of the RR and the prerequisites which must be met to start the RR. It prerequisites which must be met to start the RR. It is the document by which line management defines is the document by which line management defines what will be evaluated by the RR. what will be evaluated by the RR.

– Both the Contractor and DOE prepare a POABoth the Contractor and DOE prepare a POA– Submitted to the authorization authority for Submitted to the authorization authority for

approval.approval.

(DOE-STD-3006-2000)(DOE-STD-3006-2000)


Nov 2006Nov 20066464

Implementation Plan (IP)Implementation Plan (IP)

– The procedural document by which the RR The procedural document by which the RR is conducted. This document implements is conducted. This document implements the scope and direction approved in the RR the scope and direction approved in the RR POA and define the depth of the reviewPOA and define the depth of the review

(DOE-STD-3006-2000)(DOE-STD-3006-2000)


Nov 2006Nov 20066565

IndependentIndependent– Independent of operation Independent of operation

being reviewedbeing reviewed– Will not review their own Will not review their own

work or work for which they work or work for which they are responsibleare responsible

– NOT from line organization NOT from line organization responsible for the operationresponsible for the operation

Fully ObjectiveFully Objective– Striving to do what is rightStriving to do what is right– May be from the line May be from the line

organization, but not organization, but not responsible for that responsible for that operation or workoperation or work

– May still work for the May still work for the Authorization AuthorityAuthorization Authority


Nov 2006Nov 20066666


SER

DSA (or equivalent)TSR, HAR, FHA,

BIO, USQ

WSSPHA

Drawings (facility, tooling, etc.)Technical Manuals

Engineering Calculation NotesContractor Safety Programs

Authorization Basis (AB)

Authorization Agreement

S/RID

EIS

ORR/RA

NESS

Defined Work Scope

Special Terms & Conditions

Environmental Permits

Site S&S PlanEmergency Preparedness Plan

Safety Basis(SB)

Nov 2006Nov 20066767

Graded ApproachGraded Approach

– Used to adjust the Used to adjust the depthdepth of detail required and magnitude of of detail required and magnitude of resources expended;resources expended;

– Based on the potential impact on safety, environmental Based on the potential impact on safety, environmental compliance, safeguards and security, and its programmatic compliance, safeguards and security, and its programmatic importance, including present and future mission;importance, including present and future mission;

– Justification required for any of the 18 minimum core Justification required for any of the 18 minimum core requirements not being reviewed for an ORR, but not a RArequirements not being reviewed for an ORR, but not a RA

(DOE-STD-3006-2000)(DOE-STD-3006-2000)


Nov 2006Nov 20066868

Definitions For ReferenceDefinitions For Reference

Nov 2006Nov 20066969

Other DefinitionsOther Definitions

Nuclear FacilityNuclear Facility – ReactorReactor - Any apparatus that is designed or used to sustain - Any apparatus that is designed or used to sustain

nuclear chain reactions in a controlled manner, including critical nuclear chain reactions in a controlled manner, including critical and pulsed assemblies, and research, test, and power reactors.and pulsed assemblies, and research, test, and power reactors.

– Nonreactor Nuclear FacilityNonreactor Nuclear Facility - Activities or operations that involve - Activities or operations that involve radioactive and/or fissionable materials in such form and quantity radioactive and/or fissionable materials in such form and quantity that a nuclear hazard potentially exists to the employees or the that a nuclear hazard potentially exists to the employees or the general public.general public.

– AcceleratorAccelerator - Device that speeds up charged particles, such as - Device that speeds up charged particles, such as electrons or protonselectrons or protons

Nov 2006Nov 20067070

Nuclear Hazard Category 1, 2, and 3Nuclear Hazard Category 1, 2, and 3

Nonnuclear Hazardous Category High, Nonnuclear Hazardous Category High, Moderate, Low, Standard IndustrialModerate, Low, Standard Industrial

Nuclear FacilityNuclear Facility

Nonnuclear Hazardous FacilityNonnuclear Hazardous Facility


Nov 2006Nov 20067171


– Facilities with potential for “significant off-site consequences.” Facilities with potential for “significant off-site consequences.” Based on total curie content, potential material forms, and Based on total curie content, potential material forms, and maximum energy for dispersion available. One class of maximum energy for dispersion available. One class of facilities which possess this hazard potential is Class A facilities which possess this hazard potential is Class A nuclear reactors. nuclear reactors.

– DOE Management Officials may designate other facilities as DOE Management Officials may designate other facilities as Category1 if it is felt that there exists the potential for Category1 if it is felt that there exists the potential for “significant off-site consequences.”“significant off-site consequences.”

(DOE-STD-1027-92)(DOE-STD-1027-92)


Nov 2006Nov 20067272


– Facilities that contain threshold quantities (TQ) of Facilities that contain threshold quantities (TQ) of radioactive materials which present the potential for radioactive materials which present the potential for “significant on-site consequences.” The TQ values for “significant on-site consequences.” The TQ values for Category 2 facilities are provided in Table A.1 of DOE-Category 2 facilities are provided in Table A.1 of DOE-STD-1027-92. STD-1027-92.

(DOE-STD-1027-92)(DOE-STD-1027-92)


Nov 2006Nov 20067373


– Largely includes laboratory operations, low level Largely includes laboratory operations, low level waste handling facilities, and research machines waste handling facilities, and research machines which possess less than the Category 2 quantities which possess less than the Category 2 quantities of material and are considered to represent a low of material and are considered to represent a low hazard. There is only the potential for “significant hazard. There is only the potential for “significant localized consequences.”localized consequences.”

(DOE-STD-1027-92)(DOE-STD-1027-92)


Nov 2006Nov 20067474

Non-Nuclear Hazardous Facility Non-Nuclear Hazardous Facility

– Buildings, utilities, structures, operations or Buildings, utilities, structures, operations or services, and related activities whose use is services, and related activities whose use is directed to a common purpose at a single directed to a common purpose at a single location that uses, stores, or otherwise has location that uses, stores, or otherwise has hazardous non-nuclear materials.hazardous non-nuclear materials.



Nov 2006Nov 20067575

Non-Nuclear Hazardous MaterialsNon-Nuclear Hazardous Materials

– A material, energy source, or operation with the A material, energy source, or operation with the potential to cause illness, injury, or death to personnel potential to cause illness, injury, or death to personnel or damage to a facility or to the environment (without or damage to a facility or to the environment (without regard to the likelihood or credibility of accident regard to the likelihood or credibility of accident scenarios or consequence mitigation).scenarios or consequence mitigation).



Nov 2006Nov 20067676

Non-Nuclear Hazardous Facilities Non-Nuclear Hazardous Facilities CategorizationCategorization

– Contractor will determine, in their Integrated Safety Contractor will determine, in their Integrated Safety Management System Description and associated Management System Description and associated Hazard Analysis (HA) the category of a hazardous Hazard Analysis (HA) the category of a hazardous non-nuclear facility. non-nuclear facility.

– Categorization must be coordinated with DOECategorization must be coordinated with DOE


Nov 2006Nov 20067777

Classification of Non-Nuclear Hazardous FacilitiesClassification of Non-Nuclear Hazardous Facilities

– High Hazard:High Hazard: Potential for onsite or offsite impacts to large Potential for onsite or offsite impacts to large numbers of persons or major impacts to the environment.numbers of persons or major impacts to the environment.

– Moderate Hazard:Moderate Hazard: Considerable potential for onsite impacts Considerable potential for onsite impacts to people or the environment, but at most, only minor offsite to people or the environment, but at most, only minor offsite impacts.impacts.

– Low Hazard:Low Hazard: Minor onsite and negligible offsite impacts to Minor onsite and negligible offsite impacts to people or the environment. people or the environment.


Nov 2006Nov 20067878


Authorization Basis Authorization Basis

– Combination of information relating to the control of hazards at a Combination of information relating to the control of hazards at a nuclear facility (including design, engineering analyses, and nuclear facility (including design, engineering analyses, and administrative controls) upon which DOE depends for its administrative controls) upon which DOE depends for its conclusion that activities at the facility can be conducted safely.conclusion that activities at the facility can be conducted safely.

Nov 2006Nov 20067979


The Authorization Basis is described in documents such as:The Authorization Basis is described in documents such as:

Facility DSA/SERs/SARs/BIOs/HAR/TSRs, other safety Facility DSA/SERs/SARs/BIOs/HAR/TSRs, other safety analyses documents;analyses documents;

Facility-specific implementing mechanisms to comply w/ Facility-specific implementing mechanisms to comply w/ DOE Orders, policies, or other contract provisions DOE Orders, policies, or other contract provisions (infrastructure program);(infrastructure program);

Permits . . . Permits . . .

Nov 2006Nov 20068080


Safety BasisSafety Basis

– Combination of information relating to the control of Combination of information relating to the control of hazards at a nuclear facility (including design, hazards at a nuclear facility (including design, engineering analysis, and administrative controls) engineering analysis, and administrative controls) upon which DOE depends for its conclusion that upon which DOE depends for its conclusion that activities at the facility can be conducted safely.activities at the facility can be conducted safely.

Nov 2006Nov 20068181


Documented Safety Analysis Report Documented Safety Analysis Report (DSA)(DSA)

– Documents the adequacy of safety Documents the adequacy of safety the analysis for a nuclear facilitythe analysis for a nuclear facility

Nov 2006Nov 20068282


Safety Evaluation Report (SER)Safety Evaluation Report (SER)

– A documented review of a SAR which may impose A documented review of a SAR which may impose conditions of approval, which might include conditions of approval, which might include constraints on TSRs, or alterations to other constraints on TSRs, or alterations to other commitmentscommitments

Nov 2006Nov 20068383


Technical Safety Requirement (TSR)Technical Safety Requirement (TSR)

– A document that defines the safety A document that defines the safety boundaries and management or boundaries and management or administration controls administration controls

Nov 2006Nov 20068484


Hazard Analysis Report (HAR)Hazard Analysis Report (HAR)

– The HAR documents the HA required of a The HAR documents the HA required of a Nuclear Explosives Operation and Nuclear Explosives Operation and associated activitiesassociated activities

Nov 2006Nov 20068585


Justification for Continued Operations (JCO)Justification for Continued Operations (JCO)

– Documents that procedures and policies are in place Documents that procedures and policies are in place that will ensure safe operations until a SAR can be that will ensure safe operations until a SAR can be finalizedfinalized

Nov 2006Nov 20068686


Basis for Interim Operation (BIO)Basis for Interim Operation (BIO)

– A document which establishes interim safety A document which establishes interim safety basis until SAR and TSRs are developed and basis until SAR and TSRs are developed and approvedapproved

Nov 2006Nov 20068787


Unreviewed Safety Question (USQ)Unreviewed Safety Question (USQ)

– Allows for making physical and procedural Allows for making physical and procedural changes and continue to operate without DOE changes and continue to operate without DOE approval as long as Safety Basis is not affectedapproval as long as Safety Basis is not affected

Nov 2006Nov 20068888

Abbreviations and Acronyms Abbreviations and Acronyms

AA Authorization AgreementAA Authorization AgreementAB Authorization BasisAB Authorization BasisASA Audited Safety AnalysisASA Audited Safety AnalysisCORR Contractor Operational Readiness ReviewCORR Contractor Operational Readiness ReviewCR Core RequirementCR Core RequirementCRAD Criteria and Review Approach DocumentCRAD Criteria and Review Approach DocumentDSA Documented Safety AnalysisDSA Documented Safety AnalysisIP Implementation PlanIP Implementation PlanJCO Justification for Continued OperationsJCO Justification for Continued OperationsMSA Management Self AssessmentMSA Management Self AssessmentOSR Operational Safety Requirements (TSR)OSR Operational Safety Requirements (TSR)

Nov 2006Nov 20068989

Abbreviations and Acronyms (cont)Abbreviations and Acronyms (cont)

ORR Operational Readiness ReviewORR Operational Readiness ReviewPOA Plan of ActionPOA Plan of ActionRA Readiness AssessmentRA Readiness AssessmentSAR Safety Analysis Report (DSA)SAR Safety Analysis Report (DSA)SER Safety Evaluation ReportSER Safety Evaluation ReportSNR Startup Notification ReportSNR Startup Notification ReportS/RID Standards/Requirements identification DocS/RID Standards/Requirements identification DocSSC Structures, Systems, and ComponentsSSC Structures, Systems, and ComponentsTSR Technical Safety RequirementsTSR Technical Safety RequirementsWSS Work Smart StandardsWSS Work Smart Standards

Nov 2006Nov 20069090

QuestionsQuestions

Readiness Review Course November 2006. Nov 20062 Readiness Review Course Introduction – Mod 1.

Documents

safety of doe

restart of nuclear facilities

use of doe

doe orrra course

restart of facilities

readiness of facility

readiness determinations

safety reasons