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  1. Readiness Review Course November 2006

  2. Readiness ReviewCourse Introduction – Mod 1 Nov 2006

  3. Learning Objectives • Understanding the definition and purpose of a Readiness Review; • Understanding the differences between an Operational Readiness Review and a Readiness Assessment; • Knowledge of current DOE Orders, Directives, and References for the Readiness Review process; • Knowledge of general terms used in the Readiness Review Process. Nov 2006

  4. Definition of a Readiness Review A disciplined, systematic, documented, performance-based review of: Safety Management Programs (e.g., Emergency Management, Safety Analysis, Conduct of Operations, Integrated Safety Management, Quality Assurance, Industrial Hyg and Safety, Waste Management, etc.) Equipment and Systems Facilities Procedures Personnel Nov 2006

  5. Purpose of a RR • Ensure readiness of facility and personnel to start the facility within the bounds of acceptable risk defined by: • The Safety Basis/Authorization Agreement; • Applicable ES&H regulations. • Ensure the facility/activity has adequate Safety Management Programs implemented and sufficient controls in place to start and continue operations within those bounds. Nov 2006

  6. RR Historical Summary • 9-23-86, DOE 5480.6, Safety of DOE-owned Nuclear Reactors; • 3-3-90, DNFSB 90-4, Rocky Flats Restart; • 11-12-91, SEN-16B-91, Approval for Restart of Facilities Shutdown for Safety Reasons and for Startup of Major New Facilities; • 2-26-92, NE-1 Procedure for Restart of Reactor & Non-reactor Nuclear Facilities; • 8-26-92, DNFSB 92-6, Order/Standard Development; • 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; • 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; • 10-00, DOE ORR/RA Course created, developed, conducted as needed/as requested ; • 6-15-00, DOE-STD-3006-00 (series); • 3-13-03, 425.1C (series); • 12-15-03, DOE 3012-2003 (series). Nov 2006

  7. Orders and Directives Cont. DOE O 425.1C, Startup and Restart of Nuclear Facilities • For Startup and Restart of Hazard Category 1, 2, and 3 Nuclear Facilities • Delineates whether an Operational Readiness Review (ORR) or a Readiness Assessment (RA) is required • Delineates the Authorization Authority • Defines the 18 Minimum Core Requirements • References the use of DOE-STD-3006-2000 Nov 2006

  8. Orders and Directives Cont. DOE-STD-3006-2000, Planning and Conduct of Operational Readiness Reviews • Provides guidance regarding the implementation of DOE O 425.1C; • Provides for a consistent approach in planning and performing a readiness review; • Provides templates and sample documents which can be used in organizing and performing a readiness review; • Can be used as guidance in the development of Site Office procedures. Nov 2006

  9. Orders and Directives Cont. DOE-HDBK-3012-2003, Team Leader's Preparation Guide for Operational Readiness Reviews(ORR) • Provides guidance to the Team Leader on how to plan, manage, perform, and document a RR; • Defines the Team Leader, Team Members, and Administrators roles and responsibilities; • Provides templates and forms to assist in developing RR Nov 2006

  10. Operational Readiness Review and Readiness Assessment 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 Nov 2006

  11. Operational Readiness Review A readiness review required for: • Startup of new hazard categories 1, 2, and 3 nuclear facilities • Restart of hazard categories 1 and 2 nuclear facilities • Whenever deemed appropriate by DOE Management Officials for any nuclear facility Nov 2006

  12. Readiness Assessment A readiness review required for: • Restart of nuclear facilities not requiring an ORR, as defined in DOE O 425.1C • Graded approach to application of the 18 minimum core requirements Nov 2006

  13. Exemption Process DOE-STD-3006-2000, Ch 4.6 & 5.11 references DOE O and M 251.1-1, Ch X which describes: • General Provisions; • Exemption Approval Process (Approval Authority, CSO, OPI, EH, NNSA CTS); • Exemption Request (Information needed); and • Approval Criteria. Nov 2006

  14. Definitions Nov 2006

  15. Definitions Readiness-to-Proceed Memorandum • A formal document from the Contractor to the Authorization Authority stating that the facility has been brought to a state of readiness to start operations (DOE-STD-3006-2000) Nov 2006

  16. Definitions (cont) Authorization Authority • DOE Management Official that will approve the startup or restart of a facility • Specified by the type of readiness review (ORR or RA) and the category of the facility (DOE O 425.1C) Nov 2006

  17. Definitions (cont) Startup/Restart Notification Report (SNR) • A report issued by the responsible contractor to identify a startup or restart of a nuclear or hazardous non-nuclear facility. • Issued annually with a one year projection of expected readiness reviews • Update (addendum) issued prior to commencement of the Contractor Readiness Review Nov 2006

  18. Definitions (cont) Plan-of-Action (POA) • The document prepared by line management which describes the breadth of the RR and the prerequisites which must be met to start the RR. It is the document by which line management defines what will be evaluated by the RR. • Both the Contractor and DOE prepare a POA • Submitted to the authorization authority for approval. (DOE-STD-3006-2000) Nov 2006

  19. Definitions (cont) Implementation Plan (IP) • The procedural document by which the RR is conducted. This document implements the scope and direction approved in the RR POA and define the depth of the review (DOE-STD-3006-2000) Nov 2006

  20. Independent Independent of operation being reviewed Will not review their own work or work for which they are responsible NOT from line organization responsible for the operation Fully Objective Striving to do what is right May be from the line organization, but not responsible for that operation or work May still work for the Authorization Authority Definitions (cont) Nov 2006

  21. Authorization Agreement Authorization Basis (AB) S/RID EIS SER Safety Basis (SB) ORR/RA DSA (or equivalent) TSR, HAR, FHA, BIO, USQ NESS Defined Work Scope Special Terms & Conditions WSS PHA Environmental Permits Drawings (facility, tooling, etc.) Technical Manuals Engineering Calculation Notes Contractor Safety Programs Site S&S Plan Emergency Preparedness Plan Definitions (cont) Nov 2006

  22. Definitions (cont) Graded Approach • Used to adjust the depth of detail required and magnitude of resources expended; • Based on the potential impact on safety, environmental compliance, safeguards and security, and its programmatic importance, including present and future mission; • Justification required for any of the 18 minimum core requirements not being reviewed for an ORR, but not a RA (DOE-STD-3006-2000) Nov 2006

  23. Definitions For Reference Nov 2006

  24. Other Definitions • Nuclear Facility • Reactor - Any apparatus that is designed or used to sustain nuclear chain reactions in a controlled manner, including critical and pulsed assemblies, and research, test, and power reactors. • Nonreactor Nuclear Facility - Activities or operations that involve radioactive and/or fissionable materials in such form and quantity that a nuclear hazard potentially exists to the employees or the general public. • Accelerator - Device that speeds up charged particles, such as electrons or protons Nov 2006

  25. Other Definitions (cont) • Nuclear Hazard Category 1, 2, and 3 • Nonnuclear Hazardous Category High, Moderate, Low, Standard Industrial • Nuclear Facility • Nonnuclear Hazardous Facility Nov 2006

  26. Other Definitions (cont) Nuclear Hazard Category 1 Facilities • Facilities with potential for “significant off-site consequences.” Based on total curie content, potential material forms, and maximum energy for dispersion available. One class of facilities which possess this hazard potential is Class A nuclear reactors. • DOE Management Officials may designate other facilities as Category1 if it is felt that there exists the potential for “significant off-site consequences.” (DOE-STD-1027-92) Nov 2006

  27. Other Definitions (cont) Nuclear Hazard Category 2 Facilities • Facilities that contain threshold quantities (TQ) of radioactive materials which present the potential for “significant on-site consequences.” The TQ values for Category 2 facilities are provided in Table A.1 of DOE-STD-1027-92. (DOE-STD-1027-92) Nov 2006

  28. Other Definitions (cont) Nuclear Hazard Category 3 Facilities • Largely includes laboratory operations, low level waste handling facilities, and research machines which possess less than the Category 2 quantities of material and are considered to represent a low hazard. There is only the potential for “significant localized consequences.” (DOE-STD-1027-92) Nov 2006

  29. Other Definitions (cont) Non-Nuclear Hazardous Facility • Buildings, utilities, structures, operations or services, and related activities whose use is directed to a common purpose at a single location that uses, stores, or otherwise has hazardous non-nuclear materials. (DOE G 450.4-1A, Integrated Safety Management System Guide) Nov 2006

  30. Other Definitions (cont) Non-Nuclear Hazardous Materials • A material, energy source, or operation with the potential to cause illness, injury, or death to personnel or damage to a facility or to the environment (without regard to the likelihood or credibility of accident scenarios or consequence mitigation). (DOE G 450.4-1A, Integrated Safety Management System Guide) Nov 2006

  31. Other Definitions (cont) Non-Nuclear Hazardous Facilities Categorization • Contractor will determine, in their Integrated Safety Management System Description and associated Hazard Analysis (HA) the category of a hazardous non-nuclear facility. • Categorization must be coordinated with DOE Nov 2006

  32. Other Definitions (cont) Classification of Non-Nuclear Hazardous Facilities • High Hazard: Potential for onsite or offsite impacts to large numbers of persons or major impacts to the environment. • Moderate Hazard: Considerable potential for onsite impacts to people or the environment, but at most, only minor offsite impacts. • Low Hazard: Minor onsite and negligible offsite impacts to people or the environment. Nov 2006

  33. Other Definitions (cont) Authorization Basis • Combination of information relating to the control of hazards at a nuclear facility (including design, engineering analyses, and administrative controls) upon which DOE depends for its conclusion that activities at the facility can be conducted safely. Nov 2006

  34. Other Definitions (cont) The Authorization Basis is described in documents such as: • Facility DSA/SERs/SARs/BIOs/HAR/TSRs, other safety analyses documents; • Facility-specific implementing mechanisms to comply w/ DOE Orders, policies, or other contract provisions (infrastructure program); • Permits . . . Nov 2006

  35. Other Definitions (cont) Safety Basis • Combination of information relating to the control of hazards at a nuclear facility (including design, engineering analysis, and administrative controls) upon which DOE depends for its conclusion that activities at the facility can be conducted safely. Nov 2006

  36. Other Definitions (cont) Documented Safety Analysis Report (DSA) • Documents the adequacy of safety the analysis for a nuclear facility Nov 2006

  37. Other Definitions (cont) Safety Evaluation Report (SER) • A documented review of a SAR which may impose conditions of approval, which might include constraints on TSRs, or alterations to other commitments Nov 2006

  38. Other Definitions (cont) Technical Safety Requirement (TSR) • A document that defines the safety boundaries and management or administration controls Nov 2006

  39. Other Definitions (cont) Hazard Analysis Report (HAR) • The HAR documents the HA required of a Nuclear Explosives Operation and associated activities Nov 2006

  40. Other Definitions (cont) Justification for Continued Operations (JCO) • Documents that procedures and policies are in place that will ensure safe operations until a SAR can be finalized Nov 2006

  41. Other Definitions (cont) Basis for Interim Operation (BIO) • A document which establishes interim safety basis until SAR and TSRs are developed and approved Nov 2006

  42. Other Definitions (cont) Unreviewed Safety Question (USQ) • Allows for making physical and procedural changes and continue to operate without DOE approval as long as Safety Basis is not affected Nov 2006

  43. Abbreviations and Acronyms • AA Authorization Agreement • AB Authorization Basis • ASA Audited Safety Analysis • CORR Contractor Operational Readiness Review • CR Core Requirement • CRAD Criteria and Review Approach Document • DSA Documented Safety Analysis • IP Implementation Plan • JCO Justification for Continued Operations • MSA Management Self Assessment • OSR Operational Safety Requirements (TSR) Nov 2006

  44. Abbreviations and Acronyms (cont) • ORR Operational Readiness Review • POA Plan of Action • RA Readiness Assessment • SAR Safety Analysis Report (DSA) • SER Safety Evaluation Report • SNR Startup Notification Report • S/RID Standards/Requirements identification Doc • SSC Structures, Systems, and Components • TSR Technical Safety Requirements • WSS Work Smart Standards Nov 2006

  45. Questions Nov 2006

  46. Readiness Review Course November 2006

  47. Readiness ReviewCourse Introduction – Mod 1 Nov 2006

  48. Learning Objectives • Understanding the definition and purpose of a Readiness Review; • Understanding the differences between an Operational Readiness Review and a Readiness Assessment; • Knowledge of current DOE Orders, Directives, and References for the Readiness Review process; • Knowledge of general terms used in the Readiness Review Process. Nov 2006

  49. Definition of a Readiness Review A disciplined, systematic, documented, performance-based review of: Safety Management Programs (e.g., Emergency Management, Safety Analysis, Conduct of Operations, Integrated Safety Management, Quality Assurance, Industrial Hyg and Safety, Waste Management, etc.) Equipment and Systems Facilities Procedures Personnel Nov 2006

  50. Purpose of a RR • Ensure readiness of facility and personnel to start the facility within the bounds of acceptable risk defined by: • The Safety Basis/Authorization Agreement; • Applicable ES&H regulations. • Ensure the facility/activity has adequate Safety Management Programs implemented and sufficient controls in place to start and continue operations within those bounds. Nov 2006