Header:
CODE OF FEDERAL REGULATIONS
TITLE 10 -- ENERGY
CHAPTER III -- DEPARTMENT OF ENERGY
PART 830 -- NUCLEAR SAFETY MANAGEMENT
SUBPART B -- SAFETY BASIS REQUIREMENTS
Date:
02/28/2013
Document:
Appendix A to Subpart B to Part 830 -- General Statement of Safety Basis Policy
A. Introduction
This appendix describes DOE's expectations for the safety basis requirements of 10 CFR Part 830, acceptable methods for implementing these requirements, and criteria DOE will use to evaluate compliance with these requirements. This Appendix does not create any new requirements and should be used consistently with DOE Policy 450.2A, "Identifying, Implementing and Complying with Environment, Safety and Health Requirements" (May 15, 1996).
B. Purpose
1. The safety basis requirements of Part 830 require the contractor responsible for a DOE nuclear facility to analyze the facility, the work to be performed, and the associated hazards and to identify the conditions, safe boundaries, and hazard controls necessary to protect workers, the public and the environment from adverse consequences. These analyses and hazard controls constitute the safety basis upon which the contractor and DOE rely to conclude that the facility can be operated safely. Performing work consistent with the safety basis provides reasonable assurance of adequate protection of workers, the public, and the environment.
2. The safety basis requirements are intended to further the objective of making safety an integral part of how work is performed throughout the DOE complex. Developing a thorough understanding of a nuclear facility, the work to be performed, the associated hazards and the needed hazard controls is essential to integrating safety into management and work at all levels. Performing work in accordance with the safety basis for a nuclear facility is the realization of that objective.
C. Scope
1. A contractor must establish and maintain a safety basis for a hazard category 1, 2, or 3 DOE nuclear facility because these facilities have the potential for significant radiological consequences. DOE-STD-1027-92 ("Hazard Categorization and Accident Analysis Techniques for compliance with DOE Order 5480.23, Nuclear Safety Analysis Reports," Change Notice 1, September 1997) sets forth the methodology for categorizing a DOE nuclear facility (see Table 1). The hazard categorization must be based on an inventory of all radioactive materials within a nuclear facility.
2. Unlike the quality assurance requirements of Part 830 that apply to all DOE nuclear facilities (including radiological facilities), the safety basis requirements only apply to hazard category 1, 2, and 3 nuclear facilities and do not apply to nuclear facilities below hazard category 3.
Table 1
A DOE nuclear facility Has the potential for * * *
categorized as * * *
Hazard category 1 Significant off-site consequences.
Hazard category 2 Significant on-site consequences beyond
localized consequences.
Hazard category 3 Only local significant consequences.
Below category 3 Only consequences less than those that
provide a basis for categorization as a
hazard category 1, 2, or 3 nuclear
facility.
D. Integrated Safety Management
1. The safety basis requirements are consistent with integrated safety management. DOE expects that, if a contractor complies with the Department of Energy Acquisition Regulation (DEAR) clause on integration of environment, safety, and health into work planning and execution (48 CFR 970.5223-1, Integration of Environment, Safety and Health into Work Planning and Execution) and the DEAR clause on laws, regulations, and DOE directives (48 CFR 970.5204-2, Laws, Regulations and DOE Directives), the contractor will have established the foundation to meet the safety basis requirements.
2. The processes embedded in a safety management system should lead to a contractor establishing adequate safety bases and safety management programs that will meet the safety basis requirements of this Subpart. Consequently, the DOE expects if a contractor has adequately implemented integrated safety management, few additional requirements will stem from this Subpart and, in such cases, the existing safety basis prepared in accordance with integrated safety management provisions, including existing DOE safety requirements in contracts, should meet the requirements of this Subpart.
3. DOE does not expect there to be any conflict between contractual requirements and regulatory requirements. In fact, DOE expects that contract provisions will be used to provide more detail on implementation of safety basis requirements such as preparing a documented safety analysis, developing technical safety requirements, and implementing a USQ process.
E. Enforcement of Safety Basis Requirements
1. Enforcement of the safety basis requirements will be performance oriented. That is, DOE will focus its enforcement efforts on whether a contractor operates a nuclear facility consistent with the safety basis for the facility and, in particular, whether work is performed in accordance with the safety basis.
2. As part of the approval process, DOE will review the content and quality of the safety basis documentation. DOE intends to use the approval process to assess the adequacy of a safety basis developed by a contractor to ensure that workers, the public, and the environment are provided reasonable assurance of adequate protection from identified hazards. Once approved by DOE, the safety basis documentation will not be subject to regulatory enforcement actions unless DOE determines that the information which supports the documentation is not complete and accurate in all material respects, as required by 10 CFR 820.11. This is consistent with the DOE enforcement provisions and policy in 10 CFR Part 820.
3. DOE does not intend the adoption of the safety basis requirements to affect the existing quality assurance requirements or the existing obligation of contractors to comply with the quality assurance requirements. In particular, in conjunction with the adoption of the safety basis requirements, DOE revised the language in 10 CFR 830.122(e)(1) to make clear that hazard controls are part of the work processes to which a contractor and other persons must adhere when performing work. This obligation to perform work consistent with hazard controls adopted to meet regulatory or contract requirements existed prior to the adoption of the safety basis requirements and is both consistent with and independent of the safety basis requirements.
4. A documented safety analysis must address all hazards (that is, both radiological and nonradiological hazards) and the controls necessary to provide adequate protection to the public, workers, and the environment from these hazards. Section 234A of the Atomic Energy Act, however, only authorizes DOE to issue civil penalties for violations of requirements related to nuclear safety. Therefore, DOE will impose civil penalties for violations of the safety basis requirements (including hazard controls) only if they are related to nuclear safety.
F. Documented Safety Analysis
1. A documented safety analysis must demonstrate the extent to which a nuclear facility can be operated safely with respect to workers, the public, and the environment.
2. DOE expects a contractor to use a graded approach to develop a documented safety analysis and describe how the graded approach was applied. The level of detail, analysis, and documentation will reflect the complexity and hazard associated with a particular facility. Thus, the documented safety analysis for a simple, low hazard facility may be relatively short and qualitative in nature, while the documented safety analysis for a complex, high hazard facility may be quite elaborate and more quantitative. DOE will work with its contractors to ensure a documented safety analysis is appropriate for the facility for which it is being developed.
3. Because DOE has ultimate responsibility for the safety of its facilities, DOE will review each documented safety analysis to determine whether the rigor and detail of the documented safety analysis are appropriate for the complexity and hazards expected at the nuclear facility. In particular, DOE will evaluate the documented safety analysis by considering the extent to which the documented safety analysis (1) satisfies the provisions of the methodology used to prepare the documented safety analysis and (2) adequately addresses the criteria set forth in 10 CFR 830.204(b). DOE will prepare a Safety Evaluation Report to document the results of its review of the documented safety analysis. A documented safety analysis must contain any conditions or changes required by DOE.
4. In most cases, the contract will provide the framework for specifying the methodology and schedule for developing a documented safety analysis. Table 2 sets forth acceptable methodologies for preparing a documented safety analysis.
Table 2
The contractor May prepare its documented safety analyses by
responsible for * * * * * *
(1) A DOE reactor Using the method in U.S. Nuclear Regulatory
Commission Regulatory Guide 1.70, Standard
Format and Content of Safety Analysis Reports
for Nuclear Power Plants, or successor
document.
(2) A DOE nonreactor Using the method in DOE-STD-3009, Change
nuclear facility Notice No. 1, January 2000, Preparation Guide
for U.S. Department of Energy Nonreactor
Nuclear Facility Safety Analysis Reports,
July 1994, or successor document.
(3) A DOE nuclear Using the method in either:
facility with a (1) DOE-STD-3009-, Change Notice No. 1,
limited operational January 2000, or successor document, or
life (2) DOE-STD-3011-94, Guidance for Preparation
of DOE 5480.22 (TSR) and DOE 5480.23 (SAR)
Implementation Plans, November 1994, or
successor document.
(4) The deactivation Using the method in either:
or the transition (1) DOE-STD-3009, Change Notice No. 1,
surveillance and January 2000, or successor document, or
maintenance of a DOE (2) DOE-STD-3011-94 or successor document.
nuclear facility
(5) The (1) Using the method in DOE-STD-1120-98,
decommissioning of a Integration of Environment, Safety, and
DOE nuclear facility Health into Facility Disposition Activities,
May 1998, or successor document;
(2) Using the provisions in 29 CFR 1910.120
(or 29 CFR 1926.65 for construction
activities) for developing Safety and Health
Programs, Work Plans, Health and Safety
Plans, and Emergency Response Plans to
address public safety, as well as worker
safety; and
(3) Deriving hazard controls based on the
Safety and Health Programs, the Work Plans,
the Health and Safety Plans, and the
Emergency Response Plans.
(6) A DOE (1) Using the method in DOE-STD-1120-98 or
environmental successor document, and
restoration activity (2) Using the provisions in 29 CFR 1910.120
that involves either (or 29 CFR 1926.65 for construction
work not done within activities) for developing a Safety and
a permanent structure Health Program and a site-specific Health and
or the Safety Plan (including elements for Emergency
decommissioning of a Response Plans, conduct of operations,
facility with only training and qualifications, and maintenance
low-level residual management).
fixed radioactivity
(7) A DOE nuclear Developing its documented safety analysis in
explosive facility two pieces:
and the nuclear (1) A Safety Analysis Report for the nuclear
explosive operations facility that considers the generic nuclear
conducted therein explosive operations and is prepared in
accordance with DOE-STD-3009, Change Notice
No. 1, January 2000, or successor document,
and
(2) A Hazard Analysis Report for the specific
nuclear explosive operations prepared in
accordance with DOE-STD-3016-99, Hazards
Analysis Reports for Nuclear Explosive
Operations, February 1999, or successor
document.
(8) A DOE hazard Using the methods in Chapters 2, 3, 4, and 5
category 3 nonreactor of DOE-STD-3009, Change Notice No. 1, January
nuclear facility 2000, or successor document to address in a
simplified fashion:
(1) The basic description of the
facility/activity and its operations,
including safety structures, systems, and
components;
(2) A qualitative hazards analysis; and
(3) The hazard controls (consisting primarily
of inventory limits and safety management
programs) and their bases.
(9) Transportation (1) Preparing a Safety Analysis Report for
activities Packaging in accordance with DOE-O-460.1A,
Packaging and Transportation Safety, October
2, 1996, or successor document and
(2) Preparing a Transportation Safety
Document in accordance with DOE-G-460.1-1,
Implementation Guide for Use with DOE O
460.1A, Packaging and Transportation Safety,
June 5, 1997, or successor document.
(10) Transportation (1) Preparing a Safety Analysis Report for
and onsite transfer Packaging in accordance with DOE-O-461.1,
of nuclear Packaging and Transportation of Materials of
explosives, nuclear National Security Interest, September 29,
components, Navel 2000, or successor document and
nuclear fuel (2) Preparing a Transportation Safety
elements, Category I Document in accordance with DOE-M-461.1-1,
and Category II Packaging and Transfer of Materials of
special nuclear National Security Interest Manual, September
materials, special 29, 2000, or successor document.
assemblies, and other
materials of national
security
5. Table 2 refers to specific types of nuclear facilities. These references are not intended to constitute an exhaustive list of the specific types of nuclear facilities. Part 830 defines nuclear facility broadly to include all those facilities, activities, or operations that involve, or will involve, radioactive and/or fissionable materials in such form and quantity that a nuclear or a nuclear explosive hazard potentially exists to the employees or the general public, and to include any related area, structure, facility, or activity to the extent necessary to ensure proper implementation of the requirements established by Part 830. The only exceptions are those facilities specifically excluded such as accelerators. Table 3 defines the specific nuclear facilities referenced in Table 2 that are not defined in 10 CFR 830.3
Table 3
For purposes of means * * *
Table 2, * * *
(1) Deactivation The process of placing a facility in a stable and
known condition, including the removal of
hazardous and radioactive materials
(2) The removal or reduction of residual radioactive
Decontamination and hazardous materials by mechanical, chemical,
or other techniques to achieve a stated objective
or end condition
(3) Those actions taking place after deactivation of
Decommissioning a nuclear facility to retire it from service and
includes surveillance and maintenance,
decontamination, and/or dismantlement.
(4) Environmental The process by which contaminated sites and
restoration facilities are identified and characterized and
activities by which existing contamination is contained, or
removed and disposed
(5) Generic A characterization that considers the collective
nuclear explosive attributes (such as special facility system
operation requirements, physical weapon characteristics, or
quantities and chemical/physical forms of
hazardous materials) for all projected nuclear
explosive operations to be conducted at a
facility
(6) Nuclear A nuclear facility at which nuclear operations
explosive and activities involving a nuclear explosive may
facility be conducted
(7) Nuclear Any activity involving a nuclear explosive,
explosive including activities in which main-charge, high-
operation explosive parts and pits are collocated.
(8) Nuclear A nuclear facility for which there is a short
facility with a remaining operational period before ending the
limited facility's mission and initiating deactivation
operational life and decommissioning and for which there are no
intended additional missions other than cleanup
(9) Specific A specific nuclear explosive subjected to the
nuclear explosive stipulated steps of an individual operation, such
operation as assembly or disassembly
(10) Transition Activities conducted when a facility is not
surveillance and operatingor during deactivation,
maintenance decontamination, and decommissioning operations
activities when surveillance and maintenance are the
predominant activities being conducted at the
facility. These activities are necessary for
satisfactory containment of hazardous materials
and protection of workers, the public, and the
environment. These activities include providing
periodic inspections, maintenance of structures,
systems, and components, and actions to prevent
the alteration of hazardous materials to an
unsafe state
6. If construction begins after December 11, 2000, the contractor responsible for the design and construction of a new DOE nuclear facility or a major modification to an existing DOE nuclear facility must prepare a preliminary documented safety analysis. A preliminary documented safety analysis can ensure that substantial costs and time are not wasted in constructing a nuclear facility that will not be acceptable to DOE. If a contractor is required to prepare a preliminary documented safety analysis, the contractor must obtain DOE approval of the preliminary documented safety analysis prior to procuring materials or components or beginning construction. DOE, however, may authorize the contractor to perform limited procurement and construction activities without approval of a preliminary documented safety analysis if DOE determines that the activities are not detrimental to public health and safety and are in the best interests of DOE. DOE Order 420.1, Facility Safety, sets forth acceptable nuclear safety design criteria for use in preparing a preliminary documented safety analysis. As a general matter, DOE does not expect preliminary documented safety analyses to be needed for activities that do not involve significant construction such as environmental restoration activities, decontamination and decommissioning activities, specific nuclear explosive operations, or transition surveillance and maintenance activities.
G. Hazard Controls
1. Hazard controls are measures to eliminate, limit, or mitigate hazards to workers, the public, or the environment. They include (1) physical, design, structural, and engineering features; (2) safety structures, systems, and components; (3) safety management programs; (4) technical safety requirements; and (5) other controls necessary to provide adequate protection from hazards.
2. The types and specific characteristics of the safety management programs necessary for a DOE nuclear facility will be dependent on the complexity and hazards associated with the nuclear facility and the work being performed. In most cases, however, a contractor should consider safety management programs covering topics such as quality assurance, procedures, maintenance, personnel training, conduct of operations, criticality safety, emergency preparedness, fire protection, waste management, and radiation protection. In general, DOE Orders set forth DOE's expectations concerning specific topics. For example, DOE Order 420.1 provides DOE's expectations with respect to fire protection and criticality safety.
3. Safety structures, systems, and components require formal definition of minimum acceptable performance in the documented safety analysis. This is accomplished by first defining a safety function, then describing the structure, systems, and components, placing functional requirements on those portions of the structures, systems, and components required for the safety function, and identifying performance criteria that will ensure functional requirements are met. Technical safety requirements are developed to ensure the operability of the safety structures, systems, and components and define actions to be taken if a safety structure, system, or component is not operable.
4. Technical safety requirements establish limits, controls, and related actions necessary for the safe operation of a nuclear facility. The exact form and contents of technical safety requirements will depend on the circumstances of a particular nuclear facility as defined in the documented safety analysis for the nuclear facility. As appropriate, technical safety requirements may have sections on (1) safety limits, (2) operating limits, (3) surveillance requirements, (4) administrative controls, (5) use and application, and (6) design features. It may also have an appendix on the bases for the limits and requirements. DOE Guide 423.X, Implementation Guide for Use in Developing Technical Safety Requirements (TSRs) provides a complete description of what technical safety requirements should contain and how they should be developed and maintained.
5. DOE will examine and approve the technical safety requirements as part of preparing the safety evaluation report and reviewing updates to the safety basis. As with all hazard controls, technical safety requirements must be kept current and reflect changes in the facility, the work and the hazards as they are analyzed in the documented safety analysis. In addition, DOE expects a contractor to maintain technical safety requirements, and other hazard controls as appropriate, as controlled documents with an authorized users list.
6. Table 4 sets forth DOE's expectations concerning acceptable technical safety requirements.
Table 4
As appropriate Will provide information on * * *
for a particular
DOE nuclear
facility, the
section of the
technical safety
requirements
on * * *
(1) Safety limits The limits on process variables associated with
those safety class physical barriers, generally
passive, that are necessary for the intended
facility function and that are required to guard
against the uncontrolled release of radioactive
materials. The safety limit section describes, as
precisely as possible, the parameters being
limited, states the limit in measurable units
(pressure, temperature, flow, etc.), and
indicates the applicability of the limit. The
safety limit section also describes the actions
to be taken in the event that the safety limit is
exceeded. These actions should first place the
facility in the safe, stable condition
attainable, including total shutdown (except
where such action might reduce the margin of
safety) or should verify that the facility
already is safe and stable and will remain so.
The technical safety requirement should state
that the contractor must obtain DOE authorization
to restart the nuclear facility following a
violation of a safety limit. The safety limit
section also establishes the steps and time
limits to correct the out-of-specification
condition.
(2) Operating Those limits which are required to ensure the
limits safe operation of a nuclear facility. The
operating limits section may include subsections
on limiting control settings and limiting
conditions for operation.
(3) Limiting The settings on safety systems that control
control settings process variables to prevent exceeding a safety
limit. The limited control settings section
normally contains the settings for automatic
alarms and for the automatic or nonautomatic
initiation of protective actions related to those
variables associated with the function of safety
class structures, systems, or components if the
safety analysis shows that they are relied upon
to mitigate or prevent an accident. The limited
control settings section also identifies the
protective actions to be taken at the specific
settings chosen in order to correct a situation
automatically or manually such that the related
safety limit is not exceeded. Protective actions
may include maintaining the variables within the
requirements and repairing the automatic device
promptly or shutting down the affected part of
the process and, if required, the entire
facility.
(4) Limiting The limits that represent the lowest functional
conditions for capability or performance level of safety
operations structures, systems, and components required to
perform an activity safely. The limiting
conditions for operation section describes, as
precisely as possible, the lowest functional
capability or performance level of equipment
required for continued safe operation of the
facility. The limiting conditions for operation
section also states the action to be taken to
address a condition not meeting the limiting
conditions for operation section. Normally this
simply provides for the adverse condition being
corrected in a certain time frame and for further
action if this is impossible.
(5) Surveillance Requirements relating to test, calibration, or
requirements inspection to assure that the necessary
operability and quality of safety structures,
systems, and components is maintained; that
facility operation is within safety limits; and
that limiting control settings and limiting
conditions for operation are met. If a required
surveillance is not successfully completed, the
contractor is expected to assume the systems or
components involved are inoperable and take the
actions defined by the technical safety
requirement until the systems or components can
be shown to be operable. If, however, a required
surveillance is not performed within its required
frequency, the contractor is allowed to perform
the surveillance within 24 hours or the original
frequency, whichever is smaller, and confirm
operability.
(6) Organization and management, procedures,
Administrative recordkeeping, assessment, and reporting
controls necessary to ensure safe operation of a facility
consistent with the technical safety requirement.
In general, the administrative controls section
addresses (1) the requirements associated with
administrative controls, (including those for
reporting violations of the technical safety
requirement); (2) the staffing requirements for
facility positions important to safe conduct of
the facility; and (3) the commitments to the
safety management programs identified in the
documented safety analysis as necessary
components of the safety basis for the facility.
(7) Use and The basic instructions for applying the safety
application restrictions contained in a technical safety
provisions requirement. The use and application section
includes definitions of terms, operating modes,
logical connectors, completion times, and
frequency notations.
(8) Design Design features of the facility that, if altered
features or modified, would have a significant effect on
safe operation.
(9) Bases The reasons for the safety limits, operating
appendix limits, and associated surveillance requirements
in the technical safety requirements. The
statements for each limit or requirement shows
how the numeric value, the condition, or the
surveillance fulfills the purpose derived from
the safety documentation. The primary purpose for
describing the basis of each limit or requirement
is to ensure that any future changes to the limit
or requirement is done with full knowledge of the
original intent or purpose of the limit or
requirement.
H. Unreviewed Safety Questions
1. The USQ process is an important tool to evaluate whether changes affect the safety basis. A contractor must use the USQ process to ensure that the safety basis for a DOE nuclear facility is not undermined by changes in the facility, the work performed, the associated hazards, or other factors that support the adequacy of the safety basis.
2. The USQ process permits a contractor to make physical and procedural changes to a nuclear facility and to conduct tests and experiments without prior approval, provided these changes do not cause a USQ. The USQ process provides a contractor with the flexibility needed to conduct day-to-day operations by requiring only those changes and tests with a potential to impact the safety basis (and therefore the safety of the nuclear facility) be approved by DOE. This allows DOE to focus its review on those changes significant to safety. The USQ process helps keep the safety basis current by ensuring appropriate review of and response to situations that might adversely affect the safety basis.
3. DOE Guide 424.X, Implementation Guide for Addressing Unreviewed Safety Question (USQ) Requirements, provides DOE's expectations for a USQ process. The contractor must obtain DOE approval of its procedure used to implement the USQ process.
I. Functions and Responsibilities
1. The DOE Management Official for a DOE nuclear facility (that is, the Assistant Secretary, the Assistant Administrator, or the Office Director who is primarily responsible for the management of the facility) has primary responsibility within DOE for ensuring that the safety basis for the facility is adequate and complies with the safety basis requirements of Part 830. The DOE Management Official is responsible for ensuring the timely and proper (1) review of all safety basis documents submitted to DOE and (2) preparation of a safety evaluation report concerning the safety basis for a facility.
2. DOE will maintain a public list on the internet that provides the status of the safety basis for each hazard category 1, 2, or 3 DOE nuclear facility and, to the extent practicable, provides information on how to obtain a copy of the safety basis and related documents for a facility.
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