Facility Safety Authorization

Management System: Environment, Safety, and Health

Subject Area: Facility Safety Authorization

Point of Contact:	KARL MORO
Management System Owner:	PATRICK SMITH
Secondary Management System Owner:	KARL MORO

SCMS Home Page | Revision History | Subject Area Definitions

Issue Date: 09/11/2012
SCMS Revision: 4.0

1.0 Introductions

This subject area (SA) outlines the process for reviewing and obtaining approval of safety documentation pursuant to 10 CFR 830, Subpart B, Safety Basis Requirements for nuclear facilities and DOE O 420.2C, Safety of Accelerator Facilities, for accelerator facilities. Additionally, the SA delineates the roles, responsibilities and authorities for startup, restart, and oversight of nuclear and accelerator facilities.

2.0 Contents

Detailed procedures containing guidance for the U.S. Department of Energy’s (DOE’s) review and approval of facility safety documentation and DOE’s involvement, authorization, and oversight of the startup, restart, and operation of nuclear and accelerator facilities are summarized below:

Procedures	Procedure Content
1. Reviewing and Approving Nuclear Facility Safety Basis Documentation	Provides the methodology for review and approval of safety basis documentation [e.g. Documented Safety Analyses (DSAs), Technical Safety Requirements (TSRs), Justification for Continued Operations (JCOs), TSR amendments, Unreviewed Safety Question (USQ) Change Packages] for new or existing Hazard Category 1, 2, and 3 nuclear facilities.
2. Reviewing and Approving Safety Documents for Nuclear Facilities Downgraded Below Hazard Category 3 Threshold Quantities by Analysis	Provides the methodology for the review and approval of safety documentation [e.g. Final Hazard Categorization Document (FHCD), Hazard Analysis Document (HAD)] for nuclear facilities downgraded to below Hazard Category 3 by analysis. Provides the methodology for the review and approval of safety documentation [e.g. Auditable Safety Analysis (ASA)] for radiological facilities (by inventory alone) in which SC Site Office withdrew contractor's authorization to approve its safety documents.
3. Reviewing and Approving Contractor's Unreviewed Safety Question (USQ) Process and Processing Potential Inadequacies of the Document Safety Analysis (PISA)	Provides the methodology for the review and approval of the contractor's new or revised procedure for its USQ process. Provides the methodology for evaluating the contractor's annual summary of USQ Determinations. Provides the methodology for processing the notifications of PISAs, evaluating Evaluation of the Safety of the Situation (ESS), and approving actions by the contractor to remove any operational restrictions.
4. Reviewing and Approving Transportation Safety Documents for Greater than Hazard Category 3 Threshold Quantities	Provides the methodology for the review and approval of Hazard Category 2 and 3 nuclear safety basis documentation [e.g., Transportation Safety Documents (TSDs) and USQ Change Packages] for onsite transportation activities meeting Hazard Category 2 and 3 nuclear facilities criteria.
5. Verifying Readiness for Startup and Restart of Nuclear Facilities	Provides the methods and general components for verifying readiness of the startup and restart of Hazard Category 1, 2 and 3 nuclear facilities.
6. Evaluating and Approving Startup Notification Reports (SNRs)	Provides the methodology for the review and approval of SNRs for startup and restart of Hazard Category 1, 2, and 3 nuclear facilities.
7. Evaluating and Conducting Readiness Assessments (RAs)	Provides the methodology for overseeing and participating in RAs for startup/restart of Hazard Category 1, 2, and 3 nuclear facilities:
8. Evaluating and Conducting Operational Readiness Reviews (ORRs)	Provides the methodology for overseeing and participating in ORRs for startup/restart of Hazard Category 1, 2, and 3 nuclear facilities:
9. Verifying and Maintaining Authorization Agreements	Provides methodology for the development, approval, oversight, and maintenance of Authorization Agreements for Hazard Category 1 and 2 nuclear facilities and other high hazard facilities.
10. Reviewing and Approving Accelerator Safety Documentation	Provides the methodology for the review and approval of accelerator safety documents (including Safety Assessment Documents (SADs), Accelerator Safety Envelopes (ASEs), Unreviewed Safety Issue (USI) Change Packages, etc.) and their revisions/addendums for: New or existing accelerator facilities and modules that have the potential for more than minor onsite or more than negligible offsite impacts, New or existing accelerator facilities and modules that do not have the potential for more than minor onsite or more than negligible offsite impacts, or New or existing small non-complex facilities and modules with the potential for only local work area impacts.
11. Startup and Operations of Accelerator Facilities	Provides the methodology for overseeing the accelerator readiness review (ARR) and obtaining the approval of accelerator commissioning and startup or resumption of routine operations or when changes in operations warrant. Provides the methodology for obtaining the approval of the restart of accelerator operations after shutdown of accelerator for safety reasons (e.g. USI, ASE violation, or other safety concern). Provides the oversight responsibilities for accelerator facility operations. Provides the methodology for the review and approval of accelerator exemption requests.
12. Facilitating Office of Science (SC) Delegations of Nuclear Safety	Provides the methodology for designating, verifying, and delegating the Approval Authority for nuclear safety basis documentation. Provides the methodology for conducting delegation self-assessments.

3.0 Exhibits/Forms

Criteria for Office of Science (SC) Expert Unreviewed Safety Question (USQ) Process Implementation

Documenting the Unreviewed Safety Question (USQ) Process

DOE Oversight Responsibilities for Operational Requirements of Accelerator Facilities

Example of Readiness Assessment Checklist

Facility Safety Authorization Roles and Responsibilities

Format and Content of Authorization Agreements

Unreviewed Safety Question (USQ) Procedure Requirements Checklist

4.0 Related Information

10 CFR 820, Procedural Rules for DOE Nuclear Activities
10 CFR 835, Occupational Radiation Protection
49 CFR 173, Subpart I, Class 7 (Radioactive) Materials
Chief of Nuclear Safety (CNS) Standard Operating Procedure, SOP‑005, Site Interaction and Assessment Review Process, dated 08/30/2007
DOE P 226.1B, Department of Energy Oversight Policy
DOE O 231.1B, Environment, Safety and Health Reporting
DOE O 251.1C, Departmental Directives Program
DOE P 420.1, Department of Energy Nuclear Safety Policy
DOE G 420.2‑1, Accelerator Facility Safety Implementation Guide for DOE O 420.2C, Safety of Accelerator Facilities
DOE G 421.1‑2A, Implementation Guide for Use in Developing Documented Safety Analyses to Meet Subpart B of 10 CFR 830
DOE G 423.1‑1A, Implementation Guide for Use in Developing Technical Safety Requirements
DOE G 424.1-1B, Implementation Guide for Use in Addressing Unreviewed Safety Question Requirements
DOE O 450.2, Integrated Safety Management
DOE P 450.4A , Integrated Safety Management Policy
DOE G 450.4‑1C, Integrated Safety Management System Guide
DOE O 460.1C, Packaging and Transportation Safety
DOE G 460.1‑1, Implementation Guide for Use with DOE O 460.1A, "Packaging and Transportation Safety"
DOE‑STD‑1027‑92, Change Notice 1, Hazard Categorization and Accident Analysis Techniques for Compliance with DOE O 5480.23, Nuclear Safety Analysis Reports
DOE‑STD‑1104‑2009, Review and Approval of Nuclear Facility Safety Basis and Safety Design Basis Documents
DOE‑STD‑1120‑2005, Volume 1, Integration of Environment, Safety, and Health into Facility Disposition Activities, Volume 1 of 2: Documented Safety Analysis for Decommissioning and Environmental Restoration Projects
DOE‑STD‑1120‑2005, Volume 2, Integration of Environment, Safety, and Health into Facility Disposition Activities, Volume 2 of 2: Appendices
DOE‑STD‑1183‑2007, Nuclear Safety Specialist Functional Area Qualification Standard
DOE‑STD‑1186‑2004, Specific Administrative Controls
DOE‑STD‑1189‑2008, Integration Of Safety Into The Design Process
DOE‑STD‑3006‑2010, Planning and Conducting Readiness Reviews
DOE‑STD‑3009‑94, Change Notice 3, Preparation Guide for U.S. Department of Energy Nonreactor Nuclear Facility Documented Safety Analyses
DOE‑HDBK‑3010‑94, Change Notice 1, Airborne Release Fractions/Rates and Respirable Fractions for Nonreactor Nuclear Facilities
DOE‑STD‑3011‑2002, Guidance for Preparation of Basis for Interim Operation (BIO) Documents
DOE‑STD‑3012‑2003, DOE Handbook, Guide to Good Practices for Operational Readiness Reviews (ORR), Team Leader's Guide
DEAR 970.5204, Laws, Regulations, and DOE Directives (as used in DEAR Clause 970.5204‑2)
DNFSB/TECH‑19, Authorization Agreements for Defense Nuclear Facilities and Activities (Only use if need for an authorization agreement has been determined by the respective Site Office Manager)
Memorandum from George J. Malosh, Deputy Director for Field Operations, Office of Science, to W. F. Brinkman, Director, Office of Science, titled "Request for Approval of Extension of Implementation Date for DOE Order 425.1D and Approval of Related DOE Procedures," dated 06/13/2011
Nuclear Safety Technical Position (NSTP) 2002‑1, Transportation Packaging for Onsite Transfers
NSTP 2002‑2, Methodology for Final Hazard Categorization for Nuclear Facilities from Category 3 to Radiological
Office of Science (SC) Delegations Web Page

5.0 Requirements

Document Title Requirement Decision Record

10 CFR 830, Subpart B
Safety Basis Requirements
Completed

40 CFR 191
Environmental Radiation Protection Standards for Management and Disposal of Spent Nuclear Fuel, High-Level and Transuranic Radioactive Wastes
Completed

40 CFR 707
Chemical Imports and Exports
Completed

DEAR 970.5204-2
Laws, Regulations, and DOE Directives (DEC 2000) (Also Called The Laws Clause)
Completed

DOE O 410.1
Central Technical Authority Responsibilities Regarding Nuclear Safety Requirements
Completed

DOE P 420.1
Department Of Energy Nuclear Safety Policy
Completed

DOE O 420.2C
Safety of Accelerator Facilities
Completed

DOE O 425.1D
Verification of Readiness to Start Up or Restart Nuclear Facilities
Completed

DOE P 434.1
Conduct And Approval Of Select Agent And Toxin Work At Department Of Energy Sites
Completed

DOE O 450.2
Integrated Safety Management
Completed

DOE P 450.4A
Integrated Safety Management Policy
Completed

DOE O 461.1B
Packaging and Transportation for Offsite Shipment of Materials of National Security Interest
Completed

E.O. 12699
Seismic Safety Of Federal And Federally Assisted Or Regulated New Building Construction (Amended by E.O. 13286)
Completed

E.O. 12941
Seismic Safety Of Existing Federally Owned Or Leased Building
Completed

6.0 Definitions

Definitions.

This is not the online OFFICIAL SCMS COPY of this file. Before using this printed copy, verify that it is the most current version by checking the Last Major Revision and Last Minor Revision dates (at the bottom of each document) on the SCMS Web site.

This is the online OFFICIAL SCMS COPY of this file. Before using a printed copy, verify that it is the most current version by checking the Last Major Revision and Last Minor Revision dates (at the bottom of each document) on the SCMS Web site.

SCMS Home Page | Revision History | Subject Area Definitions

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Filename: /OrbitSearch/SubjArea/FSA/FSA_SA.cfm
Last Major SCMS Revision: 09/11/2012

Document	Title	Requirement Decision Record
10 CFR 830, Subpart B	Safety Basis Requirements	Completed
40 CFR 191	Environmental Radiation Protection Standards for Management and Disposal of Spent Nuclear Fuel, High-Level and Transuranic Radioactive Wastes	Completed
40 CFR 707	Chemical Imports and Exports	Completed
DEAR 970.5204-2	Laws, Regulations, and DOE Directives (DEC 2000) (Also Called The Laws Clause)	Completed
DOE O 410.1	Central Technical Authority Responsibilities Regarding Nuclear Safety Requirements	Completed
DOE P 420.1	Department Of Energy Nuclear Safety Policy	Completed
DOE O 420.2C	Safety of Accelerator Facilities	Completed
DOE O 425.1D	Verification of Readiness to Start Up or Restart Nuclear Facilities	Completed
DOE P 434.1	Conduct And Approval Of Select Agent And Toxin Work At Department Of Energy Sites	Completed
DOE O 450.2	Integrated Safety Management	Completed
DOE P 450.4A	Integrated Safety Management Policy	Completed
DOE O 461.1B	Packaging and Transportation for Offsite Shipment of Materials of National Security Interest	Completed
E.O. 12699	Seismic Safety Of Federal And Federally Assisted Or Regulated New Building Construction (Amended by E.O. 13286)	Completed
E.O. 12941	Seismic Safety Of Existing Federally Owned Or Leased Building	Completed