The SC Site Office Manager, if applicable, designates a responsible individual to lead the review of safety documentation to downgrade a nuclear facility to below Hazard Category 3 TQs by analysis or safety document for a Radiological facility in which the contractor’s Approval Authority has been withdrawn.

NOTE: Site Office procedures may designate the Review Team Leader (with Approval Authority agreement). This approved designation eliminates the need for Steps 2 and 3.

1. If an individual at Headquarters (HQ) is the Approval Authority, the SC Site Office Manager or designee prepares a memorandum recommending the appointment of the Review Team Leader for the review of safety documentation to downgrade a nuclear facility to below Hazard Category 3 TQs by analysis and submits it to the SC Deputy Director for Field Operations (SC‑3) for signature.

2. When approval authority has been delegated to an individual in the SC Site Office, the SC Site Office Approval Authority signs the memorandum designating the appointment of the Review Team Leader.

NOTE: The memorandum is normally prepared in advance of the safety basis documentation being submitted for approval.

The Approval Authority formally approves the Review Team Leader appointment and provides that information to:

• The SC Site Office Manager or designee (if an individual at HQ is the Approval Authority) or

• The Review Team Leader (if an individual in the SC Site Office is the Approval Authority).

NOTE: Safety basis documents to be submitted for DOE approval must be formally transmitted from the contractor to the responsible SC Site Office.

The Review Team Members ensure that the safety document(s) identifies, analyzes, and controls the hazards.

The team also ensures that controls are specified to appropriately maintain the conditions, parameters, and assumptions that form the basis for the downgrade.

• If the safety document(s) can be approved, the Review Team Members contributes to the preparation of the Safety Evaluation Report (SER) or SER‑like document (as directed by the Review Team Leader) to document the review and basis for approval.

• If the safety document(s) cannot be approved, the Review Team Members specifically identify to the Review Team Leader the basis for not approving the document.

• If DOE is unable to approve the submitted documents without substantial clarification and/or numerous conditions for approval, the Review Team Leader notifies the appropriate SC Site Office individual with programmatic responsibility for the facility of the required action and formally transmits the document back to the contractor, with the basis for DOE’s rejection clearly documented.

• If the safety basis documents can be approved, the Review Team Leader prepares a SER to document the review and basis for approval of the hazard categorization downgrade or SER‑like document to document the review and basis for approval of the safety document for the Radiological facility in which the contractor’s approval authority has been withdrawn.

  NOTE: Although DOE‑STD‑1104‑2009, Review and Approval of Nuclear Facility Safety Basis and Safety Design Basis Documents, provides the SER format and content requirements for the review and approval of Documented Safety Analyses and Technical Safety Requirements, it can be conceptually utilized for documenting the review and basis for approval of these safety documents.

• The SC Site Office Manager or designee submits the SER and the safety document for written approval by the Approval Authority.

1. If the Approval Authority is an individual in the SC Site Office, the submittal can come from the Review Team Leader or Line Manager.

2. If the Approval Authority is at SC HQ, the SC Site Office Manager or designee prepares a memorandum recommending approval of the safety document with a provision on the memorandum for the Approval Authority to mark as either Approved or Disapproved. The approval recommendation memorandum, SER, and safety basis document are submitted to SC‑3.

• The Approval Authority reviews the SER and formally approves or disapproves the document. The Approval Authority provides a copy of the approval/disapproval to:

  • The SC Site Office Manager (if an individual at HQ is the Approval Authority) or

  • The Review Team Leader/Line Manager (if an individual in the SC Site Office is the Approval Authority).

• The Review Team Leader submits the SER‑like document to the SC Site Office Manager or designee for approval.

• The SC Site Office Manager or designee reviews the SER‑like document and approves or disapproves the document.

The SC Site Office Manager or designee ensures the contractor has properly implemented the safety document requirements.

The SC Site Office Manager or designee ensures that the conditions, parameters, and assumptions that form the bases for the downgrades are protected and linked to an overall inventory control process. The SC Site Office Manager or designee also ensures that the contractor periodically revisits the safety documents to ensure the hazard categorizations remain valid (recommended to be annual).

NOTE: The submitted safety documents for downgrading the nuclear facility to below Hazard Category 3 TQs by analysis (e.g., Final Hazard Categorization Documents) and safety documents for the Radiological facility in which the contractor’s approval authority has been withdrawn (e.g., Auditable Safety Assessment, Health and Safety Plan), the SER or SER‑like document, and supporting documentation associated with DOE’s review and approval of a safety basis document (e.g., review plan, review comments, resolution matrices, transmittal correspondence between the contractor and DOE and between the Approval Authority and the SC Site Office, independent analyses or calculations performed by or for DOE) are quality assurance records and must be controlled and maintained by the responsible SC Site Office organization.