Section Below Completed by the Performance Document Group …ucor.com/_docs/proc/procns1002.pdf · • PROC -NS1017, Implementation Verification Review Process • PROC -OS1001, Records

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OWNER: Nuclear Facility Safety PROC-NS-1002 REVISION: 5

SUBJECT MATTER AREA: Safety PREPARER: Joyce Sylvester Page 1 of 31

PROCEDURE TYPE: Administrative Emergency Alarm Response

CONCURRENCE/DATE: A. J. Reed 5/31/16 [Approval Signature on File]

TITLE:

SAFETY DOCUMENTATION FOR HAZARD CATEGORY 2 & 3 NUCLEAR FACILITIES

APPROVED BY/DATE: M. A. Carman 5/31/16 [Approval Signature on File]

USQD UCD CAT X EXEMPT EFFECTIVE DATE: 6/22/16

USQD/UCD/CAT X No: PSW-MS-PROCNS1002-1104 REQUIRED REVIEW DATE: 6/22/19

Exhibit L Mandatory Contractor Procedure No Yes If an Interim Procedure, Expiration Date:

PURPOSE ..................................................................................................................................................... 3 SCOPE .......................................................................................................................................................... 3 OTHER ......................................................................................................................................................... 3 WHAT TO DO ............................................................................................................................................. 4

A. General Safety Basis Management Responsibilities ......................................................................... 4 B. Development or Revision of Safety Basis Documents...................................................................... 6 C. Terminating Safety Basis Documents ............................................................................................. 12 D. Implementation of Safety Basis Documents ................................................................................... 12 E. Flowdown of DSA and TSR Requirements .................................................................................... 14 F. Annual DSA Updates ...................................................................................................................... 15 G. Changes to the TSR ......................................................................................................................... 16 H. Directed Changes and Conditions of Approval ............................................................................... 17 I. Risk Management Planning Safety and Documentation for Highly Hazardous Chemicals ........... 18 J. Reindustrialization Safety Documentation at the East Tennessee Technology Park ...................... 19 K. Safety Basis Documents for New, Upgraded or Major Modifications to Hazard Category 2 and 3

Nuclear Facilities............................................................................................................................. 19 RECORDS .................................................................................................................................................. 20 SOURCE DOCUMENTS ........................................................................................................................... 20 Attachment A DEFINITIONS/ACRONYMS ....................................................................................... 22 Attachment B SAFE HARBOR METHODS ........................................................................................ 28 Attachment C APPROVAL MATRIX .................................................................................................. 30

This document is approved for public release per review by: Teresa D. Fancher 5/17/16 UCOR Classification & Date Information Control Office

OWNER: Nuclear Facility Safety PROC-NS-1002

SAFETY DOCUMENTATION FOR HAZARD CATEGORY 2 & 3 NUCLEAR FACILITIES REVISION: 5

Page 2 of 31

REVISION LOG

Revision Effective

Date Description of Changes Pages Affected 5 6/22/16 This revision is a complete re-write to create a more user

friendly procedure. Also, this change resolves issue IF-2015-0813: a).

All

4 3/16/15 Intent change. Revised implementation date from 45 to 90 days. Revised BJC/OR-1111 to UCOR-4665 and BJC/OR-1112 to UCOR-4675 throughout document.

13, 14, 35, 37

3 12/23/14 Intent Change. Revised to delete requirement to maintain flowdown matrices current provided the project references TSR requirements for the appropriate steps in implementing procedures and work documents. Revised to include more detail on tracking of Directed Changes and COAs by updating and maintaining the SBDL to resolve IF-2015-0024.

17, 20, 21, 30-31, 37

2 7/22/14 Intent change. Deleted the Independent Technical Review function, updated references, turned over responsibility for configuration management plan process to Engineering, added definition for Baseline Change Request, deleted details for maintaining a DSA revision log, reformatted development of PDSAs for major modifications to existing facilities or new facilities from DSAs for existing facilities, and other editorial changes.

3-12, 14, 16-18, 22, 25, 28, 31,

34-37

1 8/20/13 Non-intent change. Deleted reference to PROC-EH-2010 (procedure cancelled); Updated other cross-references to match those currently in force.

All

0 2/3/12 Initial release. Replaces BJC-NS-1002 (Rev. 10), Safety Documentation for Hazard Category 2 & 3 Nuclear Facilities. Non-intent changes per DIR-UCOR-500.

All



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PURPOSE The purpose of this procedure is to establish the processes and requirements for development, review, approval, implementation planning, maintenance, and changes to safety basis (SB) documentation for Hazard Category 2 and 3 nuclear facilities.

SCOPE This procedure applies to all Hazard Category 2 and 3 nuclear facilities managed by URS | CH2M Oak Ridge LLC (UCOR) and UCOR subcontractors under contract DE-SC-0004645 and to UCOR Nuclear Facility Safety (NFS) personnel and subcontractors involved in development of SB documents. Included are those Hazard Category 2 and 3 nuclear facilities with any non-nuclear hazard classification (High, Moderate, Low, or Other Industrial). (UCOR manages no facilities that are Hazard Category 1.)

This procedure is required reading by the Area Project Manager (APM).

Facility Managers (UCOR or subcontractor) of Hazard Category 2 and 3 nuclear facilities, associated system engineers, and NFS personnel are required to complete web-based Training Module 27094, Category 2 & 3 Nuclear Facility Safety Documentation.

OTHER DOCUMENTS NEEDED

• UCOR-4677, Accident Analysis Application Guide • UCOR-4678, Safety Basis Implementation Planning Application Guide • DOE-STD-1186-2004, Specific Administrative Controls

• DOE-STD-3011-2002, Guidance for Preparation of Basis for Interim Operation (BIO) Documents

• DSA-MS-SMP-0017, Safety Management Program Descriptions for URS | CH2M Oak Ridge LLC Nuclear and Non-Nuclear Facilities

• Form-554, Safety Document Worksheet • Form-595, Procurement Proforma Change Request Form • PROC-CT-1515, Differing Professional Opinion Process • PROC-DE-1012, Preparation and Control of System Descriptions • PROC-EP-3022, Preparation/Maintenance of Hazards Surveys, Emergency

Planning Hazards Assessments, and Emergency Action Levels • PROC-FO-515, Facility Management • PROC-FP-2004, Fire Hazard Analysis • PPD-IH-3345, Chemical Safety Management Program • PROC-NS-1001, Unreviewed Safety Question Determinations for Nuclear

Category 2 & 3 Facilities • PROC-NS-1011, Management of Safety Basis Documents • PROC-NS-1016, Configuration Management Plans for Nuclear and

Non-Nuclear Facilities • PROC-NS-1017, Implementation Verification Review Process • PROC-OS-1001, Records Management, Including Document Control • UCOR-4093, Controls Selection Application Guide • UCOR-4107, UCOR List of Active Safety Systems (LASS) and List of Design

Features (LDF)



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• UCOR-4144, System Engineer Program Description for URS | CH2M Oak Ridge LLC

• UCOR-4665, Preparation of Documented Safety Analysis for DOE Category 2 and 3 Nuclear Facilities

• UCOR-4675, Facility Hazard Categorization/Classification and Hazard Analysis Application Guide

WHAT TO DO A. General Safety Basis Management Responsibilities

NFS Organization 1. Develop and maintain the UCOR NFS Program, including providing subject

matter experts (SME) for nuclear facility safety documentation, nuclear criticality safety, and Unreviewed Safety Question Determinations (USQD); develop and maintain UCOR nuclear facility safety and nuclear criticality safety procedures, application guides, and instructions; and manage interfaces with U.S. Department of Energy (DOE) regarding SB document submittals, and 10 Code of Federal Regulations (CFR) 830 Subpart B implementation and compliance plans.

a. Conduct joint DOE and UCOR meetings as designated by NFS Manager

to ensure periodic agreement on important conclusions during Documented Safety Analyses (DSA) initial development and on subsequent changes to approved DSAs.

b. Perform assessments of the SB document development and maintenance

activities as specified in this procedure.

APM 2. Responsible for implementation of the nuclear facility safety management program for their facilities, projects, or programs (refer to PROC-FO-515, Facility Management and related project level management guidance).

a. Ensure that SB documents are prepared, reviewed, approved,

implemented, and maintained, and properly submitted to NFS for filing to the Document Management Center (DMC) for those UCOR and subcontractor-managed Hazard Category 2 and 3 nuclear facilities under their direction, including management of flowdown of requirements to subcontractors (as applicable) and training and qualification of staff.

b. Ensure that the configuration management program is applied to facilities

and processes within the scope of this procedure in accordance with PROC-NS-1016, Configuration Management Plans for Nuclear and Non-Nuclear Facilities.

c. Manage facilities and perform work in accordance with the

DOE-approved safety basis for the Hazard Category 2 or 3 nuclear facility.

d. Ensure that responsible individuals perform reviews of SB documents in

accordance with Attachment C, Approval Matrix.



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NOTE: Notification of changes or conditions that could pose external hazards to non-UCOR-managed facilities is the responsibility of the Community Reuse Organization of East Tennessee (CROET) and the Prime DOE lessee or DOE Prime Contractor at the Oak Ridge National Laboratory or the Y-12 National Security Complex.

APM e. Ensure that evaluations of impact to their assigned facilities are

performed for changes or conditions that occur on nearby or adjacent non-UCOR facilities.

f. IF made aware of a potential inadequacy of the DSA, THEN

consult with the NFS Manager to disposition the condition in accordance with procedure PROC-NS-1001, Unreviewed Safety Question Determinations for Nuclear Category 2 & 3 Facilities.

NFS, Engineering, APM

g. For Hazard Category 2 and 3 nuclear facilities, maintain a Safety Basis Document List (SBDL), a list of active safety systems (LASS), a list of design features (LDF), and a configuration management plan.

1) A controlled listing of nuclear facility SB documents (i.e., SBDL)

for each nuclear facility shall be maintained current by NFS and shall be readily available to UCOR and DOE personnel requiring access to information (reference PROC-NS-1011).

2) Safety structures, systems, and components (SSC) that meet the definition of safety class or safety significant shall be referred to Engineering to permit update of LASS (reference UCOR-4107).

3) The Project in collaboration with Engineering shall develop and implement a configuration management program in accordance with PROC-NS-1016, Configuration Management Plans for Nuclear and Non-Nuclear Facilities.

APM 3. IF managing existing facilities with SB documents compliant with 10 CFR

830.202 and approved by DOE in a Safety Evaluation Report (SER), THEN

a. Use the current approved and implemented version of the SB document(s), and adhere to the assumptions and commitments made in the safety analysis sections.

b. Ensure that hazard controls identified in SB documents are

appropriately flowed down to implementing documents (e.g., procedures, subcontractor work releases, etc.) and document in accordance with Section E of this procedure.

c. Ensure that the Facility Manager (FM), or designee, responsible for

the facility, documents changes to facility SSC and equipment, relied upon in the SB documents and initiates the USQD process (reference PROC-NS-1001) as required.



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APM d. Positive USQDs and associated change documentation shall be managed as part of the current SB documents until necessary changes to the applicable SB document are incorporated.

NFS e. Update the safety basis to keep it current and to reflect changes in the

facility, the work, and/or the hazards as they are analyzed in the DSA in accordance with Section B of this procedure.

B. Development or Revision of Safety Basis Documents

NOTE 1: 10 CFR 830 Subpart B defines regulatory requirements for

development of a nuclear facility DSA and identifies approved methods and standards. Such methods are called “safe harbor” methods and are listed in Attachment B.

NOTE 2: A graded approach is to be used in developing a DSA. The level of

detail, analysis and documentation shall reflect the complexity and hazards associated with the particular facility.

APM or designee & Deployed Nuclear Safety Manager (NSM)

1. IF the SB document is for new, upgraded or major modifications to Hazard Category 2 and 3 nuclear facilities, THEN

GO TO Section K.

NOTE: Scope creep (continuous growth or change in a scope) can occur when the scope is not properly defined, documented, or controlled.

2. Establish and document a full scope of project activities to include in the

safety basis revision.

Deployed NSM & Project Manager (PM)

3. Establish key milestone dates for completion of SB document to include time for drafting, review, Safety Basis Review Board (SBRB) review, editorial, etc.

APM and NFS Manager (NFSM)

4. Concur with the established key milestone completion dates.

PM 5. Ensure milestone dates are entered into the project schedule.

Deployed NSM & PM

6. Establish a multi-disciplined team (e.g., Facility Management, NFS, Fire Protection Engineering, Radiological Protection, Industrial Safety, Emergency Management, etc.) to identify the hazards through a review of existing facility documentation, facility walk-down, interviews, etc., as necessary.



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Deployed NSM & PM

7. Identify the disciplines that comprise the team in the SB documentation.

8. Collaborate with the Emergency Management and Fire Protection organizations on hazards and inventory information in the facility.

APM or designee 9. IF the facility is determined to be less than Hazard Category 3 (i.e., a radiological facility), THEN

GO TO PROC-NS-1009, Safety Documentation for Radiological and Non-Nuclear Facilities.

Fire Protection Program Manager

10. IF no Fire Hazard Analysis (FHA) or up-to-date FHA exists for the facility under consideration, THEN

develop or update in accordance with PROC-FP-2004, Fire Hazard Analysis.

SB Preparer 11. Ensure the facility hazards described in the facility FHA are consistent with

those of the facility hazards analysis as documented in the DSA.

12. Ensure the conclusions of the FHA are considered in the DSA accident analysis and integrated into design basis and beyond design basis accident conditions.

Emergency Management Program Manager

13. IF no Hazards Survey (HS) or Emergency Planning Hazards Assessment (EPHA) or up-to-date HS or EPHA exists for the facility under consideration, THEN

develop or update the HS and EPHA (as appropriate) in accordance with PROC-EP-3022, Preparation/Maintenance of Hazards Surveys, Emergency Planning Hazards Assessments, and Emergency Action Levels.

SB Preparer 14. Ensure the hazards documented in the HS or EPHA are consistent with those

of the facility hazards analysis as documented in the DSA.

15. IF necessary to develop or update the hazards analysis, THEN develop or update using UCOR-4675, Facility Hazard Categorization/Classification and Hazards Analysis Application Guide, as a guide.

16. IF necessary to develop or update the DSA accident scenarios and initial

hazard controls selections, THEN develop or update using for guidance UCOR-4677, Accident Analysis Application Guide.



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Nuclear Criticality Manager

17. IF Hazard Category 2 nuclear facilities contain fissionable material in a form and amount sufficient to pose a potential for criticality, THEN

define a criticality safety program that (1) ensures operations with fissionable material remain subcritical under normal and credible abnormal conditions; (2) identifies applicable nuclear criticality safety standards; and (3) describes how the program meets applicable nuclear criticality safety standards.

18. IF the facility has Nuclear Criticality Safety Evaluations (NCSE), THEN

determine if the NCSE is adequate AND

revise or develop a new NCSE or Nuclear Criticality Safety Report (NCSR) as appropriate in accordance with PROC-NS-1005, Nuclear Criticality Safety Evaluations and Calculations, as input to the DSA.

NOTE: Credited Safety SSCs require formal definition of minimum acceptable

performance in the DSA. This is accomplished by first defining a safety function, then describing the SSCs, placing functional requirements on those portions of the SSCs required for the safety function, and identifying performance criteria that will ensure functional requirements are met.

SB Preparer 19. Develop or revise the remaining DSA sections and Technical Safety

Requirements (TSR) (derived from the safety analyses) as necessary using UCOR-4665, Preparation of Documented Safety Analysis for DOE Category 2 and 3 Nuclear Facilities, and UCOR-4093, Controls Selection Application Guide (for Administrative Controls and Specific Administrative Controls).

20. IF developing a new SB document, THEN include a discussion regarding the characteristics of the safety management programs (SMP) necessary to ensure the safe operation of the facility, including (where applicable) quality assurance, procedures, maintenance of safety systems, personnel training, conduct of operations, inadvertent criticality protection, emergency preparedness, fire protection, waste management, and radiation protection.

21. IF the SMP special requirements have changed, THEN

request an update by the SMEs for the affected SMP. References to DSA-MS-SMP-0017, Safety Management Program Descriptions for URS | CH2M Oak Ridge Nuclear and Non-Nuclear Facilities, should be made, as appropriate, for generic site information and detailed descriptions of the safety management plans.



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NOTE: The summary of documents can be identified by adding a section at the end of the document, prior to the Attachments and Appendices.

SB Preparer 22. Provide a summary of documents (e.g., previous DSA/TSR revisions,

Justification for Continued Operations [JCO], etc.) superseded upon implementation of the revised DSA.

Project Personnel 23. Review draft DSA and provide comments to the SB Preparer.

SB Preparer 24. Resolve draft DSA review comments.

25. IF the review results in an increase in scope, THEN obtain concurrence from the APM or designee, and revise the project schedule milestone dates accordingly.

26. Incorporate review comments into the SB document.

27. Offer an interim draft of the SB document to the designated DOE reviewer for initial review and request written comments by a negotiated date.

28. Obtain and resolve DOE review comments.

29. IF comment resolution cannot be agreed upon by the DOE reviewer and the SB preparer, THEN

escalate to the next higher level of management within UCOR and DOE until resolution is obtained.

30. Develop or revise the final hazard controls selection, including input from the

FHA, NCSEs or NCSRs, and EPHA (reference UCOR-4093, Controls Selection Application Guide) by implementing the following steps as applicable.

a. Define the process for maintaining the hazard controls current at all times

and controlling their use. Hazard controls may include: (1) physical, design, structural, and engineering features; (2) safety SSCs; (3) safety management programs; (4) TSRs; and (5) other controls necessary to provide adequate protection from hazards.

NOTE: Engineering develops and maintains System Descriptions through the System Engineer Program UCOR-4144, System Engineer Program Description for URS | CH2M Oak Ridge LLC, for active safety systems contained in the LASS (reference PROC-DE-1012, Preparation and Control of System Descriptions).

b. Provide a list of safety SSCs that meet the definition of safety class,

safety significant, defense-in-depth, and design features to Engineering to support update of the LASS and LDF.



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SB Preparer 31. Provide the SB document to the reviewer/deployed NSM for concurrence.

Reviewer/ Deployed NSM

32. Review the final draft SB document and work with the SB preparer to resolve issues.

33. WHEN all issues have been adequately resolved, THEN provide the SB document to project personnel for final review.

Project Personnel 34. Review the SB document and send documented comments to the SB Preparer

and Deployed NSM.

SB Preparer and Deployed NSM

35. IF the review results in an increase in scope, THEN obtain concurrence from the APM or designee, and revise the project schedule milestone dates accordingly.

36. IF comment resolution cannot be agreed upon by the project, deployed NSM,

and the SB preparer, THEN escalate to the next higher level of management until resolution is obtained or the Differing Professional Opinion Process (PROC-CT-1515) is used.

NOTE: Steps 37 through 41 may be repeated until comment resolution with

DOE is achieved.

NFSM 37. Negotiate the review time period for the final draft SB document with DOE reviewer.

Deployed NSM 38. Send the SB document with supporting documents (including the

implementation plan (IP) if required; see Section D of this procedure) to DOE requesting a review to be completed within the negotiated time frame with comments formally documented so UCOR can ensure each comment is effectively resolved.

39. Work with DOE to resolve DOE comments.

40. IF comment resolution cannot be agreed upon between the DOE reviewer and

UCOR, THEN escalate to the next higher level of management until resolution is obtained.

41. IF DOE technical comments require changes to the DSA, THEN

request review from affected UCOR disciplines AND

revise the document(s) as necessary and notify project personnel of the impact to the IP and flowdown matrix.

42. WHEN all DOE comments are adequately resolved, THEN

submit to the SBRB for review.



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SBRB 43. Review SB document along with any supporting documents such as FHA.

Deployed NSM 44. IF major changes are identified in the SBRB review (including scope changes), THEN

obtain approval from the APM prior to incorporating the change.

45. Resolve comments from the SBRB pertaining to the SB document and supporting documents and notify the DOE reviewer of the changes.

46. Obtain approval of the SB document in accordance with Attachment C, Approval Matrix.

APM and Deployed NSM

47. Send the SB document with supporting documents (including the IP if required) to DOE.

48. IF an IP was not required, THEN identify the time required to implement the SB document following DOE approval and provide this information to DOE.

49. WHEN DOE approval of the SB document is obtained, THEN

review the DOE SER to identify any directed changes or Conditions of Approval (COA).

50. IF directed changes or COAs are identified, THEN

process the changes in accordance with Section H of this procedure.

APM or designee 51. IF the SBRB determines an Implementation Verification Review (IVR) or Management Assessment (MA) is required, THEN

implement the SB documents per the IP (if required) and in accordance with PROC-NS-1017, Implementation Verification Review Process.

52. IF no IVR or MA is required, THEN

verify the training updates have been made to the facility Implementation Training Matrix (ITM) that includes (by position) the minimum number of personnel needed to implement the SB documents and their associated required training. If no training is required, update the existing matrix to document the reason.

53. Ensure copies of approved SB documents are provided to the DMC in

accordance with the Records section of this procedure.



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C. Terminating Safety Basis Documents


1. WHEN facility activities are complete and/or step out criteria have been met, THEN

a. Notify DOE in writing of downgrade of facility.

b. IF no written response has been received from DOE in thirty days, THEN

downgrade facility categorization.

c. GO TO PROC-NS-1011, Management of Safety Basis Documents, to terminate the SB document(s).

D. Implementation of Safety Basis Documents

PM/FM 1. IF developing a new IP, THEN

a. Draft an IP for the applicable SB document in accordance with

UCOR-4678, Safety Basis Implementation Planning Application Guide to include the following as applicable.

1) Solicit input from potentially affected organizations regarding

the scope of the actions and target completion dates. Examples of possible impacts include: flowdown matrix; administrative, operations, maintenance, and engineering procedures; engineering calculation documents; contract proforma impact assessment (reference Form-595); and system descriptions.

2) Include any required facility modifications, system testing, procedure changes, training, readiness reviews, etc.

3) Include actions and assign target completion dates. 4) Address implementation cost. 5) Identify actions required to be completed prior to the effective

date of the SB document as “pre-implementation” actions. 6) Identify actions to be completed after the SB document is

effective as “post-implementation” actions.

b. Conduct project review of the IP.

c. Resolve project comments.

d. IF implementation of the approved SB will take more than 90 days, THEN

submit an IP to DOE for approval with the SB document.



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PM/FM 2. IF revising an IP, THEN

a. IF there is a significant change to the approach for performing work

activities documented in an approved IP, THEN revise and submit to DOE.

b. IF DOE SER includes directed changes or conditions of approval

beyond those submitted in the DSA and TSR, THEN revise the IP to reflect the effect of the changes.

3. IF implementing an IP, THEN

a. Implement each action in accordance with the IP.

PM/FM b. Forward a copy of the approved IP to the NFS Organization in

accordance with PROC-NS-1011, Management of Safety Basis Documents.

4. Ensure inventory controls are established to assure that nuclear facility inventories are consistent with assumptions in the DOE-approved safety basis.

5. For facilities with changing (i.e., upward or downward) inventories (e.g., waste storage), document and approve the inventory control methodology or process used to ensure that the facility does not exceed the assumptions in the safety basis.

6. Ensure software systems for inventory control meet software quality assurance requirements including verification and validation requirements.

7. Complete implementation of the SB documents by performing the following:

a. Ensure the facility generates an ITM that meets the following criteria.

1) Includes (by position) all of the personnel that must be trained for the implementation of the Safety Bases. (The list of minimum personnel must include all positions needed for implementation.)

2) Includes safety bases training, such as delta training, and required reading that will be required for procedures changed as a result of the implementation.

3) Approved by UCOR Training, the Deployed NSM, and facility management.

b. IF no training is required, THEN

document the reason on the ITM.

c. Determine any reviews needed to assure completion of implementation actions.



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PM/FM d. IF a Readiness Assessment is required, THEN

GO TO PROC-CT-1510, Readiness Reviews.

e. IF an IVR is required, THEN perform an IVR in accordance with PROC-NS-1017, Implementation Verification Review Process.

f. WHEN pre-implementation actions are satisfactorily completed, THEN

notify the NFS Organization of the date that the documents become effective in accordance with PROC-NS-1011, Management of Safety Basis Documents.

E. Flowdown of DSA and TSR Requirements

FM/Deployed NSM

1. Identify DSA and TSR requirements that must be maintained.

NOTE 1: In the flowdown matrix, list all implementing mechanisms for each requirement.

NOTE 2: A good management practice allows other critical parameters as the

project deems necessary to be included on the flowdown matrix, such as the FHA requirements.

2. For each Hazard Category 2 or 3 nuclear facility DSA and TSR, develop and

maintain a flowdown matrix that includes a description of the requirement, the applicable DSA or TSR requirement, and the procedure or mechanism that implements the requirement and include the matrix as an attachment to the IP described in Section D of this procedure.

NOTE: A transportation checklist can be used in lieu of a flowdown matrix for

Transportation Documented Safety Analyses since they are substantially equivalent in content and use. These matrices are intended to be line management tools for assuring effective implementation and compliance, including processing of facility change via the USQD process.

3. When the flowdown matrix is approved, forward a copy of the approved

matrix and revisions to the DMC or the Satellite Document Center in accordance with the Records section of this procedure.



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F. Annual DSA Updates

NOTE 1: A new annual update due date may be negotiated with DOE. The

document review date is established by the first approval date of the SB document by the approval authority. A SB document review date (e.g., annual review date) can be reestablished by providing notification to the approval authority that it is desired to reset the clock for safety basis update. The approval authority, DOE, must concur with resetting the annual review date clock. For UCOR-approved documents, an internal letter from the requesting Project to the NFS Manager is acceptable documentation to reset the review date clock.

NOTE 2: An annual DSA update is required to be submitted to DOE within one

calendar year of the original DOE approval date, and every year thereafter until the DSA is cancelled or replaced.

FM/Deployed NSM

1. In consultation with the NFS Organization and DOE, as appropriate, establish a plan and schedule for the annual review and update of project SB documentation to be submitted to DOE within one calendar year of the original DOE approval date.

2. Identify SB document changes that were not incorporated since the last approved update.

3. IF no SB document changes were approved since the last DOE approved update, THEN

prepare a letter to DOE stating that there were no changes to the SB document and exit this procedure.

NOTE 1: For recurring changes, the following style may be used: “…changed the operator contractor name from BJC to UCOR throughout the document.”

NOTE 2: If a negative USQD does not result in a change to the SB document,

then indicate no change is required for the description of the change in the revision table. If a USQD is positive, then state how it was dispositioned by DOE by identifying the SER or letter.

PM/FM/ Deployed NSM

4. Maintain a current revision table that reflects changes in the facility and the associated changes in wording of the approved DSA in between annual submittals in order to facilitate subsequent USQD screenings.

5. Identify negative USQDs (if any) prepared during the period and indicate that no change to the SB document is necessary.

6. Identify positive USQDs (if any) prepared during the period and identify how it was dispositioned by DOE including the SER or letter.



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PM/FM/ Deployed NSM

7. Generate the DSA revision table from the revision log including only changes to the DSA.

8. Include the entire USQD list from the revision log with the DSA revision cover letter to satisfy the annual reporting requirement of negative USQD evaluations to DOE.

NOTE: Revision sidebars may be omitted when they do not focus on specific changes such as when a complete reformatting has occurred and sidebars would appear on the majority of the document.

9. Show incorporation of changes into a revised SB document using sidebar

changes in the text, tables, and figures and a revision table.

10. Prepare an annual update package for submittal to DOE that consists of the following:

• revised DSA and TSR if applicable; • list of USQDs performed since last annual update; and • cover letter

NOTE 1: Be prepared to provide copies of the USQDs with the review and

approval package when requested.

NOTE 2: Each page should contain page numbers, document numbers, and revision number.

11. Obtain approval of the revised DSA document in accordance with Attachment

C, Table 1 of this procedure.

12. Provide a summary of documents (e.g., previous DSA/TSR revisions, JCOs, etc.) superseded upon implementation of the revised DSA. This can be accomplished by adding a section at the end of the document, prior to the Attachments and Appendices.

G. Changes to the TSR

NOTE: Prior to use, obtain DOE approval of any change to the TSR; however, changes to the TSR bases may be made without prior DOE approval provided the changes do not involve any of the following:

• A change in the TSR control.

• A change to the DSA that involves a USQ.

• A change to the way that OPERABILITY or the TSR control could be met, applied, or interpreted.



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PM/FM/ Deployed NSM

1. Develop a TSR change request package that consists of the following:

a. A description of the change;

b. Safety analysis that supports the change;

c. A list of pages in effect with page numbers and dates;

d. A record of revision page (change log);

e. A copy of each page to show incorporation of the changes into revised pages using a sidebar at changes in the text, tables, and figures.

2. IF implementation requires greater than 90 days, THEN

identify actions required to implement the changes.

3. Obtain approval of the change package in accordance with Attachment C, Table 1.

4. IF DOE does not approve the change, THEN

revise the change as necessary and obtain approval of the revised documents in accordance with Attachment C, Table 1, and resubmit to DOE for approval.

5. Following approval of the TSR, review the DOE SER (if applicable) to

identify directed changes or COAs.

6. IF directed changes or COAs are identified, THEN process the changes in accordance with Section H of this procedure.

7. Forward the revised TSR and the DOE SER to the DMC in accordance with

the Records section of this procedure.

H. Directed Changes and Conditions of Approval

NOTE: Directed changes are changes to be made to the contractor’s proposed DSA and TSR that are specified by DOE as part of their approval correspondence. These directed changes may be communicated in written correspondence and/or the applicable DOE SER. COAs convey actions that are to be completed immediately or within some required timeframe from the time the SB document is approved. Directed changes and COAs identified in the SER are part of the facility’s safety basis.


1. Evaluate the directed change(s) and/or COA and revise the DSA or TSR document as necessary.



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2. Coordinate notification of DOE-Oak Ridge Office with the NFSM regarding any changes that (a) cannot or should not be implemented, or (b) cannot be implemented in a timely manner.

3. Update, as necessary, the IP and/or flowdown matrix in accordance with

Sections D and E, respectively.

4. Ensure the facility generates an ITM that meets the following criteria.

a. Includes (by position) all of the personnel that must be trained for the implementation of the Safety Bases. (The list of minimum personnel must include all positions needed for implementation.)

b. Includes safety bases training, such as a delta training, and required reading that will be required for procedures changed as a result of the implementation.

c. Approved by UCOR Training, the Deployed NSM, and facility management.

5. IF no training is required, THEN document the reason on the ITM.

USQD SME or designee

6. Update the SBDL upon approval of the SB documents and upon issuance of the SER in accordance with PROC-NS-1011, Management of Safety Basis Documents.

Deployed NSM 7. Track directed changes and COAs on the SBDL until completed.

I. Risk Management Planning Safety and Documentation for Highly Hazardous Chemicals

NOTE: Information provided to UCOR NFS confirms that quantities of highly

hazardous chemicals exceeding thresholds specified in 40 CFR 68 and 29 CFR 1910.119 are not present in any UCOR Hazard Category 2 or 3 nuclear facility. Control of changes to facilities that may change this status and require analysis of this section is provided by the USQD process as invoked by the chemical safety management program in PPD-IH-3345, Chemical Safety Management Program.

APM or designee 1. For new or existing Hazard Category 2 or 3 nuclear facilities with hazardous

chemical inventories, apply the graded approach to the hazard analysis and safety documentation of these chemicals in accordance with PPD-IH-3345, Chemical Safety Management Program.

2. Address the chemical hazards in the DSA.



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J. Reindustrialization Safety Documentation at the East Tennessee

Technology Park

NOTE: It is the responsibility of the APM to evaluate the effect of changes or encroachment of CROET facilities on the safety basis of nuclear facilities.

APM or designee 1. Because facilities that would be candidates for reindustrialization are not

likely to be Hazard Category 2 or 3, GO TO PROC-NS-1009, Safety Documentation for Radiological and Non-Nuclear Facilities, Section E, for detailed guidance.

K. Safety Basis Documents for New, Upgraded or Major Modifications to

Hazard Category 2 and 3 Nuclear Facilities

NOTE 1: For new Hazard Category 2 or 3 nuclear facilities, upgraded or major modifications to Hazard Category 2 or 3 nuclear facilities, DOE approval of the Preliminary Documented Safety Analysis (PDSA) is required prior to procurement of materials and/or components or before construction can begin. However, DOE may authorize limited procurement and construction activities without an approved PDSA if DOE determines that the activities are not detrimental to public health and safety and are in the best interest of DOE.

NOTE 2: DOE does not expect a PDSA to be needed for activities that do not

involve significant construction. For example, environmental restoration activities, decontamination and decommissioning activities, or transition surveillance and maintenance activities should not require a PDSA.

APM/Deployed NSM

1. Develop a DSA Task Plan using UCOR-4665, Preparation of Documented Safety Analysis for DOE Category 2 and 3 Nuclear Facilities.

2. Submit the Task Plan to the NFSM for approval.

Deployed NSM 3. Develop a PDSA (see definition in Attachment A) for new nuclear facilities or

major modifications to existing nuclear facilities in accordance with DOE O 420.1C, Facility Safety, or other methodology if approved by DOE.

APM 4. Prohibit operation of the new facility or major modification until issuance of the DOE SER in which DOE approves the safety basis for the facility and/or modification.

Deployed NSM 5. GO TO section B, step 2 to develop the SB documents.



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RECORDS Records generated or received as a result of performing this procedure are

submitted to the DMC, either directly or via UCOR NFS. A completed Safety Document Worksheet (Form-554) must accompany each SB document when submitted to NFS.

Records generated by this procedure and listed below shall be dispositioned in accordance with PROC-OS-1001, Records Management, Including Document Control. The following records may be generated by this procedure and shall be submitted to the DMC, per PROC-NS-1011, using Form-554:

UCOR APMs (responsible for the facility), or designee

• Notification to DOE-Contracting Officer’s Representative reporting emergency actions taken

• Hazard Class/Category approvals by DOE • Notification to DOE- Contracting Officer’s Representative reporting

results of annual safety basis document reviews • Hazard Identification and Facility Classification • Preliminary Hazard Screening (PHS) Worksheet • Hazard Assessment Document (HAD) • Documented Safety Analyses (DSA) • Preliminary Documented Safety Analyses (PDSA) • DSA/TSR Implementation Plan • DSA/TSR Flowdown Matrix • Fire Hazards Analysis (FHA) • Emergency Planning Hazards Assessment (EPHA) • Hazards Survey (HS) • Basis for Interim Operation (BIO) • Technical Safety Requirements (TSR) • Alternative Safety Analyses for Deactivation/Decommissioning • Process Hazard Analysis (PHA) • Risk Management Plan (RMP) • Process Safety Management (PSM) • Health and Safety Plan (HASP) • Form-554, Safety Document Worksheet • Form-595, Procurement Proforma Change Request Form (if applicable)

SOURCE DOCUMENTS

The requirements and guidance in this procedure were derived from the following regulations:

• 10 CFR 830 Subpart B, Safety Basis Requirements • 29 CFR 1910.119, Process Safety Management of Highly Hazardous

Chemicals. This regulation establishes threshold quantities of highly hazardous chemicals and requires facilities with inventories above the threshold quantities to perform hazard analysis to identify, evaluate, and control the hazards.



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• 40 CFR 302, Designation, Reportable Quantities, and Notification. This

regulation defines the reportable quantity of hazardous substances that is utilized by DOE to establish the basis for a facility to be considered an “Other Industrial” facility.

• 40 CFR 68, Chemical Accident Prevention Provisions. This regulation establishes risk management plan requirements for consequence analysis, accident history, accident prevention programs, and emergency response programs.

• 40 CFR 355, Emergency Planning and Notification • 29 CFR 1910.120, Hazardous Waste Operations and Emergency Response.

Occupational Safety and Health Standards • 29 CFR 1926.65, Hazardous Waste Operations and Emergency Response.

Safety and Health Regulations for Construction • DOE O 460.1C, Packaging and Transportation Safety • DOE Order 151.1C, Comprehensive Emergency Management System • DOE-STD-1027-92, Hazard Categorization and Accident Analysis

Techniques for Compliance with DOE Order 5480.23, Nuclear Safety Analysis Reports. This standard sets the classification criteria for Hazard Category 1, 2, and 3 nuclear facilities to support DOE Order 5480.23.

• DOE O 420.1C, Facility Safety • DOE-STD-1120-2005, Integration of Environment, Safety, and Health Into

Facility Disposition Activities • UCOR-4093, Control Selection Application Guide



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Attachment A

DEFINITIONS/ACRONYMS Page 1 of 6

Administrative Controls (AC) – Provisions relating to organization and management, procedures, record keeping, assessment, and reporting necessary to ensure the safe operation of a facility. (10 CFR 830)

Area Project Manager (APM) – UCOR manager responsible for facilities under his scope of authority.

Baseline Change Request – The process used to request funding for work activities different than authorized by the existing contractual arrangement.

Basis for Interim Operation (BIO) – The interim safety basis document for a facility demonstrating that facility operations can be conducted at an adequate level of safety. The BIO summarizes and references existing information and, where necessary, generates new information. The BIO will serve as the safety authorization basis until more detailed safety documentation can be developed and approved. For Hazard Category 2 and 3 nuclear facilities with an existing BIO, this satisfies the need for documented safety analyses.

CFR – Code of Federal Regulations

Change – Any temporary or permanent condition(s) such as modification to a facility, operation, or procedure; tests or experiments; errors, omissions, and inadequacies; previously undiscovered conditions; operational incidents; results of new analysis or reanalysis that deviate from those described in the safety analyses or that could reduce existing margins of safety; modifications to documentation to make it agree with the as-built condition; and use-as-is nonconformance dispositions.

Condition of Approval/Directed Changes (COA/DC) – Items established by DOE in SERs and Inactive Waste Site Verification Reports. These COAs/DCs are generally provided to enhance controls identified in safety basis documents, establish new requirements, or to convey actions that are to be completed immediately or within some required timeframe from the time the safety basis document is approved. COAs/DCs must be tracked since they are commitments to the DOE.

CROET – Community Reuse Organization of East Tennessee

Deployed Nuclear Safety Manager (NSM) – (formerly the Nuclear Facility Safety Technical Lead or Nuclear Facility Safety Project Lead) UCOR nuclear facility safety engineer assigned to each project from the Nuclear Facility Safety Organization to support, advise, and review documents for the project for technical adequacy prior to other Nuclear Facility Safety reviews. See review tables in Attachment C for other required Nuclear Facility Safety reviews.

Design Feature – The design features of a nuclear facility specified in technical safety requirements that, if altered or modified, would have a significant effect on safe operation. (10 CFR 830)

Designee – Person delegated by the UCOR APMs to perform facility management functions. Designee position titles may vary depending upon the project. Example designee’s position titles include: Project Manager, Project Engineer, Facility Manager, Subcontract Technical Representative, Building Operator, or Facility Operator.



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Attachment A


DMC – Document Management Center

Documented Safety Analyses (DSA) – A documented analysis of the extent to which a nuclear facility can be operated safely with respect to workers, the public, and the environment, including a description of the conditions, safe boundaries, and hazard controls that provide the basis for ensuring safety. (10 CFR 830)

DOE – U.S. Department of Energy

EPHA – Emergency Planning Hazards Assessment

Existing DOE Nuclear Facility – A DOE nuclear facility in operation before April 9, 2001.

Facility – Any equipment, structure, system, process, or activity that fulfills a specific purpose. The term facility most often refers to buildings and other structures, their functional systems and equipment, and other fixed systems and equipment installed therein to delineate a facility. However, specific operations and processes independent of buildings or other structures (e.g., waste retrieval and processing, waste storage, waste burial, remediation, groundwater or soil decontamination, decommissioning) are also encompassed by this definition.

FHA – Fire Hazard Analysis

FM – Facility Manager

Graded Approach – A process of ensuring that the level of analysis, documentation, and actions necessary to comply with 10 CFR 830 requirements are commensurate with:

1. The relative importance to safety, safeguards, and security 2. The magnitude of any hazard involved 3. The life cycle stage of a facility 4. The programmatic mission of a facility 5. The particular characteristics of a facility 6. The relative importance of radiological and nonradiological hazards 7. Any other relevant factors

HAD – Hazard Assessment Document

Hazard – A source of danger (i.e., material, energy source, or operation) with the potential to cause illness, injury, or death to a person or damage to a facility or to the environment (without regard to the likelihood or credibility of accident scenarios or consequence mitigation). (10 CFR 830)



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Attachment A


Hazard Control – Measures to eliminate, limit, or mitigate hazards to workers, the public, or the environment, including:

(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. (10 CFR 830)

HS – Emergency Planning Hazards Survey

IP – Implementation Plan

ITM – Implementation Training Matrix

IVR – Implementation Verification Review

Justification for Continued Operations (JCO) – A formal document that DOE approves to amend the current, approved safety basis for defined, discreet periods of time when the current, approved safety basis cannot be fully met.

LASS – List of active safety systems

LDF – List of design features

Limited Operational Life – A short remaining operational period before ending the facility’s mission and initiating deactivation and decommissioning and for which there are no intended additional missions other than cleanup.

Limiting Conditions of Operation – The limits that represent the lowest functional capability or performance level of safety structures, systems, and components required for safe operations. (10 CFR 830)

Limiting Control Setting – The settings on safety systems that control process variables to prevent exceeding a safety limit. (10 CFR 830)

MA – Management Assessment

Major Modification – A modification to a DOE nuclear facility that is completed on or after April 9, 2001, that substantially changes the existing safety basis for the facility. (10 CFR 830)

NCSE – Nuclear Criticality Safety Evaluations

NCSR – Nuclear Criticality Safety Report

New DOE Nuclear Facility – A DOE nuclear facility that begins operation on or after April 9, 2001.



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Attachment A


Non-nuclear Facilities – For safety analyses purposes, non-nuclear facilities are those that have potentially releasable safety basis quantities of radioactive material that are less than the 40 CFR 302 levels, but have potentially releasable safety basis quantities of hazardous chemicals. Guidance on classification is provided in application guide UCOR-4675.

Nuclear Facility – A reactor or nonreactor facility where a nuclear activity subject to the requirements of 10 CFR 830 is conducted for or on behalf of DOE and includes any related area, structure, facility, or activity to the extent necessary to ensure proper implementation of the requirements established by 10 CFR 830.

NFS – Nuclear Facility Safety

Operating Limits – Those limits required to ensure the safe operation of a nuclear facility, including limiting control settings and limiting conditions for operation. (10 CFR 830)

PHA – Process Hazard Analysis

PM – Project Manager

Preliminary Hazard Screening (PHS) – The most basic facility SB document. It describes the facility, its operations, and identifies associated hazards, if any, then compares the level or quantity of hazard with prescribed criteria. If criteria are exceeded, further safety analysis such as a documented safety analysis may be needed. If not, the approved PHS serves as the baseline facility safety basis.

Preliminary Documented Safety Analyses (PDSA) – Documentation prepared in connection with the design and construction of a new DOE nuclear facility or a major modification to a DOE nuclear facility that provides a reasonable basis for the preliminary conclusion that the nuclear facility can be operated safely through the consideration of factors such as:

(1) The nuclear safety design criteria to be satisfied; (2) A safety analysis that derives aspects of design that are necessary to satisfy the nuclear safety

design criteria; and (3) An initial listing of the safety management programs that must be developed to address

operational safety considerations. (10 CFR 830)

PSM – Process Safety Management

Radiological Facility – Facilities with amounts of radioactive materials less than the values that correspond to Hazard Category 3 but greater than the Reportable Quantities values in Appendix B to 40 CFR 302.4 are classified as radiological.

Revision Table – A method to track cumulative changes to the SB documentation for use in updates.

SAR – Safety Analysis Reports



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Attachment A


Safety Basis (SB) – The documented safety analyses and hazard controls that provide reasonable assurance that a DOE nuclear facility can be operated safely in a manner that adequately protects workers, the public, and the environment. (10 CFR 830) Safety basis documents are identified and listed as required in procedure PROC-NS-1011, Management of Safety Basis Documents.

Safety Class Structures, Systems, and Components (SSC) – The SSCs, including portions of process systems, whose preventive or mitigative function is necessary to limit radioactive hazardous material exposure to the public, as determined from safety analysis. (10 CFR 830)

SBDL – Safety Basis Document List

SBRB – Safety Basis Review Board

Safety Evaluation Reports (SER) – The report prepared by DOE to document:

(1) The sufficiency of the documented safety analyses for a Hazard Category 1, 2, or 3 DOE nuclear facility;

(2) The extent to which a contractor has satisfied the requirements of 10 CFR 830 Subpart B; and (3) The basis for approval by DOE of the safety basis for the facility, including any considerations

for approval. (10 CFR 830)

Safety Limits – Limits on process variables associated with those safety class physical barriers, generally passive, that are necessary for the intended facility function and are required to guard against the uncontrolled release of radioactive materials. (10 CFR 830)

Safety Significant SSCs – The SSCs, which are not designated as safety class SSC, but whose preventive or mitigative function is a major contributor to defense in depth and/or worker safety as determined from safety analyses. Safety significant SSCs are only defined for nuclear facilities. (10 CFR 830)

SME – Subject Matter Expert

SMP – Safety Management Program

Specific Administrative Control (SAC) – Depending on the situation, some ACs that perform specific preventive or mitigative functions for accident scenarios may be identified in Hazard Analyses. These are more specific functions than implied by general commitments to SMPs, and they may need to be raised to a higher importance level. Some of these ACs may have critical importance similar to or the same as those that would be classified as SC or SS, if the safety functions or objectives were performed by engineered safety systems. According to DOE-STD-1186-2004 (DOE 2004) SACs, these types of ACs shall be classified as SACs.

Surveillance Requirements – Requirements relating to test, calibration, or inspection to ensure that the necessary operability and quality of safety structures, systems and components and their support systems are maintained, that facility operation is within safety limits, and that limiting control settings and limiting conditions for operations are met. (10 CFR 830)



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Attachment A


System Description – Document prepared in accordance with PROC-DE-1012, Preparation and Control of System Descriptions.

Technical Safety Requirements (TSR) – The limits, controls, and related actions that establish the specific parameters and requisite actions for the safe operation of a nuclear facility and include, as appropriate for the work and the hazards identified in the documented safety analyses for the facility: safety limits, operating limits, surveillance requirements, administrative and management controls, use and application provisions, and design features, as well as a bases appendix. (10 CFR 830)

Transition Surveillance and Maintenance – The surveillance and maintenance activities that occur after the production (or normal life mission) phase of a facility’s life and when these activities are the predominant activities at the facility, and do not include the surveillance and maintenance conducted during deactivation or decommissioning activities. (10 CFR 830)

UCOR – URS | CH2M Oak Ridge LLC

USQD – Unreviewed Safety Question Determination

Unreviewed Safety Question Process – The mechanism for keeping a safety basis current by reviewing potential unreviewed safety questions, reporting unreviewed safety questions to DOE, and obtaining approval from DOE prior to taking any action that involves an unreviewed safety question. (10 CFR 830) This process is outlined in PROC-NS-1001, Unreviewed Safety Question Determinations for Nuclear Category 2 & 3 Facilities.



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Attachment B

SAFE HARBOR METHODS Page 1 of 2

Type of facility Safe Harbor Method

Non-reactor nuclear facility DOE-STD-3009-94, Change Notice 2 or successor document

Nuclear facility with limited operational life DOE-STD-3009-94, Change Notice 2 Safety Analysis Report (SAR) or DOE-STD-3011-2002 Basis for Interim Operation (BIO) or successor document

Deactivation or transition surveillance and maintenance of a DOE nuclear facility

DOE-STD-3009-94, Change Notice 2 (SAR) (or successor document) or DOE-STD-3011-2002 or successor document (BIO)

Decommissioning of a DOE nuclear facility DOE-STD-1120-2005 (or successor document) 29 CFR 1910.120 and Deriving hazard controls based on safety and health programs, work plans, Health and Safety (H&S) Plans, and the Emergency Response Plan

Environmental restoration activity that involves either work not done within a permanent structure or the decommissioning of a facility with only low-level residual fixed radioactivity

NOTE: The H&S Plan approach must be agreed to by the NFSM as an acceptable Safe Harbor method for the applicable activity. DOE-STD-1120-2005, (or successor document) and 29 CFR 1910.120 Deriving hazard controls based on safety and health programs, work plans, H&S Plans, and the Emergency Response Plan

Hazard Category 3, nonreactor nuclear facility Using the methods in Chapters 2, 3, 4, and 5 of DOE-STD-3009-94 (or successor document) to address in a simplified fashion; • The basic description of the facility/activity

and its operations, including safety structures, systems, and components;

• A qualitative hazards analysis; and • The hazard controls (consisting primarily of

inventory limits and safety management programs) and their bases.

For site-wide safety management programs (e.g., radiation protection), the Documented Safety Analysis should explain the features of those programs that are important to the facility safety basis and can refer to the site-wide program documentation for the details.



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Attachment B

SAFE HARBOR METHODS Page 2 of 2

Type of facility Safe Harbor Method The deactivation or the transition surveillance and maintenance of a DOE nuclear facility

Using the methods in DOE-STD-3011-2002 (or successor document), the document must include: • Facility categorization according to

DOE-STD-1027; • A description of the facility (including the

work to be performed); • A systematic identification of hazards

associated with the facility; • Evaluation of normal, abnormal, and accident

conditions (including potential natural phenomenon hazards that might be associated with long term status) that might be associated with the generation or release of radioactive or other hazardous materials, including consideration of the need for analysis of beyond design basis accidents;

• Derivation and classification of hazard controls necessary to protect workers, the public, and the environment; and

• Definition of the characteristics of safety management programs necessary to ensure safe operation, including criticality safety, when criticality hazards exist.

Transportation activities DOE-O-460.1A, (SAR for Packaging) and DOE-G-460.1-1 (Transportation Safety Document)



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Attachment C

APPROVAL MATRIX Page 1 of 2

This matrix provides the roles and responsibilities for review and approval of facility classification/categorization; hazard assessment documents (HAD), new or upgraded Documented Safety Analyses (DSA) and Technical Safety Requirements (TSR), changes to existing DSAs and TSRs for a URS | CH2M Oak Ridge LLC (UCOR) Hazard Category 2 or 3 nuclear facility, preliminary DSA (PDSA), implementation plans (IP) and flowdown matrices.

Table 1. Approval Process for a DSA, TSR, PDSA, HAD and subsequent changes to these documents

Subcontractor or UCOR

UCOR Review and Approval

Subcontractor

Project assigned Technical Lead

for DSA Development

System Engineer

(not applicable for HAD)

Deployed Nuclear Facility Safety

Manager

Nuclear Criticality Safety

Nuclear Facility Safety Manager

Safety Basis Review Board

UCOR Area Project Manager

(APM)

Technical Lead for DSA Development

Responsible to ensure the document has adequate technical content, accuracy. The preparer and reviewer’s approval signature indicates document is technically adequate and meets the requirements of this procedure.

Reviews and recommends approval of the document. Recommendation for approval indicates that any System Description (SD) changes required for assigned List of active safety systems will be made to assure accuracy and currency of the SD(s).

Reviews and recommends approval of the document. Recommendation for approval indicates concurrence with the hazards identified in the documents and adequacy of measures taken to eliminate, control, or mitigate them, and awareness of impact of identified hazards on other site operations.

Reviews and recommends approval of the safety basis document. Recommendation for approval indicates concurrence with analysis involving fissile material and nuclear criticality issues, requirements, and controls.

Reviews and recommends approval of safety basis documents. Recommenda-tion for approval indicates that the safety basis documents correctly evaluated the hazards and whether the rigor and detail of the safety basis documents are appropriate for the complexities and hazards expected at the facility.

Reviews and recommends approval of the safety basis documents. Recommendation for approval indicates that based on the descriptive information provided, the accident analysis is appropriate and technically correct, conclusions are adequately supported, and the risk of operation is identified. Recommendation of approval also indicates concurrence that the documents meet U.S. Department of Energy (DOE) requirements.

Approves safety basis documents. Approval signature indicates required reviews have been performed, appropriate controls are in place, hazards and risk of operations are identified, content and format meet DOE requirements, and agreement to operate in accordance with the approved DSA. - APM submits to

DOE for approval through a Safety Evaluation Report (SER).

For new or upgraded DSAs, TSRs, TSR changes, PDSAs, or PDSA changes: - Once DOE

approves document, implement in 90 days or in accordance with the letter transmitting the safety basis documents.

- If DOE does not approve document, revise as necessary.



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Attachment C

APPROVAL MATRIX Page 2 of 2

Table 2. Approval Process for Implementation Plans and Flowdown Matrices

UCOR UCOR Review and Approval

DOE Subcontractor

Affected Project Organizations

Deployed Nuclear Facility Safety Manager

UCOR APM DOE/Oak Ridge Operations

Technical Lead for DSA Implementation

Responsible for identifying required actions, applicable procedures for incorporation of requirements, and responsible organizations. Approval signature indicates all required actions identified, responsible managers assigned, and target completion dates identified.

Reviews and recommends approval of the Implementation Plan and the flowdown matrix. Recommendation for approval indicates actions, applicable procedures, implementing organizations, and target completion dates will establish full compliance with safety basis requirements.

Approves the IP. Approval signature indicates required reviews have been performed, actions, applicable procedures, implementing organizations, and target completion are appropriate.

Receives a copy of the IP for review if the safety basis document will not be implemented within 90 days. Flowdown matrix need not be transmitted to DOE.

Following APM approval of the flowdown matrix and DOE approval of the IP (if applicable) implement the safety basis documents within 90 days of approval or as specified in the IP and letter transmitting the safety basis documents.

NOTE: The DOE column in this matrix gives our understanding of the documents DOE explicitly approves. DOE approves DSAs and TSRs by issuing a SER, which may include stipulations, conditions, and interpretations upon which their approval is based, and which becomes an integral part of the subject safety basis document.