The ORR/RA and the Authorization Basis May 2005 Revision

1. The ORR/RA and the Authorization BasisMay 2005 Revision Safety Analysis Reports, Technical Safety Requirements, Authorization Agreements, S/RIDs, Basis for Interim Operations, Permits, etc... 2T2L

2. Upon successful completion of this topic, you should be able to: Describe what constitutes a facility’s Authorization Basis. Describe how the Authorization Basis relates to the ORR/ RA. Describe how the ORR/RA checks implementation of the Authorization Basis. 2T2L May 2005 Revision 2

3. The Authorization Basis • Authorization Basis means the combination of information relating to the control of hazards at a nuclear facility (design, engineering analyses, and administrative controls) upon which DOE/NNSA depends for its conclusion that activities at the facility can be conducted safely. • Basis by which DOE/NNSA accepts the risk associated with permitting the facility or activity to operate. 2T2L May 2005 Revision 3

4. Authorization Basis • Those aspects of the design of facility Structures, Systems, and Components (SSCs) and operational requirements relied upon by DOE/NNSA to authorize operation. • These aspects are considered to be important to the safety of facility operations. 2T2L May 2005 Revision 4

5. Authorization Basis (continued) • The Authorization Basis is described in documents such as: - Facility DSA/SARs/BIOs/HAR/ASA and other safety analyses; - TSRs / OSR / ABCD. • Safety Evaluation Reports (SERs). • Facility-specific implementing mechanisms to comply with DOE/NNSA Orders, policies, or other contract provisions (infrastructure program). • Permits . . . 2T2L May 2005 Revision 5

6. The Directives and Guides to Implement the Nuclear Safety Rule • Nuclear Safety Rule 10 CFR 830.200 superceded, but did not invalidate for existing AB documents: • DOE 5480.22, Technical Safety Requirements; • DOE 5480.23, Nuclear Safety Analysis Reports; • DOE 5481.1B, Safety Analysis and Review Systems. • Guidance in DOE STDS 3009; 3011; 1120 . . . . • DOE Guides 421.1-1/2 (Crit Safety, DSA); 423.1-1 (TSR); 424.1-1 (USQ) . . . • Acceptable Methodologies . . . 2T2L May 2005 Revision 6

7. Definition: Safety Analysis A documented process to: • Define the work within the scope of Activity or Facility • Provide a systematic identification of hazards within a DOE/NNSA operation, activity or facility. • Analyze and evaluate potential accidents and their associated risks. • Evaluate measures (hardware, procedures, systems) to reduce the probability and/or consequences of potential accidents. • Develop and define the engineered (SSC) and Administrative controls. 2T2L May 2005 Revision 7

8. Basis for Interim Operation (BIO) • Establishes interim safety basis until SAR and TSRs per O 5480.22 and O 5480 .23 are developed and approved. • Single document applying to both O 5480.22/.23. • DOE-STD-3011 provides guidance. • Establishes interim safety basis. • Utilizes existing material (when possible) by reference. • 10 CFR 830.200 Limits Applicability: • BIO replaced by DSA, or • Facility mission complete. 2T2L May 2005 Revision 8

9. Technical Safety Requirements (TSRs) • The TSR and its appendices constitute an agreement or contract between the DOE/NNSA and facility operating management regarding the safe operation of the facility. • DOE G 423.1-1 Defines Form and Content expectations. • Cannot be changed without DOE/NNSA approval. • OSRs have similar expectations. • Rigorous Implementation Expectations! 2T2L May 2005 Revision 9

10. Technical Safety Requirement Format • Safety Limits; • Operating Limits: • Limit Control Settings (LCS), • Limiting Conditions for Operation (LCO); • Surveillance Requirements; • Administrative Controls. 2T2L May 2005 Revision 10

11. Safety Evaluation Reports (SERs) • The DOE/NNSA: • document review of an SAR with a written Safety Evaluation Report (SER); • impose conditions of approval, such as constraints on TSRs, or alterations to other commitments. • Implementation expectations for SER same as DSA/TSR! 2T2L May 2005 Revision 11

12. ORR Focus re: Safety Documentation • What is the Authorization Basis for this activity and is it adequately implemented? • If a SAR or DSA and TSRs, are they current;? • Have all aspects of the Authorization Basis been approved by appropriate authority? Annual updates current? 2T2L May 2005 Revision 12

13. ORR Focus re: Safety Documentation • Are the requirements and assumptions of the Authorization Basis implemented? • Structures, Systems, Components operable? • Surveillances sufficient and current? • Modifications controlled, status known? • Procedures complete? • Infrastructure programs in place? Administrative controls complete? 2T2L May 2005 Revision 13

14. Is the Safety Envelope in Place? • All Limits, Controls, and Requirements: • Identified; • Understood; • Implemented; • Maintained? • Controllers/Managers/Supervisors of Operations must know the condition of their safety envelope! 2T2L May 2005 Revision 14

15. The ORR/RA Role in the Safety Basis • The ORR/RA is not the mechanism by which the Authorization Basis is approved. • Rather, the ORR/RA team must evaluate the activity/facility/operation against the description, requirements, and assumptions: • within the safety envelope; • incorporates all of the applicable requirements of the Authorization Basis. • Verify accurate and continuous implementation! 2T2L May 2005 Revision 15