DOE-STD-1189-2008, I ntegration of S afety into the D esign P rocess

1. DOE-STD-1189-2008, Integration of Safetyinto theDesign Process Dr. Richard Englehart, Epsilon Systems Solutions Pranab Guha, HS-21 John Rice, Epsilon Systems Solutions

2. Expectations I expect safety to be fully integrated into design early in the project. Specifically, by the start of the preliminary design, I expect a hazard analysis of alternatives to be complete and the safety requirements for the design to be established. I expect both project management and safety directives to lead projects on the right path so that safety issues are identified and addressed adequately early in the project design. – Deputy Secretary of Energy, December 5, 2005

3. Purpose • DOE Standard 1189 has been developed to show how project management, engineering design, and safety analyses can interact to successfully implement the Deputy Secretary’s expectations • This course provides the central ideas and themes of 1189 and conveys lessons learned from project implementation of the Standard

4. Overview of Course • Safety-in-Design Concepts • Applicability • Project Integration and Planning • Design Process • Hazard and Accident Analyses and Inputs to the Design Process • Appendices A – C • Facility Modifications • Lessons Learned • Q & A • Case Study

5. Instructional Goal Upon successful completion of this lesson, students will be able to demonstrate a familiarity level knowledge of the background, philosophy, and contents of DOE-STD-1189, Integration of Safety into the Design Process

6. Lesson Objectives(Slide 1 of 5) Lesson Objectives • Explain why DOE-STD-1189 was developed. • Identify the “drivers” that require the use of DOE-STD-1189 for integrating safety into design. • Identify and explain the key concepts introduced by DOE-STD-1189. • Identify and explain the guiding principles for integrating safety into design.

7. Lesson Objectives (Slide 2 of 5) • Explain the purpose of the DOE Integrated Project Team. • Explain the purpose of the Contractor Integrated Project Team. • Explain the purpose of the Safety Design Integration Team. • Explain how the Safety Design Strategy is developed. Describe its scope, preparation, format, and approval process.

8. Lesson Objectives (Slide 3 of 5) • Describe how the requirements and deliverables identified in DOE-STD-1189 relate to the Project Lifecycle as described in DOE Order 413.3A. • Explain how the Critical Decision Process can be tailored based on project type, risk, size, duration, complexity and selected acquisition strategy.

9. Lesson Objectives (Slide 4 of 5) • Identify and explain the key safety-related activities in each of the phases of a project: • Discuss the purpose and content of the following documents: • Conceptual Safety Design Report. • Conceptual Safety Validation Report. • Preliminary Safety Design Report • Preliminary Documented Safety Analysis • DOE Safety Evaluation Report

10. Lesson Objectives(Slide 5 of 5) • Identify common lessons learned from implementing DOE-STD-1189. • State the purpose of the following appendices in DOE-STD-1189 and explain how each is used in the design process: • Appendix A, Safety System Design Criteria • Appendix B, Chemical Hazard Evaluation • Appendix C, Facility Worker Hazard Evaluation • Describe the facility modification process using DOE-STD-1189

11. STD-1189 Roadmap (Slide 1 of 6) • For all audiences: • Preface, with the key concepts and guiding principles upon which the Standard was developed, • Chapter 1, Introduction (background, applicability, must and should); • Chapter 2, Project Integration and Planning; and • Chapter 3, Safety Considerations for the Design Process, which provides an overall perspective of the Safety-in-Design process through the Critical Decision stages.

12. STD-1189 Roadmap(Slide 2 of 6) • Project safety personnel and DOE safety reviewers • Chapter 4, Hazard and Accident Analyses • Chapter 5, Nuclear Safety Design Criteria • Chapter 6, Safety Reports • Appendices A through D, • Appendix F, Safety-in Design Relationship with the Risk Management Plan • Appendix G, Hazards Analysis Table Development guides this basic safety-in-design input

13. STD-1189 Roadmap(Slide 3 of 6) • Project management, both federal and contractor • Chapter 7, Safety Program and Other Important Project Interfaces • Appendix E, Safety Design Strategy • Appendix F, Safety-in-Design Relationship with the Risk Management Plan

14. STD-1189 Roadmap (Slide 4 of 6) • Project design personnel • Chapter 5, Nuclear Safety Design Criteria • Chapter 7, Safety Program and Other Important Project Interfaces • Appendices A through D, which address safety design classifications for Safety Structures, Systems, and Components (Safety SSCs)

15. STD-1189 Roadmap (Slide 5 of 6) • Safety Document Preparers and Reviewers • Appendices H and I provide format and content guidance for the preparation of the Conceptual Safety Design Report (CDSA), Preliminary Safety Design Report (PDSA), and Preliminary Documented Safety Analysis (PDSA)

16. STD-1189 Roadmap (Slide 6 of 6) • Project teams for potential major modifications of existing facilities: • Chapter 8, Additional Safety Integration Considerations for Projects • Appendix J, Major Modification Determination Examples

17. Safety-in-Design Basic Precepts • Appropriate and reasonably conservative safety structures, systems, and components are selected early in project designs • Project cost estimates include these structures, systems, and components • Project risks associated with safety structures, systems, and component selections are specified for informed risk decision-making by the Project Approval Authorities

18. Development of STD-1189 (Slide 1 of 2) • Designed to be guided by and consistent with the principles of ISM and the requirements and guidance of DOE O 413.3A • Correlates with the DOE O 413.3A Critical Decision stages and safety design requirements of DOE O 420.1B and associated guidance documents

19. Development of STD-1189 (Slide 2 of 2) • Specifically references 413.3A guidance on • Mission Need Statements • Integrated Project Teams • Project Execution Plans • Risk Management Plans

20. Correlation to ISM Core Functions • Define the work: Mission Need; Alternatives Definition • Analyze the hazards: Conceptual Design and follow on stages, hazards analysis, and design basis accidents • Identify safety controls: Follows from HA and safety classification • Perform the work: Integrate safety in the design process • Feedback and Improvement: Iterative process between design and safety

21. Summary of Key Safety-in-Design Concepts(Slide 1 of 4) • Establishment and early involvement of Integrated Project Teams (IPT) and their coordination • Federal and Contractor IPTs; Contractor Safety Design Integration Team (SDIT) • Defining the overall strategy for the project, including how safety integration is to be accomplished, and obtaining DOE approval of the strategy • Safety Design Strategy, derived from DOE safety expectations defined in the pre-conceptual phase, is formalized and approved during conceptual design phase

22. Summary of Key Safety-in-Design Concepts (Slide 2 of 4) • Identifying CD-1 as the key point in a project when major safety systems and design parameters should be defined • Focus on high potential cost safety implications: Hazard Category; building and major components seismic design categories; building confinement strategy; fire protection and power supply system classification • Establishing objective criteria for the designation and design of safety structures, systems, and components • STD-1189 Appendices A, B, and C (seismic design basis; collocated worker SSC safety classifications; in-facility worker safety classifications)

23. Summary of Key Safety-in-Design Concepts(Slide 3 of 4) • A conservative front-end approach to safety-in-design that is reflected by a “risk and opportunities” assessment • Conservative approach early-on based on assumptions and incomplete information: input to project risk management plan (Risk and Opportunities Assessment) and information for cost estimates • Identifying key project interfaces (physical and programmatic) that affect design decisions • Project Interfaces: e.g., site infrastructure, security, waste management, emergency preparedness, DNFSB

24. Summary of Key Safety-in-Design Concepts(Slide 4 of 4) • Ongoing involvement of DOE in safety-in-design decisions • Safety Design Strategy (SDS) • Conceptual and Preliminary Safety Design Reports (CSDR, PSDR) • Preliminary Documented Safety Design Analysis (PDSA) • Related DOE reviews and approvals

25. Guiding Principles (Slide 1 of 3) Derived from DOE O 420.1B, DOE O 413.3A, and their associated Guides • Use of O 420.1B and clearly articulated strategies to satisfy requirements • Control selection strategy order of preference • Following the design codes and standards in O 420’s associated Guides • Use of risk and opportunities assessments

26. Guiding Principles (Slide 2 of 3) • Conservative early project safety decisions input to cost/schedule • CD packages describe safety decisions • Project team includes appropriate expertise • Safety personnel involved from onset of project planning

27. Guiding Principles (Slide 3 of 3) • Important safety functions addressed during conceptual design • SDIT invokes the safety-in-design process • All stakeholder issues identified early and addressed • Bases for safety related decisions are documented

28. Applicability The Standard applies to the design and construction of: • New DOE hazard category (HC) 1, 2, and 3 nuclear facilities • Major modifications to DOE HC 1, 2, and 3 nuclear facilities (as defined by 10 CFR 830) • Other modifications to DOE HC 1, 2, and 3 nuclear facilities managed under the requirements of DOE O 413.3A

29. Safety and Design Integration Project Integration and Planning

30. Key Components of Project Integration and Planning Safety-in-Design • Federal Integrated Project Team • Contractor Integrated Project Team • Safety Design Integration Team • Safety Design Strategy • Risk and Opportunities Assessments • DOE and Contractor Roles and Responsibilities Safety Design Project Management Interfaces

31. Relationships of Major Project Entities Acquisition Executive DOE Program Manager DOE SBAA/SBRT Federal IPT Federal Project Director Contractor IPT Contractor Project Manager SDIT Safety Analysis Engineering Design 31

32. Federal Integrated Project Team(Slide 1 of 3) • FPD leads an IPT with representation necessary for project success • FPD and IPTs must aggressively lead the project (not passively monitor and review) • IPT formally established at CD-1 (really needs to be established at the beginning of Conceptual design) • Roles, responsibilities, and functions of the Federal IPT are provided in DOE G 413.3-18, Integrated Project Teams Guide for Use with DOE O 413.3A

33. Federal Integrated Project Team (Slide 2 of 3) From DOE G 413.3-18: • The IPT is the primary tool for breaking down the walls that can exist between different organizations, different professions, and different levels within the different organizations’ command structures. A successful IPT brings these diverse elements together to form a unit that willingly shares information, balances conflicting priorities and ideologies, and jointly plans and executes the project mission. (¶ 2.2)

34. Federal Integrated Project Team (Slide 3 of 3) From DOE G 413.3-18 (Continued): • The initial requirement imposed upon the IPT by DOE O 413.3A is to support the FPD by providing individual expertise to fill the voids in his or her knowledge base in the areas of planning and implementing the project… (¶ 2.4.1)

35. What is the Contractor Integrated Project Team? Standard 1189 encourages the formation of the Contractor IPT; similar makeup to Federal IPT • Comprised of personnel who ensure integration of mission need, safety analysis, and design • Diversity of expertise is essential • Project process understanding very helpful • Strong upper management support to IPT members • Need consistency and longevity of team members • Team formed after approval of CD-0

36. Typical Contractor IPT Representation • Waste Management • Procurement • Safeguards and Security (as needed) • Quality Assurance • Computing, Communications and Networking • DOE Representative • Facility Owner/Operator • Funding Organization • Project Management • Health, Safety, and Radiation Protection • Nuclear Safety • Engineering

37. Contractor IPT Key Points(Slide 1 of 2) • Parallel management functions as the Federal IPT, but from the contractor’s perspective • Safety Design Integration Team (SDIT) directly supports the CIPT, and through it, the Federal IPT

38. Contractor IPT Key Points (Slide 2 of 2) Lesson Learned: • Biggest challenge for the CIPT/SDIT is to assure active and effective communications between engineering design activities and safety analysis activities • Especially true when they are not collocated • Failure to support the iterative interactions between safety analysis and design is equivalent to failure to implement the processes of STD-1189

39. What is the Safety Design Integration Team (SDIT)? • Provides working-level integration of safety into design for the project • Usually composed of subset of Contractor IPT plus other specialties as needed • Core team • Safety • Design • Operations (including maintenance) • Additional composition depends on the hazards, safety, and security issues

40. SDIT Objectives • Ensure integration of safety in design by adherence to the key concepts and guiding principles of DOE-STD-1189 • Document the bases for all safety in design decisions • Maintain consistency of and configuration management between safety and design work • Resolve initial uncertainties and assumptions for safety in design • Achieve consensus and approvals for direction of safety in design progress

41. SDIT Functions (Slide 1 of 2) • Timely communications with and support to CIPT and IPT • Conduct Risk and Opportunities Assessment (input to RMP) • Draft safety documents (CSDR, PSDR, PDSA)

42. SDIT Functions (Slide 2 of 2) • Ensure the iterative safety/engineering design process is effective and that the identified safety functions: • Lead to selection of controls that are adequate to serve the safety functions and are consistent with operational needs • Are classified appropriately • Are accommodated in project cost and schedule estimates

43. SDIT Best Practices • SDIT should have a charter • Define membership (core team and SMEs) • Designate lead • Define roles and responsibilities • Specify required training for members • SDIT should use formal processes

44. Safety Design Strategy (SDS)(Slide 1 of 3) “…must be developed for all projects subject to this Standard.” (¶ 2.3) • Developed from CD-0 definition of DOE expectations for execution of safety during design • Prepared by SDIT; reviewed by DOE Safety Basis Review Team (SBRT); approved by Federal Project Director and Safety Basis Approval Authority (SBAA)

45. Safety Design Strategy (SDS) (Slide 2 of 3) • Is a living document, updated throughout the project stages as needed • Provides the mechanism by which all elements of the project and approval authorities can agree on basic safety in design approaches • Single source for project safety policies, philosophies, major safety requirements, and safety goals to maintain alignment of safety with the design basis during project evolution

46. Safety Design Strategy(Slide 3 of 3) Addresses: • Guiding philosophies or assumptions to be used to develop the design • Safety-in-design and safety goal considerations for the project • Approach to developing the overall safety design basis for the project • Significant discipline interfaces affecting safety

47. SDS Updates • Focus is on those major safety decisions that influence project cost (e.g., seismic design criteria, confinement ventilation, safety functional classification, and strategy) • Provide a means by which all parties are kept informed of and agree with important changes due to safety in design evolution between Critical Decision points

48. SDS Format(see Appendix E) • Purpose • Description of the Project • Safety Strategy 3.1 Safety guidance and requirements 3.2 Hazard identification 3.3 Key safety decisions • Risks to Project Decisions • Safety analysis approach and plans • SDIT – Interfaces and integration

49. Risk Assessment • DOE O 413.3A CD-1 requirement: “Prepare a preliminary Project Execution Plan, including a Risk Management Plan (RMP) and Risk Assessment… “ (Table 2) • Risk management strategies must address • All technical uncertainties (including schedule and cost implications) • Establishment of design margins • Increased technical oversight requirements

50. Risk and Opportunities Assessment (R & OA) (Slide 1 of 2) • DOE-STD-1189 Risk and Opportunities Assessment is: • Required by the Order and the Standard and • Provides the safety-related input to the Project Risk Management Plan • Purpose is to recognize and manage risks of proceeding at early stages of design on the basis of incomplete knowledge or assumptions regarding safety issues