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Operational Readiness Review

Operational Readiness Review. Introduction May 2005 Revision. 1T1M1L. What is an Operational Readiness Review (ORR)?. A disciplined, systematic, documented, performance-based examination of: Personnel; Procedures/processes; Facilities/equipment;

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Operational Readiness Review

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  1. Operational Readiness Review Introduction May 2005 Revision 1T1M1L

  2. What is an Operational Readiness Review (ORR)? • A disciplined, systematic, documented, performance-based examination of: • Personnel; • Procedures/processes; • Facilities/equipment; • management control systems/Safety Management programs. • To ensure that a facility will be operated safely within its approved Authorization Basis as defined in the Authorization Agreement/Safety Basis. 1T1M1L May 2005 Revision 2

  3. Purpose of ORR is twofold: 1. Ensure readiness of facility and personnel to start the facility within the bounds of acceptable risk: -Within the safety basis/Authorization Agreement; - In compliance with applicable ES&H regulations. 2. Ensure the facility/activity has adequate Safety management programs implemented and sufficient controls in place to continue/start operations (performance) within those bounds. 1T1M1L May 2005 Revision 3

  4. ORR Historical Summary • 9-23-86, DOE 5480.6, Safety of DOE-owned Nuclear Reactors • 3-3-90, DNFSB 90-4, Rocky Flats Restart • 11-12-91, SEN-16B-91, Approval for Restart of Facilities Shutdown for Safety Reasons and for Startup of Major New Facilities • 2-26-92, NE-1 Procedure for Restart of Reactor & Non-reactor Nuclear Facilities • 8-26-92, DNFSB 92-6, Order/Standard Development • 9-17-92, EM Policy and Guidance for Readiness Determinations • 9-15-93, DOE O 5480.31/ 425.1, Startup and Restart of Nuclear Facilities • 12-93, DOE-STD-3006-95, Planning and Conduct of ORRs/RAs, updated • 9-26-99, DNFSB Letter on ORR/RA inadequacies, leading to 425.1B and 3006-00 • 10-00, DOE ORR/RA Course created, developed, conducted as needed/as requested 6-15-00, DOE-STD-3006-00 (series) 3-13-03, 425.1C (series) 12-15-03, DOE 3012-2003 (series) 1T1M1L May 2005 Revision 4

  5. Current Orders and Directives DOE O 425.1C, Startup and Restart of Nuclear Facilities (previously 5480.31) (425.1C little change from 425.1B) DOE-STD-3006-00, Planning and Conduct of Operational Readiness Reviews (previously DOE-STD-3006-93/95) DOE-HDBK-3012-2003, Team Leader's Preparation Guide for Operational Readiness Reviews(ORR) WWW Home Page - http://www.eh.doe.gov 1T1M1L May 2005 Revision 5

  6. DOE O425.1 (series) When to have an ORR: • For initial startups of new hazard categories 1, 2, & 3 nuclear facilities; • For a restart after an unplanned shutdown by DOE management official for safety or other appropriate reason; • For a restart after an extended shutdown of hazard category 1 & 2; • After substantial modifications as determined by Authorization Authority; • For a restart after shutdown because of operations outside the safety basis; • When deemed appropriate by DOE management officials-including hazard category 3. 1T1M1L May 2005 Revision 6

  7. Readiness Assessment (RA) • For restarts of nuclear facilities not requiring an Operational Readiness Review, DOE and contractor line management shall evaluate the need for performing a Readiness Assessment prior to restart. • When a Readiness Assessment is required, Operations Offices shall develop procedures and ensure that the contractors use these procedures to gain Operations Office approval of the startup or restart of nuclear facilities. • If a Readiness Assessment is not to be performed, the contractor's standard OPERATING procedures for startup or restart will be used. 1T1M1L May 2005 Revision 7

  8. When is an RA Appropriate?(examples) • New activity within an operating facility, • Start-up following shutdown when ORR is not required, • Resumption following “non-significant” modification, • Resumption following Contractor directed unplanned shutdown, • Restart of hazard category 3 Facility, • Start/restart of nuclear explosive activity. Discuss the RA proposal in the SNR! 1T1M1L May 2005 Revision 8

  9. RA Minimum Attributes • Plan of Action approved (POA) by the Authorization Authority (DOE): • If Contractor - DOE agreement via SNR; • Documents - agreement on the Scope. • Independent Team: • Reviewer (s) don’t look at their own work! • Reviewer (s) qualified. • Defined Prerequisites in POA, and an Implementation Plan (IP), Final Report, Finding Closure Record . . . • Personnel/Procedures/Facility are “ready for operation”; • An RA is not an “Assist Visit.” 1T1M1L May 2005 Revision 9

  10. Flexibility Options of RA(Contractor Proposes - DOE Accepts) • “Broad as an ORR” -or- “Narrow as a checklist”: • Utilize Appropriate Core Requirements; • Define and justify in POA. • Authorization Authority - Contractor or DOE: • Discuss and justify in the SNR. • Number and Timing of RA’s: • Contractor only - DOE Monitor; • Contractor and DOE - in Parallel; • Contractor and DOE - in Series; • Proposal defined in SNR (STD 3006-2000). Not a Scheduling Tool! 1T1M1L May 2005 Revision 10

  11. Other Methods…. • None! • If a Review is needed, minimum RA requirements will be followed! • If Startup Review is not needed... • Use Building/Process/Activity Standard Operational Procedures. 1T1M1L May 2005 Revision 11

  12. DOE O425.1 C Authorization Authority • (a)Initial startups of new hazard categories 1and 2 facilities, the Secretary of Energy (or designee) .... • For initial startups of new category 3 facilities, Secretarial Officer (or designee) ... • (b) Shutdowns directed by a DOE official for safety or other reasons, ...an official of a level commensurate with the official ordering the shutdown ... • (c) Extended shutdowns of category 1 facilities, Secretarial Officer ... • Extended shutdowns of category 2 facilities, Secretarial Officer (or designee) ... • (d) For shutdowns because of ... Substantial (as determined by Authorization Authority) modifications of hazard category 1 nuclear facilities ..., the Secretarial Officer ... 1T1M1L May 2005 Revision 12

  13. DOE O425.1 C Authorization Authority (continued) • For ...hazard category 2 nuclear facilities, the Secretarial Officer (or designee) ... • (e) For shutdowns due to operations outside the safety basis, the official ... shall be commensurate with the approval authority for the safety basis. • (f) For startups or restarts ... for which Operational Readiness Reviews were required as a result of a DOE official deeming it appropriate, the official approving ... shall be of a level commensurate with the official directing the review. 1T1M1L May 2005 Revision 13

  14. The ORR Core Requirements • DOE O 425.1C defines a minimum group of 18 Core Requirements that must be addressed in POA and ORR. • DOE O 425.1/1A (5480.31) defined a minimum set of 20 core requirements that were consolidated without scope reduction in 425.1B. 425.1C made no additional changes. • The core requirements define the breadth of the ORR. • Timely, independent reviews that address the requirements in a technically satisfactory manner may be utilized to justify not performing further evaluation of all or part of a core requirement in the ORR (must be documented). 1T1M1L May 2005 Revision 14

  15. What's the Process? Project Management Plan (Line Management . . . “Line”) Define Review or Exemption-Startup Notification Report (Line) Develop a plan to achieve readiness (Line) Develop an ORR/RA Plan of Action (Line) Develop an Implementation Plan (ORR Team) Achieve Readiness/Management Self Assessment (Line) Readiness to Proceed Memo (Line) Conduct the reviews, ORR Report (ORR Team ) Corrective Action Plan, Finding Resolution (Line) Authorization/Startup Authority authorize operations/start (Line) 1T1M1L May 2005 Revision 15

  16. Exemptions • Appropriate in unique situations: • Short duration D&D; • National priority activities. • Compensatory measures required: • Ensure safety; • Defined requirements/completion/transition. • Proposed and approved IAW DOE M 251.1-1A, Ch VII only on a “case by case basis.” • Discussed in STD 3006-00, Sections 4.6 & 5.11. 1T1M1L May 2005 Revision 16

  17. Exemptions • CSO and EH Must Review; • 30 Day Clock without objection; • Address “7 Requirements of DOE M 251.1-1A.” 1T1M1L May 2005 Revision 17

  18. Exemption RequestsSeven Information Requirements 1. Subject Facility . . . 2. Reference to specific requirements for which exemptions is sought . . . 3. ID and justification of acceptance of any additional risk . . . • Benefits related by exemption . . . • Indicate temporary or permanent; if temporary then defines for how long . . . 1T1M1L May 2005 Revision 18

  19. Seven Information Requirements (Continued) 6. Other pertinent Data used as a basis . . . 7. Description of special circumstances (see DOE M 251.1-1A Chapter VII: - Steps/action to be taken to provide adequate protection of ES&H and statement that adequate protection will result . . . - Description of Alternative or mitigating actions for period the exemption is effective . . . - How the safe conduct of nuclear operations will then be assured? 1T1M1L May 2005 Revision 19

  20. An ORR should be: • A disciplined, systematic, documented, examination of facilities and equipment, personnel, procedures, and management control systems to ensure that a facility will be operated safely within its approved safety basis. • The readiness reviews are not intended to be tools of line management to achieve readiness. Rather, the readiness reviews provide an independent confirmation of readiness to start or restart operations. 1T1M1L May 2005 Revision 20

  21. Abbreviations and Acronyms • AA Authorization Agreement • AB Authorization Basis • ASA Audited Safety Analysis • CORR Contractor Operational Readiness Review • CR Core Requirement • CRAD Criteria and Review Approach Document • DSA Documented Safety Analysis • IP Implementation Plan • JCO Justification for Continued Operations • MSA Management Self Assessment • OSR Operational Safety Requirements (TSR) 1T1M1L May 2005 Revision 21

  22. Abbreviations and Acronyms (cont) • ORR Operational Readiness Review • POA Plan of Action • RA Readiness Assessment • SAR Safety Analysis Report (DSA) • SER Safety Evaluation Report • SNR Startup Notification Report • S/RID Standards/Requirements identification Doc • SSC Structures, Systems, and Components • TSR Technical Safety Requirements • WSS Work Smart Standards 1T1M1L May 2005 Revision 22

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