Nuclear Facility Design

FUNCTIONAL AREA GOAL: Headquarters and Field organizations and their contractors ensure that nuclear facilities are designed to assure adequate protection for the public, workers, and the environment from nuclear hazards.

REQUIREMENTS:

• 10 CFR 830.120
• 10 CFR 830 subpart B
• DOE O 413.3
• DOE O 420.1B
• DOE O 414.1C
• DOE O 226.1
• DOE M 426.1
• DEAR 970-5404-2

GUIDANCE:

• DOE G 420.1-1
• Project Management Practices, Integrated Quality ( Rev E, June 2003)
• DOE Implementation Plan for DNSB Recommendation 2004-2

Performance Objective 1: Contractor Program Documentation

Contracts between and the contractors who operate nuclear facilities contain adequate requirements concerning the conduct of nuclear facility safety design for nuclear facility capital projects and major modifications and the contractors have developed comprehensive processes/procedures for performing these requirements.

Criteria:

1. Contractor processes and procedures define roles and responsibilities for engineering duties and tasks such as design changes, standards identification, testing, and formal design reviews for nuclear facility capital projects and major modifications (DOE FRAM, DOE O 414.1C).
    
2. Contractor processes and procedures ensure that detailed application of nuclear facility structure, systems, and components (SSC) design requirements are guided by the safety analysis that identify and establish safety SSC functional requirements and meet applicable DOE and industry nuclear facility design requirements (DOE P 450.5, DOE O 420.1B section 4.1.1.1).
    
3. Contractor processes and procedures ensure that nuclear facility SSCs are designed to withstand the effects of natural phenomena hazards (NPH) as necessary to ensure the confinement of hazardous material based on the results of the preliminary documented safety analysis (PDSA) (DOE P 450.5, DOE O420.1B section 4.4.2).
    
4. The Contractor Integrated Safety Management (ISM) System Description includes mechanisms for integrating ISM into the project design activities (DOE O 413.3, CRD, #12 and DEAR 970 -5404-2)
    
5. Contractor processes and procedures incorporate applicable quality assurance requirements for the conduct of engineering design functions (DOE O 413.3 CRD #11, QA criterion 6 -Design)

Suggested Lines of Inquiry and Review Approach

Performance Objective 2: Contractor Program Implementation

contractors responsible for operation of nuclear facilities have effectively implemented processes/procedures to ensure nuclear facility capital projects and major modifications are designed in accordance with contract requirements in order to provide adequate protection for the public, workers, and the environment from nuclear hazards.

Criteria:

1. The following nuclear safety design criteria have been explicitly addressed during the various phases of the nuclear facility design process (DOE O 420.1 section 4.1):
   • Radioactive and Hazardous Material Inventory
   • Conservative Facility Design
     • Defense in Depth concepts and principles have been considered in the design, such as including minimization of material, conservative design margins, quality assurance, and multiple barriers to release
     • Confinement ventilation has been incorporated into the design with preference on use of active confinement (DNFSB 2004-2)
   • Preventative Features
   • Mitigating Features
   • Siting Criteria
     • Facility Siting criteria have been evaluated to determine minimize potential impact to public and adjacent facilities
     • Site planning considered the consequences of all NPH type events
     • NPH
     • - Design process considers potential damage and failure of SSCs from both direct and indirect NPH, including damage from failure of other SSCs
     • Seismic requirements of executive order 12699 have been identified in the design
   • Access Control
     • Facility design ensures occupational exposure is maintained within limits of 10CFR 835 and includes provisions for maintaining exposure ALARA and to facilitate decontamination during operation
   • Accessibility and Maintainability
     • Reliability, Availability, and Maintainability objectives have been identified for designated SSCs
   • Human Factors Engineering
   • Design to Facilitate Deactivation, Decontamination, and Decommissioning
   • Design processes/procedures ensure that SSC functional requirements are identified early in the design process.
   • Applicable SSC functional design criteria such as single failure, equipment qualification, etc, from section 4 of DOE G 420.1A have been incorporated into the system level functional design.
      
2. Contractor processes and procedures for implementing ISM through each of the project design phases have been effectively implemented. (DOE O 413.3, CRD, #12 and DEAR 970 -5404-2)
   • The engineering and safety analysis processes are integrated to ensure that the design includes a complete set of SSCs required to protect the workers and the public from potential uncontrolled releases
   • Contractor implementing design processes procedures establish the expectations for the required safety, environment, quality, engineering documentation at the various stages of the design process and provide for integration of these various technical disciplines and documents
   • The contractor implementing processes/procedures ensure that appropriate standards are identified and evaluated for the design of safety SSCs based on the relative importance to safety as determined by the hazard analysis and required consensus codes. (ISMS Guiding Principle #XX)
   • Contractor design processes/procedures ensure that ES&H requirements, as delineated in Federal, DOE, State, Site and Local laws and regulations are explicitly included in the design process
      
3. Quality assurance requirements are implemented during the conduct of engineering design functions and activities (DOE O 413.3 CRD #11, QA criterion 6 -Design)
   • Facility processes and procedures ensure that inputs to design engineering activities are clearly identified and approved by appropriate facility management prior to the start of design activities and that changes to those inputs are controlled with appropriate rigor (10CFR830 Subpart A, Criterion 6, 48CFR970.5203(a), DOE O 414.1C 4(b)(6))
   • Facility processes and procedures ensure that management oversight of the design process is adequate to ensure that design deliverables fulfill requirements, including physical installation of the design (10CFR830 Subpart A, Criterion 6, DOE O 414.1C 4(b)(6), DOE O 433.1 4(a))
   • Facility processes and procedures clearly define expected design deliverables sufficient to maintain configuration management, and to maintain and verify compliance with facility requirements (10CFR830 Subpart A, Criterion 6, DOE O 420.1A 4.5.1.2, DOE O 433.1 4(a))
   • Facility processes and procedures ensure that post-design changes are tracked and analyzed to identify problems with the design process, with appropriate corrective actions assigned and tracked to closure (48CFR970.5203 (b), DOE O 414.1C, 4(b)(3))
   • Facility processes and procedures provide for the identification and control of design interfaces (NQA-1, Requirement 3, Design Control, section 700 Interface Control)
   • Facility processes and procedures describe requirements for performing design analysis (NQA-1, Requirement 3, Design Control, section 400 Design Analysis)
   • Facility processes and procedures describe requirements for performing design verification, including conduct of design reviews (NQA-1, Requirement 3, Design Control, section 500 Design Verification)
   • Facility processes and procedures ensure that compliance with the facility's safety basis is adequately considered throughout the design process, from inception through acceptance (10CFR830, Subpart A, Criterion 5, DOE O 420.1A 4.5.1.2, DOE O 433.1 4(a))
   • Facility processes and procedures ensure that design output contains proper Quality Assurance classifications for any needed components, total system classification, and resultant drawing changes (10CFR830 Subpart A, Criterion 7, 48CFR970.5203(b), DOE O 414.1C 4(b)(7))
   • Contractor processes and processes include appropriate software quality assurance requirements for design analysis software tools (DOE O 414.1C section XXX)
   • Contractor processes and procedures require the designation of a Design Authority responsible for the final approval of design requirements (DOE STD 1073 section XXX)
      
4. The technical baseline for identified safety SSCs has been established and is being controlled per the contractors Configuration management program (DOE O 413.3 CRD #9)
    
5. Contractor personnel have been assigned system engineering duties and responsibilities for identifying and integrating nuclear safety requirements and establishing and maintaining the technical baseline for nuclear facility SSCs (DOE O 420.1B section XXX)
    
6. Contractor personnel are trained and qualified to perform their assigned duties and responsibilities relative to nuclear facility design and peer review activities (ISM Guiding Principle XX)

Suggested Lines of Inquiry and Review Approach

Performance Objective 3: DOE Line Management Oversight:

Defined requirements through appropriate contract mechanisms are in place to ensure that nuclear facilities are designed to assure adequate protection for the public, workers, and the environment. HQ and/or Field/Site Offices have assigned personnel and developed processes/procedures for the activities they must conduct in support of contractor nuclear facility safety design activities. HQ and/or Field/Site Offices have assigned personnel and established and implemented effective oversight processes to ensure that the contractor nuclear facility design activities are properly conducted.

Criteria:

1. Field or Site Office has determined the appropriate level of resources and formal expectations for conducting effective oversight of contractor nuclear facility design activities (FRAM, DOE O 226.1)
    
2. Field or Site Office has assigned technically competent, trained and qualified personnel to perform activities in support of and effective oversight of contractor facility nuclear safety design activities (FRAM; DOE M 426.1).
    
3. Field or Site Office nuclear facility design/oversight procedures and processes require federal staff involvement in standards identification, hazards analysis, design review, and review of controls (FRAM 9.3.1, 9.4.1, 9.4.2, Draft Program and Project Management Manual/Draft Project Management Practices (10/00).
    
4. Site Office nuclear facility design oversight procedures and processes include documented feedback and improvement mechanisms through self-assessment, monitoring against performance objectives, occurrence reporting, critiques/management reviews, external reports, routine observation, and activity level feedback. (FRAM 9.6.1, DOE O 226.1)
    
5. Site Office oversight activities of nuclear facility design activities are being effectively conducted as evidenced by the following:
   • Completion of scheduled formal assessments, operational surveillances, and other oversight activities.
   • Evaluation and communication of assessment results including expected actions for resolution of identified issues.
   • Development, tracking, and closure of corrective actions.
   • Evaluation of effectiveness of specific corrective actions.
   • Evaluation of effectiveness of the overall nuclear facility design activities.
      
6. oversight includes an evaluation that the contractor's implementation of the nuclear facility design activities demonstrates effective integration and application of appropriate functions and principles of the Site Integrated Safety Management System

Suggested Lines of Inquiry and Review Approach

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