Nuclear Facility Design

Suggested lines of inquiry and review approach

Performance Objective 1: Contractor Program Documentation

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)

• Is an ISMS description developed that integrates the 5 core functions and 7 guiding principles into project activities and personnel roles and responsibilities?
• Is there evidence through project activities that design decisions and changes are based on or influenced by efforts to eliminate hazards, minimize hazards, mitigate consequences, and preclude accident events that could release hazardous materials?
• Does the Project Execution Plan include a description of ISM implementation for all phases of the project?
• Do project specific performance measures include explicit links to the site/or project ISM system description?
• Do contractor implementing mechanisms and procedures identified in the PEP provide for close coordination between the development of the facility design and the safety analysis documents? (e.g. HAD, FHA, and emergency response evaluations)
• Do contractor implementing mechanisms include procedures for defining the project/design requirements, identifying hazards, performing design, analyzing the hazards and ensuring appropriate controls are built into the design, and obtaining approval of the design by the NNSA Site Office and the NNSA acquisition executive?
• Are contractor implementing mechanisms in place to ensure that ISM requirements are communicated and incorporated into subcontractor or other support organization design/project activities?
• Are feedback and improvement mechanisms in place to identify, evaluate, and correct design/project safety issues?
• Do the project ISM implementing mechanisms provide for a systematic review and approval of all applicable standards for the each of the various stages of design?Are Facility and safety SSC design requirements are traceable to applicable Federal, DOE, State, Site and Local laws and regulations?

Performance Objective 2: Contractor Program Implementation

• Is there a listing of all potentially applicable codes and standards identified in DOE O 420.1A and whether they are applicable and need to be incorporated into the Design efforts for each of the various phases of design?
• Is there an integrated project team that coordinates the development of the following documents during each of the associated project phases?
  • Conceptual Design
  • Define Scope of work
    • Mission Functional and Performance Requirements Established
  • Analyze Hazards
    • Hazard Categorization (HAD)
    • Preliminary Hazards Analysis (PHA)
    • Preliminary FHA
    • Preliminary Accident Analyses
    • Develop/Implement Controls (Develop Design Requirements)
    • Develop Safety Function Definitions
    • Preliminary Identification of Safety SSCs and Administrative Controls
    • Design Requirements Established
    • Identify Design Codes and Standards
  • Perform Work/Design
    • FDD Established
    • SDDs Established
    • PSAR Development Initiated
    • Design Packages
    • Conceptual Design Report
  • Feedback and Improvement (review and validation)
    • PSAR Development Initiated
    • DOE Review/Approval of CDR
    • DOE Review/Approval of HAD
    • Critical Decision-1
  • Preliminary Design
  • Define Scope of work
    • FDD under Change Control
    • SDDs under Change Control
    • CDR establishes Baseline
  • Analyze Hazards
    • Detailed Process Hazards Analysis Drafted
    • Design Basis Accidents Identified
    • Some Preliminary Analysis Completed
  • Develop/Implement Controls (Develop Design Requirements)
    • Safety SSC Functional Requirements Established
    • SSC Performance Requirements Established
    • Design Requirements Updated
    • Codes and Standards Updated
  • Perform Work/Design
    • FDD updated
    • SDDs updated
    • Preliminary Design Package
  • Feedback and Improvement (review and validation)
    • PSAR Drafted
    • DOE Review/Accept Preliminary Design
    • Review PSAR Draft
    • Critical Decision-2
  • Final (Detailed) Design
  • Define Scope of work
    • SSC Design Requirements under Change Control
    • FDD and SDD under Change Control
    • Preliminary Establishes a Baseline
    • Analyze Hazards
    • Detailed Process Hazards Analysis Drafted
    • Accident Analysis Completed & DBAs Fully Established
    • Safety SSC Functional Requirements Finalized
    • SSC Performance Requirements Fully Designed
  • Develop/Implement Controls (Develop Design Requirements)
    • Design Requirements Finalized
    • Codes and Standards Finalized
    • Procurement Specifications are Prepared
  • Perform Work/Design
    • FDD Updated
    • SDDs Updated
    • Preliminary Design and Procurement Package
  • Feedback and Improvement (review and validation)
    • PSAR Completed
    • DOE Review/Accept Final Design Package
    • DOE Review/Approval of PSAR (SER)
    • Critical Decision-3
• Are design control procedures and mechanisms are explicitly identified and documented?
• Do design reports demonstrate that requirements and design work and design changes are met?
• Are design control procedures and mechanisms reviewed and approved?
• Is surveillance of design control work completed performed to ensure that procedures and mechanisms are being properly executed?
• Does a design configuration management plan exist that defines the records that need to be developed and maintained?
• Are evaluations of design record periodically conducted?
• Are design calculations and analyses documented and retrievable?
• Are design documents prepared, reviewed, approved, used, and revised in accordance with prescribed processes?
• Does a formal process exist to approve deviations from design requirements?
• Are Integrated Safety Management principles used during design defined and documented?
• Are Documented Safety Analysis requirements planned and scheduled and include appropriate design inputs and outputs?
• Are design interfaces identified, evaluated, and incorporated. Interfaces include national laboratories, design agencies, Architect Engineering firms,etc?
• Do design calculations and analyses demonstrate that requirements and design bases are met?
• Are contractor mechanisms for completing design reviews explicitly used?
• Are contractor design reviews completed by appropriate personnel who are properly trained?
• Are independent peer reviews completed in accordance with a documented process?
• Are SSC designs validated prior to field implementation in accordance with a defined process?
• Are SSC design criteria linked to the safety function and functional requirements identified in the safety basis documents?
• Do SSC drawings include applicable design requirements derived from safety functions and functional requirements identified in the authorization basis?
• Is SSC design criteria explicitly checked against the set of appropriate standards?
• Is failure analysis, including consideration for single point failures is included in the SSC design process?
• Are specific training and qualification programs for design personnel established?
• Are individual training records for design personnel maintained?
• Do design personnel receive continuing training based on an established process?

Performance Objective 3: DOE Line Management Oversight

• Are Site Office Project personnel qualified and trained to the Project Management System with respect to ES&H/QA requirements integration?
• Do Site Office Project personnel develop plans and schedules, assign resources and assess progress on a day-to-day basis, ensuring safety is integrated into both Federal and Contractor management and work practices at all levels? (DOE 413.3)(Draft Project Management Practices (10/00), Figure 3-9)
• Is there a process to incorporate ES&H/QA lessons learned information into planning and/or training programs (FRAM 9.6.1.1, 9.6.2.1)

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