STD-1104 Roll-Out

DOE-STD-1104-2014, Review and Approval of Nuclear Facility Safety Basis and Safety Design Basis Documents Changes to DOE-STD-1104 and Expectations for Effective Implementation 1 DOE-STD-1104-2014 Roll-out AU Roll-out Contacts 2  Garrett Smith, Director, Nuclear Safety Basis and Facility Design, Office of Nuclear Safety (DOE AU-31) Phone: 301/903-7440; E-mail: garrett.smith@hq.doe.gov  David Compton, Consultant, PEC Phone: 202/586-1034; E-mail: david.compton@hq.doe.gov  Jeff Woody, Consultant, Link Technologies Phone: 865/300-5604; E-mail: wjwoodyjr@gmail.com  Terry Foppe, Consultant, Link Technologies Phone: 303/915-8353; E-mail: terryfoppe@comcast.net DOE-STD-1104-2014 Roll-out AU Thanks to Many Contributors (And there were more than these…) 3 Sam Rosenbloom Bob Nelson David Nester Carl Sykes Jim Goss Kelli Markham David Corporandy Carol Sohn Jim O’Brien Brad Evans DNFSB Staff Mark Mitchell DOE-STD-1104-2014 Roll-out AU Objectives  Understand the history and drivers for changes in DOE-STD-1104-2014  Understand the major differences between DOE-STD-1104-2009 and DOE-STD-1104- 2014  Understand key requirements of DOE-STD-1104-2014 and expectations for effective implementation 4 DOE-STD-1104-2014 Roll-out AU Drivers of Recent Changes  Experience and Lessons Learned from years of use of DOE-STD-1104  DOE O 420.1C, Facility Safety (12/4/2012)  Revision of DOE-STD-3009-2014 (11/12/2014)  DNFSB Recommendation 2010-1, Issued October 2010, and associated DOE 2010-1 Implementation Plan (9/26/2011)  Revise DOE-STD-1104 to formally establish requirements for DOE federal review of DSAs. 5 DOE-STD-1104-2014 Roll-out AU Drivers of Recent Changes (Cont.)  DOE IP 2010-1, Regulatory Options Paper (Sect. 6.5) SOE Decisions (10/18/2014 Letter, Moniz to Winokur): • No Changes to 10 C.F.R. 830, • Invoke revised DOE-STD-1104 as required method in DOE O 420.1C, • Apply revised DOE-STD-3009-2014 via change to DOE O 420.1C to: (1) new facilities, (2) major modifications to existing facilities, and (3) existing facilities with mitigated dose estimates over the EG 6 DOE-STD-1104-2014 Roll-out AU History of Revision Development  Project Justification Report Approved – February 2013  Draft DOE-STD-1104 into RevCom – December 2013  SOE Letter on Reg. Options Approved – October 2014  DOE-STD-3009-2014 Approved – November 2014  DOE-STD-1104-2014 Approved – December 2014  DOE O 420.1C Page Change Approved – Imminent 7 DOE-STD-1104-2014 Roll-out AU Implementing Requirement  DOE O 420.1C, Page Change (approval imminent) Section 4: “REQUIREMENTS. DOE must … i. Review and approve safety basis and safety design basis documents in accordance with DOE-STD-1104-2014, Review and Approval of Nuclear Facility Safety Basis and Safety Design Basis Documents.” Section 5.d: RESPONSIBILITIES. Heads of Field Elements. (13) In accordance with DOE-STD-1104-2014, review and approve safety basis and safety design basis documents. 8 DOE-STD-1104-2014 Roll-out AU DOE-STD-1104-2014 Document Types For Review 9 Nuclear Facility Safety Basis Documents Safety Design Basis Documents (Key Driver: 10 C.F.R. 830) (Key Driver: DOE-STD-1189-2008 per DOE O 413.3B and O 420.1C) DSA (all types) SDS TSRs CSDR USQ Procedure PSDR JCO and ESS PDSA (also 10 C.F.R. 830 requirement) Downgrade to < HC-3 DOE-STD-1104-2014 Roll-out AU DOE-STD-1104-2014

Core Requirement  “The SER for a given facility or operation shall document [Section 7.1, paragraph 10, page 30]: (1) the conduct of an appropriate review of the safety basis document (e.g., PDSA, DSA, or TSRs); (2) the bases for approving these documents (see Sections 4, 5, and 6 of this Standard for approval bases for different safety basis documents); and (3) any conditions of approval.” 10 DOE-STD-1104-2014 Roll-out AU DOE-STD-1104-2014 Major Changes to Requirements  Establishes Evaluation Requirements and Approval Levels for facilities over the EG,  Establishes requirement that at least one member of the SBRT meets the requirements of DOE-STD- 1183-2007 (Nuclear Safety Specialist)  Requirements added related to approval of USQ procedure, JCO and ESS, downgrades to below HC-3 facilities (for final hazard cat. only), and SDS.  Removed requirement statements that duplicated 10 C.F.R. 830 or other higher-level sources, and ones that were unnecessary or rhetorical. 11 DOE-STD-1104-2014 Roll-out AU DOE-STD-1104-2014 Major Changes to Approval Bases  Additions and Clarifications to the Bullets in Section 4.3, Hazard and Accident Analyses, to reflect DOE-STD-3009-2014  Addition of a Defense-in-Depth Basis of Approval  Significant Changes to Bases of Approval for TSRs  Addition of Bases of Approval for USQ procedure, JCO and ESS, downgrade to below HC-3 facilities, and SDS 12 DOE-STD-1104-2014 Roll-out AU DOE-STD-1104-2014 Exemptions and Equivalencies  “Alternate DSA Methods” are processed per DOE-STD-1083-2009; applies when DSA safe- harbor method is not followed completely  Although not discussed in DOE-STD-1104- 2014, O 420.1C exemptions and equivalencies may be sought on STD-1104 requirements  DOE-STD-1104 review of design requirements does not constitute a DOE O 420.1C exemption 13 DOE-STD-1104-2014 Roll-out AU DOE-STD-1104-2014 Structure of the Standard 1. Introduction 2. Applicability and Scope 3. Management & Coordination of Safety Basis Reviews 4. Approval of DSAs 5. Approval of TSRs 6. Approval of other Safety Basis Related Documents 7. Safety Evaluation Reports 8. Safety Design Basis Documents [Note: DOE-STD-1189-2008 is under revision] 14 DOE-STD-1104-2014 Roll-out AU DOE-STD-1104-2014 Review Process  Safety Basis Approval Authority (SBAA) – PSO delegation to SBAA and qualifications per DOE O 450.2  Safety Basis Review Team (SBRT) Leader  Review Plan  Review Team Members  Issue Resolution – i.e., normal management chain, SBAA makes the final decision, minority opinions/dissenting views documented in the SER record, Differing Professional Opinions per DOE O 452.2  Graded Approach [Note: STD-1104-2014 Section numbers in upper right box.] 15 3.0 DOE-STD-1104-2014 Roll-out AU Approval Bases for DSA  Base Information – No significant changes  Hazard Analysis/Accident Analysis  More emphasis on appropriateness of Hazard Analysis methodology (e.g., techniques, inputs, assumptions)  Inclusion of co-located worker  Clarification of Accident Analysis review criteria (source term assumptions, use of PRA, dispersion modeling protocol, mitigated analysis results, planned operational improvements, Beyond DBA)  Defense in Depth – Adequacy of layers of controls  Safety SSCs – added review criterion on system evaluation 16 4.0 DOE-STD-1104-2014 Roll-out AU Approval Bases for DSA (Cont’d)  Specific Administrative Controls – Additional

review criteria consistent with Safety SSC bases  Derivation of TSRs – No significant change  Safety Management Programs – New criteria on key characteristics of programs per hazard analysis  Existing Facilities with Mitigated Offsite Consequence Estimates Over the EG – New approval bases for all safe harbor methods based on corresponding DOE-STD-3009-2014 requirements 17 4.0 DOE-STD-1104-2014 Roll-out AU Approval Bases for TSRs  Significant revision of TSR approval bases  TSR Consistency with DSA – Linkage to essential elements of DSA controls and SER (i.e., Conditions of Approval)  TSR Consistency with DOE G 423.1-1  Review criteria tied to six primary TSR sections (i.e., Use and Application, Safety Limits, LCS/LCOs, Administrative Controls, Design Features, and Bases Appendix) 18 5.0 DOE-STD-1104-2014 Roll-out AU Approval Bases for “Other SB Related Documents”  USQ Process – Approval via SER or letter with approval basis linked to DOE G 424.1-1B expectations  USQ Procedure  ESS  JCO  Facility Hazard Categorization Downgrade to “Below Hazard Category 3”  Final hazard categorization guidelines in NSTP 2002-2  Graded review criteria commensurate with DSA approval bases  Clarification on downgrades related to gross inventory changes 19 6.0 DOE-STD-1104-2014 Roll-out AU Approval Bases for Safety Design Basis Documents  Review Bases for SDS in Section 8.3 – Review documented in SVR or letter (with attached basis for approval)  No significant changes to Safety Design Documents or PDSA review criteria  Minor formatting changes  Updated DOE O 420.1C reference  Likely to be updated after DOE-STD-1189-2008 revision is complete (est. 2016) 20 8.0 DOE-STD-1104-2014 Roll-out AU DOE-STD-1104-2014 Roll-Out Summary  DOE-STD-1104-2014 is the required method for DOE review and approval of both safety basis documents and safety design basis documents.  The revised STD-1104-2014 provides clarified and expanded requirements for preparing SERs and other DOE approval documents  New review criteria for other safety basis related documents (e.g. USQ documents, SDS, final hazard categorization downgrades)  We want your feedback and questions.  Questions? 21