Guiding Principles - DOE-STD-1104-96

DOE-STD-1104-96

GUIDING PRINCIPLES

The following guiding principles pertain to the application and provisions of this Standard.

The documents (i.e., DOE orders, manuals, guides, and standards) listed

in Table 2 of Appendix A to 10 CFR 830 Subpart B provide approved

methodologies for meeting the DSA requirements of 10 CFR 830.

Developed consistent with and as a companion to these documents, this

standard does not reiterate the provisions of these documents.

If a contractor uses a method other than a safe harbor method, it must

obtain DOE approval of the method before developing the DSA. Likewise,

if a contractor uses a safe harbor method to develop the DSA, but does not

follow the method completely, the contractor should request DOE approval

of the method with the specific deviations noted. The use of alternative

methods or specific deviations from the safe harbor methods must have,

(1) for NNSA facilities the approval of the Deputy Administrator or for non-

NNSA facilities the approval or concurrence [if the responsibility is

delegated to the field element manager (FEM)] of the Cognizant Secretarial

Office (CSO) as specified in paragraph 9.3.1 of DOE Manual 411.1-1B,

"Safety Management Functions, Responsibilities, and Authorities Manual

(FRAM)", and (2) the approval of the FEM and the review and concurrence

(or comment if an NNSA facility is involved) of the DOE Headquarters

Office of Environment, Safety, and Health (DOE HQ / EH) as specified in

paragraph 9.4.1.6 of the FRAM.

The DOE Management Official (i.e., the Assistant Secretary, the Assistant

Administrator, or the Office Director) who is primarily responsible for a DOE

nuclear facility may assign responsibility to their designees for review and

approval of the DSA and TSRs and delegate authority commensurate with

this responsibility. Paragraph 9.4.1.6 of the FRAM states that a Cognizant

Secretarial Officer can delegate this authority to the FEM for the facility.

Through such actions, the DOE Management Official establishes a new

approval authority but does not relinquish the ultimate responsibility and

authority in ensuring adequate performance of that approval authority. In

carrying out assigned responsibilities, the approval authority, if not the

DOE Management Official, is at all times accountable to the DOE

Management Official.

Independent review of the DSA and TSRs facilitates achieving defensible

approval. Since both the preparation and the review and approval of these

documents may fall under the purview of the approval authority, independent

review is achieved by designating a review team leader with the res ponsibility

and authority to conduct independent assessments. The review team leader is

independent of any responsibility for preparation of the documents under

review.

The approval authority is the single point of contact between DOE and the

facility contractor for all areas of review and approval of DSA and TSRs. In

this capacity, the approval authority serves as the focal point through which

DOE interfaces with the facility contractor and from which directions to the

facility contractor originate. This is accomplished through the review team

leader and in conjunction with official contractor interfaces.

DOE is responsible for both the operation and the regulation (e.g., review

and approval of DSAs and TSRs) of the facilities for which these