Management and Coordination - doe-std-1104-96

DOE-STD-1104-96

MANAGEMENT AND COORDINATION

1.1

Responsibilities and Authorities

Appendix A of 10 CFR 830 states "The DOE Management Official for a DOE nuclear

facility (that is, the Assistant Secretary, the Assistant Administrator, or the Office Director

who is primarily responsible for the management of the facility) has primary responsibility

within DOE for ensuring that the safety basis for the facility is adequate and complies with

the safety basis requirements of Part 830." It further states "The DOE Management

Official is responsible for ensuring the timely and proper (1) review of all safety basis

documents submitted to DOE and (2) preparation of a safety evaluation rep ort

concerning the safety basis for a facility." Paragraph 9.4.1.6 of the FRAM states that a

CSO can delegate this authority to the FEM for the facility. By assigning responsibilities

for the review and approval of the DSA to another individual, the DOE Management

Official for the facility establishes that individual as the new approval authority. Assigning

responsibilities carries concurrent delegation of authority recognized by the line

management and those responsible for monitoring and auditing implementation of the

Rule.

The approval authority is responsible for providing a defensible review and approval of

the DSA. Achieving defensible review and approval is facilitated by an independent

review process. Since both the preparation of the DSA and its review and approval

typically fall within the purview of the approval authority, the approval authority assigns a

review team leader the responsibility of performing the independent review. In making

this assignment, the approval authority ensures that the review team leader maintains

sufficient independence of the line organization responsible for the DSA preparation (i.e.,

no responsibility for preparation of the DSA under review) and possesses the technical

competence relevant to the DSA of concern. The details of independently reviewing the

DSA, up to and including recommending approval to the approval authority, are managed

by the review team leader.

The approval authority has responsibility as the single point of contact between DOE and

the facility contractor for all matters regarding review of the DSA. This responsibility is

typically assigned to the review team leader, but the approval authority remains the final

authority on any points requiring arbitration. The single point of contact is the focal point

through which DOE and the facility contractor interface and from which directions to the

facility contractor originate. Requests for any material on the DSA, determination of the

significance of identified issues on such material, and direc tion to the facility contractor

for resolution of issues are approved by the single point of contact. As appropriate,

transmittal of official communications and directions involving significant work effort by

the facility contractor are coordinated with the facility Contracting Officer. Line

management personnel and representatives of organizations responsible for monitoring

and auditing 10 CFR 830 implementation coordinate their activities through the single

point of contact as well.

The approval authority has the specific responsibility of ensuring the review and approval

process represents all DOE entities with vested interest in the facility under review and

considers commitments made to agencies outside DOE. Agencies external to DOE,

however, have no standing under the Orders/Rules structure for approval. Identifying safety

issues and their resolution may involve negotiations between concerned organizations.

Discounting a safety issue raised by any vested interest without giving the issue proper

consideration could reduce safety assurance.

On behalf of the approval authority, the review team leader coordinates the day -to-day

aspects of managing the review and approval process for the DSA. General

responsibilities in this capacity include: