The PDF version 
U.S. Department of Energy ORDER
Washington, D.C. DOE 5480.19
7-9-90
Change 1: 5-18-92
Change 2: 10-23-01
SUBJECT: CONDUCT OF OPERATIONS REQUIREMENTS FOR DOE FACILITIES
1. PURPOSE. To provide requirements and guidelines for Departmental Elements, including the National Nuclear Security Administration (NNSA), to use in developing directives, plans, and/or procedures relating to the conduct of operations at DOE facilities. The implementation of these requirements and guidelines should result in improved quality and uniformity of operations.
2. SCOPE. The provisions of this Order apply to all Departmental Elements, including the NNSA, and contractors performing work for the Department as provided by law and/or contract and as implemented by the appropriate contracting officer.
3. DEFINITIONS.
a. DOE Facility Representative. For each major facility or group of lesser facilities, an individual assigned responsibility by the Head of the Field Element for monitoring the performance of the facility and its operations. This individual shall be the primary point of contact with the contractor and will be responsible to the appropriate DOE Program Office and field elements for implementing the requirements of this Order.
b. Program Manager. The DOE Headquarters (HQ) individual, designated by and under the direction of a Program Secretarial Officer, or NNSA Deputy/Associate Administrator who is directly involved in the operation of facilities under his or her cognizance and with signature authority to provide technical direction through DOE field elements to contractors for these facilities.
4. POLICY. It is the policy of the Department that the conduct of operations at DOE facilities be managed consistent with the requirements of this Order:
a. Operations at DOE facilities be conducted in a manner to assure an acceptable level of safety;
b. Operators at facilities have procedures in place to control the conduct of their operations;
c. Line organizations review existing and planned programs important to safe and reliable facility operations; and
d. Line organizations assess the effectiveness of corporate directives, plans, or procedures at facilities under their cognizance.
5. REQUIREMENTS.
a. Each PSO, field element and contractor shall use this Order and Attachment 1 in the review and development of existing and proposed directives, plans, or procedures relating to the conduct of operations at DOE facilities.
b. A graded approach shall be used in the application of the guidelines provided in Attachment I to assure that the depth of detail required and the magnitude of resources expended for operations are commensurate with each facility's programmatic importance and potential environmental, safety, and/or health impact.
c. Conformance with the requirements of this Order shall be documented. However, it is not necessary to develop a separate manual or plan. As a minimum, a document (e.g., a matrix) shall be prepared in coordination with the Head of the Field Element and the cognizant Program Secretarial Officer(s) that:
(1) Indicates whether a specific guideline applies to a facility;
(2) Indicates where and how each of the guidelines (Attachment 1) of this Order are applied within the field element’s and contractor's existing policies and procedures; and
(3) Identifies any deviations or exemptions from the guidelines.
This document shall, as a minimum, be approved by the Head of the Field Element.
6. RESPONSIBILITIES AND AUTHORITIES.
a. Program Secretarial Officers (PSOs) shall:
(1) Provide direction to field elements for the conduct of operations for facilities under their cognizance.
(2) Ensure the preparation, review, and approval of field element and contractor documentation implementing the requirements of this Order for programs under their cognizance; and
(3) Ensure that Program Managers oversee the conduct of operations at those facilities under their cognizance in accordance with the requirements of this Order.
b. Environment, Safety and Health (EH-1) acting as the independent element responsible for assuring the protection of the public, workers, and the environment from DOE operations, shall:
(2) Develop, and maintain policies necessary to implement and sustain effective DOE-wide conduct of operations of facilities and associated equipment/systems;
(3) Develop, promulgate, and maintain guidance materials and conduct training and workshops, as necessary, for line management to implement the above policies and procedures;
(3) Monitor appraisal reports relative to conduct of operations at DOE facilities to review implementation of this Order to identify needed requirements, and
(4) Provide interpretation to the requirements of this Order upon request.
c. Heads of Field Elements shall:
(1) Ensure that adequate field element and contractor plans, procedures, and programs are in place and assess the effectiveness of their implementation at sites under their jurisdiction, consistent with the provisions of this Order;
(2) Ensure that a DOE Facility Representative is assigned responsibility for a major facility or group of lesser facilities, and oversee the day-to-day conduct of operations at these facilities in accordance with the requirements of this Order and the direction received from the Program Manager; and
(3) Approve documentation prepared by the field element and contractor to demonstrate conformance to the guidelines in Attachment 1.
d. Director, Naval Nuclear Propulsion Program, Executive Order 12344, statutorily prescribed by Public Law (P.L.) 98-525 (42 United States Code 7158, Note) establishes the responsibilities and authority of the Director, Naval Nuclear Propulsion Program (who is also the Deputy Administrator for Naval Reactors, NNSA) for all facilities and P.L.106-65 (Oct. 5, 1999) activities which comprise the Program, a joint Navy-DOE organization. These executive and legislative actions establish the responsibilities of the Director as including the safety of reactors and associated naval nuclear propulsion plants, the control of radiation and radioactivity associated with naval nuclear propulsion plants, and the o crating practices and procedures applicable to naval nuclear propulsion plants. Accordingly, the provisions of this Order do not apply to the Naval Nuclear Propulsion Program. The Director shall establish the conduct of operations requirements implemented within the program.
e. Heads of Power Administration, In accordance with Section 302 of the Department of Energy Organization Act (Public Law 95-91), the Secretary operates and maintains the Power Marketing Administration (PMA) electric power transmission systems by and through the PMA Administrators. The PMAs have in place operations management programs. which are geared to the special needs of utility operations, are responsive to coordinated multi-utility system requirements, and are in conformance with prudent utility practice. In view of the unique nature of the Administrators' obligations to meet their statutory and public utility responsibilities for the safety, security, and reliability of electric power transmission and of their legal and contractual obligation, the Administrators shall determine the appropriate operations management program for their facilities, which will include consideration of appropriate parts of the criteria set forth by this Order.
BY ORDER OF THE SECRETARY OF ENERGY:
FRANCIS S. BLAKE
Deputy Secretary
GUIDELINES FOR THE CONDUCT OF
OPERATIONS AT DOE FACILITIES
TABLE OF CONTENTS
Page
GENERAL INTRODUCTION...................................................I-12
CHAPTER I. OPERATIONS ORGANIZATION AND ADMINISTRATION.................I-15
A. Introduction.................................................I-15
B. Discussion...................................................I-15
C. Guidelines...................................................I-16
1. Operations Policies.....................................I-16
2. Resources...............................................I-16
3. Monitoring of Operating Performance.....................I-16
4. Accountability..........................................I-18
5. Management Training.....................................I-18
6. Planning for Safety.....................................I-18
CHAPTER II. SHIFT ROUTINES AND OPERATING PRACTICES....................I-19
A. Introduction.................................................I-19
B. Discussion...................................................I-19
C. Guidelines...................................................I-20
1. Status Practices........................................I-20
2. Safety Practices........................................I-20
3. Operator Inspection Tours...............................I-20
4. Round/Tour Inspection Sheets............................I-21
5. Personnel Protection....................................I-22
6. Response to Indications.................................I-23
7. Resetting Protection Devices............................I-23
8. Load Changes............................................I-24
9. Authority to Operate Equipment..........................I-24
10. Shift Operating Bases...................................I-24
11. Potentially Distractive Written Materials and Devices...I-25
CHAPTER III. CONTROL AREA ACTIVITIES..................................I-27
A. Introduction.................................................I-27
B. Discussion...................................................I-27
C. Guidelines...................................................I-27
1. Control Area Access.....................................I-27
2. Professional Behavior...................................I-27
3. Monitoring the Main Control Boards......................I-28
4. Control Operator Ancillary Duties.......................I-28
5. Operation of Control Area Equipment.....................I-28
CHAPTER IV. COMMUNICATIONS............................................I-29
A. Introduction.................................................I-29
B. Discussion...................................................I-29
C. Guidelines...................................................I-29
1. Emergency Communications Systems........................I-29
2. Public Address System...................................I-30
3. Contracting Operators...................................I-30
4. Radios..................................................I-30
5. Abbreviations and Acronyms..............................I-31
6. Oral Instructions and Informational Communications......I-31
CHAPTER V. CONTROL OF ON-SHIFT TRAINING...............................I-33
A. Introduction................................................ I-33
B. Discussion...................................................I-33
C. Guidelines...................................................I-34
1. Adherence to Training Programs..........................I-34
2. On-shift Instructor Qualification.......................I-34
3. Qualified Operator Supervision and Control of Trainees..I-34
4. Operator Qualification Program Approval.................I-35
5. Training Documentation..................................I-35
6. Suspension of Training..................................I-35
7. Maximum Number of Trainees..............................I-35
CHAPTER VI. INVESTIGATION OF ABNORMAL EVENTS..........................I-37
A. Introduction.................................................I-37
B. Discussion...................................................I-37
C. Guidelines...................................................I-38
1. Events Requiring Investigation..........................I-38
2. Investigation Responsibility............................I-39
3. Investigator Qualification..............................I-40
4. Information to be Gathered..............................I-40
5. Event Investigation.....................................I-41
6. Investigative Report....................................I-42
7. Event Training..........................................I-42
8. Event Trending..........................................I-43
9. Sabotage................................................I-43
CHAPTER VII. NOTIFICATIONS............................................I-45
A. Introduction.................................................I-45
B. Discussion...................................................I-45
C. Guidelines...................................................I-45
1. Notification Procedures.................................I-45
2. Notification Responsibility.............................I-46
3. Names and Phone Numbers.................................I-46
4. Documentation...........................................I-46
5. Communication Equipment.................................I-46
CHAPTER VIII. CONTROL OF EQUIPMENT AND SYSTEM STATUS..................I-47
A. Introduction.................................................I-47
B. Discussion...................................................I-47
C. Guidelines...................................................I-47
1. Status Change Authorization and Reporting...............I-47
2. Equipment and System Alignments.........................I-48
3. Equipment Locking and Tagging...........................I-49
4. Operational Limits Compliance...........................I-49
5. Equipment Deficiency Identification and Documentation...I-49
6. Work Authorization and Documentation....................I-50
7. Equipment Post-Maintenance Testing and Return to
Service...............................................I-50
8. Alarm Status............................................I-50
9. Temporary Modification Control..........................I-51
10. Distribution and Control of Equipment and System
Documents.............................................I-51
CHAPTER IX. LOCKOUTS AND TAGOUTS......................................I-53
A. Introduction.................................................I-53
B. Discussion...................................................I-53
C. Guidelines...................................................I-53
1. Lockout/Tagout Use......................................I-53
2. Lockout and Tagout Implementation.......................I-54
3. Protective Materials and Hardware.......................I-55
4. Lockout/Tagout Program..................................I-56
5. Procedures for Lockout/Tagout...........................I-56
6. Application of Lockout/Tagout...........................I-58
7. Testing or positioning of equipment or components.......I-60
8. Periodic Inspections....................................I-60
9. Caution Tags............................................I-60
10. Training and Communication..............................I-61
11. Lockout or Tagout Implementation........................I-63
12. Notification of Personnel...............................I-63
13. Outside Contractors.....................................I-63
14. Group Lockouts or Tagouts...............................I-63
15. Shift or Personnel Change...............................I-63
CHAPTER X. INDEPENDENT VERIFICATION...................................I-65
A. Introduction.................................................I-65
B. Discussion...................................................I-65
C. Guidelines...................................................I-66
1. Components Requiring Independent Verification...........I-66
2. Occasions Requiring Independent Verification............I-67
3. Verification Techniques.................................I-69
CHAPTER XI. LOGKEEPING................................................I-72
A. Introduction.................................................I-72
B. Discussion...................................................I-72
C. Guidelines...................................................I-72
1. Establishment of Operating Logs.........................I-72
2. Timeliness of Recordings................................I-73
3. Information to be Recorded..............................I-73
4. Legibility..............................................I-73
5. Corrections.............................................I-74
6. Log Review..............................................I-74
7. Care and Keeping of Logs................................I-74
CHAPTER XII. OPERATIONS TURNOVER......................................I-75
A. Introduction.................................................I-75
B. Discussion...................................................I-75
C. Guidelines...................................................I-75
1. Turnover Checklists.....................................I-75
2. Document Review.........................................I-77
3. Control Panel Walkdown..................................I-77
4. Discussion and Exchange of Responsibility...............I-78
5. Shift Crew Briefing.....................................I-78
6. Reliefs Occurring During the Shift......................I-78
CHAPTER XIII. OPERATIONS ASPECTS OF FACILITY CHEMISTRY AND UNIQUE
PROCESSES....................................................I-79
A. Introduction.................................................I-79
B. Discussion...................................................I-79
C. Guidelines...................................................I-79
1. Operator Responsibilities...............................I-79
2. Operator Knowledge......................................I-80
3. Operator Response to Process Problems...................I-81
4. Communicating Between Operations and Process Personnel..I-81
CHAPTER XIV. REQUIRED READING.........................................I-83
A. Introduction.................................................I-83
B. Discussion...................................................I-83
C. Guidelines...................................................I-83
1. File Index..............................................I-83
2. Reading Assignments.....................................I-83
3. Required Dates for Completion of Reading................I-84
4. Documentation...........................................I-84
5. Review..................................................I-84
CHAPTER XV. TIMELY ORDERS TO OPERATORS................................I-85
A. Introduction.................................................I-85
B. Discussion...................................................I-85
C. Guidelines...................................................I-85
1. Content and Format......................................I-85
2. Issuing, Segregating, and Reviewing Orders..............I-86
3. Removal of Orders.......................................I-86
CHAPTER XVI. OPERATIONS PROCEDURES....................................I-87
A. Introduction.................................................I-87
B. Discussion...................................................I-87
C. Guidelines...................................................I-88
1. Procedure Development...................................I-88
2. Procedure Content.......................................I-88
3. Procedure Changes and Revisions.........................I-90
4. Procedure Approval......................................I-91
5. Procedure Review........................................I-92
6. Procedure Availability..................................I-92
7. Procedure Use...........................................I-92
CHAPTER XVII. OPERATOR AID POSTINGS...................................I-95
A. Introduction.................................................I-95
B. Discussion...................................................I-95
C. Guidelines...................................................I-95
1. Operator Aid Development................................I-95
2. Approval................................................I-95
3. Posting.................................................I-95
4. Use of Operator Aids....................................I-96
5. Documentation...........................................I-96
6. Review..................................................I-96
CHAPTER XVIII. EQUIPMENT AND PIPING LABELING..........................I-97
A. Introduction.................................................I-97
B. Discussion...................................................I-97
C. Guidelines...................................................I-97
1. Components Requiring Labeling...........................I-97
2. Label Information.......................................I-98
3. Label Placement.........................................I-98
4. Replacing Labels........................................I-99
Attachment I DOE 5480.19 Chg 2
Page I-12 10-23-01
GENERAL INTRODUCTION
The guidance contained in this attachment for the Conduct of Operations at DOE facilities is based on well-developed industrial operations practices. The guidelines are written to be flexible, so that they encompass the range from large, permanent DOE test or production facilities to small research or
testing facilities. These guidelines form a compendium of good practices and describe key elements of programs that support operations at DOE facilities. Their implementation should result in a high level of performance and therefore contribute to safe and reliable operation.
Experience has shown that the better operating facilities have well-defined, effectively administered policies and programs to govern the activities of the operating organization, including the areas described by these guidelines. These guidelines have, therefore, been prepared to assist facilities in the review and development of programs important to operations. Not all activities in the operations area are addressed. Some areas, such as the technical aspects of specific equipment operation, are not included because they involve facility-specific situations requiring unique direction. However, use of these guidelines should support or complement performance in the areas not addressed.
These guidelines have been written to assist facilities in meeting operations performance and safety objectives. It is intended that they be used to review existing or planned programs or facilities and in developing programs where none presently exist. It is expected that facilities may use different approaches or methods than those defined in the guidelines, but facilities are expected to meet the intent of these guidelines. Some expansion of the intent of the guidelines is provided in the introduction and discussions section for each chapter, and the specific guidelines that follow reflect generally accepted methods for conducting operational activities. Deviation from any particular guideline would not in itself
indicate a problem in operation. However, differences between the guidelines and actual practices should be reviewed to determine if a facility practice should be changed. A change in facility practice would be appropriate if a performance weakness is determined to exist. It is recognized that these guidelines cross into areas covered by multiple DOE Orders (e.g., DOE 5480.4 or DOE 5500), which need to be used on an equal basis. During the development of this guideline, no specific guidance was found which conflicts with other DOE Orders. If a user finds any conflicts, the matter should be resolved by the Program Manager, or field office and identified to EH.
These guidelines are also intended to be useful to Program Managers and
field offices responsible for oversight of facility operations. In
particular, these guidelines could be used to assess the effectiveness and
adequacy of policies and actions in the areas addressed. Groups reviewing
facility performance could use this document as a reference to support some
aspects of their activities. It is therefore incumbent upon Program
Managers, field offices, and facility management to review their operations,
and determine and document specific facility conformance with the
guidelines.
Each chapter of these guidelines is organized into three sections. The
Introduction briefly describes the objective to be achieved and describes,
where needed, the relationship of the chapter to other chapters. This is
followed by a Discussion section that concisely describes the actions needed
to accomplish the objectives and includes a brief explanation of why these
actions are necessary or important. The final section, the guidelines
themselves, provides specific guidance for meeting the chapter objectives.
In some cases, example situations accompany the guidelines. Such examples
should not be construed as the only method for meeting the intent of the
guidelines.
CHAPTER I
OPERATIONS ORGANIZATION AND ADMINISTRATION
A. INTRODUCTION
The organization and administration of operations should ensure that a
high level of performance in DOE facility operations is achieved through
effective implementation and control of operations activities.
Operations activities should recognize that environment, safety, and
productivity are compatible goals. DOE facility policies should
describe the philosophy of standards of excellence under which the
facility is operated and clear lines of responsibility for normal and
emergency conditions are established. Effective implementation and
control of operating activities are primarily achieved by establishing
written standards in operations, periodically monitoring and assessing
performance, and holding personnel accountable for their performance.
This chapter discusses the policies, resources, monitoring, and
accountability needed in operations.
B. DISCUSSION
A high level of performance in DOE operations is accomplished by
establishment of high operating standards by management, by
communicating operating standards to the working level, by providing
sufficient resources to the operations department, by ensuring personnel
are well trained, by closely monitoring performance in operations, and
by holding workers and their supervisors accountable for their
performance in conducting activities.
Senior management establishes operating standards, considering input
from the working level when appropriate. The working level will more
eagerly support the standards when they have had input into the
development of those standards. The standards should define operating
objectives, establish expected performance levels, and clearly define
responsibility in plant operations. Standards for operating activities
should also be integrated into operations department procedures and
programs. Operating standards should also be communicated to the
working level by training workers in operating practices and by
supervisory monitoring and guidance of work involving plant operations.
Sufficient staff, equipment, and funding should be allocated to permit
the operations department can effectively perform its functions.
Performance in operations should be closely monitored by facility
management, and operating reports and goals should be used so that the
performance of the operations department can be effectively measured.
Operations personnel should be held accountable for their performance
through supervisory counseling, performance appraisals and, when
necessary, disciplinary measures. Remedial training should be provided
when appropriate.
C. GUIDELINES
1. Operations Policies
Procedures or other definitive documentation should specify policies
that are to be applied for operations. These policies should
specify goals and the means to achieve those goals. These documents
should also provide for the types of controls necessary to implement
policies as discussed in this and other chapters of the guidelines.
Operations procedures should support facility and DOE guidance for
operations. Responsibilities for implementing these policies,
including the responsibility of shift personnel, if applicable,
should be clearly defined. Operations personnel should clearly
understand their authority, responsibility, accountability, and
interfaces with other groups. Physical security should be in
accordance with DOE 5630.11.
2. Resources
The operations supervisor for DOE facilities should be provided with
sufficient resources in materials and personnel to accomplish
assigned tasks without requiring excessive overtime by the
operations staff. These resources should include technical
personnel needed to support the operations. A long-range staffing
plan that anticipates personnel losses should be developed and
implemented.
3. Monitoring of Operating Performance
As described in Chapter VI, operating problems should be documented
and evaluated. Based on assessments of these problems, corrective
actions should be taken to improve the performance of the operations
department performance. Additionally, frequent direct observation
of operations activities by supervisors and managers is essential to
performance of monitoring operations.
Safety, Environment, and Operating goals should be used as a
management tool for involving cognizant groups or individuals in
improving operating performance and for measuring operating
effectiveness. Operations goals in areas such as the following
should be established:
- minimizing the unavailability of safety systems;
- minimizing personnel errors;
- As-Low-As Reasonably-Achievable (ALARA);
- minimizing lost facility capability;
- minimizing the number of unscheduled facility shutdowns per year;
- timely completion of scheduled surveillance;
- minimizing the amount of overtime;
- achieving and maintaining complete staffing and training of shift
positions;
- minimizing waste; and
- minimizing the number of lighted annunciators.
Goals should be auditable, measurable, realistic, and challenging.
Meeting goals should require a definite set of actions or an action
plan. The action plan should be developed with input from personnel
involved in conducting operations, reviewed by the operations
supervisor at DOE facilities, and approved by management. The
progress toward completing the action plan and achieving goals
should be monitored periodically. If results show a significant
variance from the desired progress in achieving goals, management
should review the action plan to ensure that it is adequate and is
being executed. An audit of performance relative to operating goals
should be provided to facility management and DOE. This summary
should include an explanation of performance and actions planned to
improve future performance.
Operating and safety goals should be set and used as motivators for
improvement, not as ends in themselves. The purpose is not simply
to meet a numerical goal; rather, the purpose is to improve and
monitor operating performance. Meaningless goals (i.e., goals that
are easy to meet with little action) should not be used.
Inspections, audits, reviews, investigations, and self-assessments
are a part of the checks and balances needed in an operating
program. Line managers and supervisors should perform routine
observations of personnel performing operating activities.
Deficiencies identified should be documented, trended, and
corrected. Also, other groups, such as quality assurance personnel,
should periodically review and assess operation performance. These
reviews can assist line managers and supervisors in identifying and
correcting problems.
4. Accountability
Workers and their supervisors should be held accountable for
operating performance. Personnel involved in significant or
frequent violations of operating practices should be counseled,
retrained, and disciplined, as appropriate. Supervisor performance
appraisals and promotions should include an assessment of operating
performance.
5. Management Training
Formalized supervisory and management training should be
incorporated into training programs. This is especially important
to the first-line supervisors on shift and should aid them in
managing shift activities.
6. Planning for Safety
Facility guidance should exist which describes safety preplanning
requirements for all operational activities. The guidance should
explain the role of safety analysis reviews, job safety analyses,
and the handling of safety matters. All operations personnel should
understand the safety planning requirements.
CHAPTER II
SHIFT ROUTINES AND OPERATING PRACTICES
A. INTRODUCTION
Standards for the professional conduct of operations personnel should be
established and followed so that operator performance meets the
expectations of DOE and facility management. The guidelines of this
chapter describe watchstanding practices that apply to all operating
personnel. Additional guidelines are delineated in Chapter III, Control
Area Activities. Chapter IV, Communications, describes some
communication practices applicable to all operations personnel. This
chapter describes some important aspects of routine shift activities and
watchstanding practices.
B. DISCUSSION
Professional conduct and good watchstanding practices result in
appropriate attention to facility conditions.
Effective equipment monitoring is necessary to detect abnormal
conditions or adverse trends so that appropriate action can be taken
before equipment malfunction occurs. Notifying supervisors promptly of
unusual or unexpected situations helps to ensure that proper attention
is given to changing and/or off-normal conditions. Equipment status and
the authority to operate equipment should be understood by all
operations personnel so that activities can be controlled and
coordinated. Operations personnel should follow proper industrial
safety, radiological protection (if applicable) and quality assurance
practices. These items are key elements that should be included in an
effective operator watchstanding program. A desire to conduct assigned
tasks expeditiously should not interfere with good watchstanding
practices.
It is the responsibility of the on-shift operating crew to safely
operate the DOE facility through adherence to operating procedures and
technical specification or operational safety requirements and sound
operating practices. The authority for operations should be vested in
the on-duty shift supervisor and transferred only through formal
turnover to a qualified relief.
The on-duty shift supervisor should maintain authority and
responsibility for all facility operations. If a special test,
evolution, or abnormal condition arises, facility personnel should be
aware that the responsibility and authority to determine corresponding
operating conditions, system alignments, or equipment manipulations
rests fully with the on-duty shift supervisor (or cognizant manager).
The shift supervisor (or cognizant manager) should not permit any
individual to bypass or overrule his/her operational judgment without
bringing the matter to the attention of higher line operational
authority.
C. GUIDELINES
1. Status Practices
The operator responsible for the facility should be promptly
notified of all changes in facility status, abnormalities, or
difficulties encountered in performing assigned tasks. Similarly,
the operator should notify the shift supervisor (or cognizant
manager for research and test facilities) of any unexpected
situations.
2. Safety Practices
Operations personnel should adhere to the requirements of the
facility industrial safety program. Proper hearing, eye, head,
foot, and respiratory protection should be worn in designated areas
to reduce the potential for injury. Similarly, ladders or other
approved means should be used to access equipment located in the
overhead when permanent steps or catwalks are not available, thus
minimizing the potential for accidents. Operators should not
routinely climb or walk on facility components and insulation,
because this could result in personnel injury or damage to
equipment. Operators should exercise appropriate precautions when
entering or working in or around energized panels or equipment. For
example, operators should ensure that electrical panel closures are
securely fastened prior to making the breakers operable to energize
equipment. This reduces the potential for personnel injury if a
fault causes breaker arcing during operation.
3. Operator Inspection Tours
Operator tours should be of sufficient detail to ensure that the
status of equipment is known. Each operator should conduct a
thorough tour of all areas within his/her responsibility, making
appropriate equipment inspections at designated times at least once
per shift. However, the operations supervisor may designate
specific rooms to be inspected less frequently because of adverse
radiological or equivalent personnel safety conditions, or more
frequently if problems have been encountered. In these cases, the
operations supervisor (or cognizant manager for research test
facilities) should specify an alternate inspection schedule. Plant
security concerns should not override operator safety assessment
duties. A tour normally should be made early in the shift, before
the operator attends to other duties, so that he/she can become
familiar with the condition and status of equipment for which he/she
is responsible. During the tour, equipment should be inspected to
ensure that it is operating properly or, in the case of standby
equipment, that it is fully operable. In addition, the following
activities should be conducted in conjunction with the tour:
a. The status of equipment (i.e., operating, standby, work in
progress, or out-of-service) should be determined so that the
operator will be best able to respond to problems he/she may
face during his/her shift.
b. Components, such as electrical panels, alarm panels, auto-start
standby equipment, and breakers should be inspected for abnormal
or unusual conditions. Unexpected conditions such as equipment
vibrations, unusual noises or smells, or excessive temperatures
should be reported to the control room so that supervisors will
be aware of the conditions and be able to direct repairs,
troubleshooting, or additional operator action, as necessary.
c. Equipment panel alarm light bulbs and annunciators should be
periodically checked to ensure satisfactory operation of visual
and audible abnormal condition indicators.
d. Each operator should inspect all areas for which he/she is
responsible and note any deficiencies that may be present.
These deficiencies may include steam, oil, or water leaks; fire
and safety hazards or radiological problems; seismic concerns
such as open electrical panels and mobile objects; clogged floor
drains; housekeeping or cleanliness problems; and building
deficiencies such as inoperative lighting, roof leaks, or doors
that do not close properly.
Operators should take appropriate action to correct or report
deficiencies noted during tours. Equipment deficiencies should also
be documented in accordance with the facility maintenance work
request system.
4. Round/Tour Inspection Sheets
Round inspection sheets are an effective method for providing
operators with guidance on the extent to which equipment and areas
should be inspected during routine tours. The recording of key
equipment parameters during tours provides a record of equipment
performance and can be used to reconstruct events leading up to
unusual occurrences or system malfunctions. This record permits
short-term trending by operators so that undesirable trends and
equipment problems can be identified and corrected. Round
inspection sheets also facilitate operator turnover of equipment
status and are an effective aid in the training and qualification of
new operators.
Round inspection sheets should be developed and approved by the
operations supervisor (or cognizant managers for test and research
facilities). They should include areas located within the
particular shift position and important parameters for equipment.
Where appropriate, equipment parameters should include maximum/
minimum values or expected operating ranges to enable operators to
recognize abnormal readings quickly. Safety limits derived from
Technical Specifications or Operational Safety Requirements should
be highlighted. Equipment should be listed on round sheets in the
same order that it would be encountered during a normal tour of the
operating station, and the round sheets should include a narrative
section.
Operators should use the narrative section to document major
evolutions, causes of abnormal conditions, and actions taken to
correct abnormal conditions. A narrative log book may be
substituted for the narrative section on the round sheet. Data
should be recorded on round sheets at the times specified by the
operations supervisor. When round sheet data is not obtained within
one hour of the specified time, the actual time the data was
obtained should be noted on the round sheet.
Parameters exceeding the specified maximum/minimum values should be
circled or otherwise highlighted on the round sheet and promptly
reported to the control room and/or the cognizant operations
manager. The causes of abnormal indications should be promptly
investigated with supervisors becoming involved as appropriate. The
round sheet data should be reviewed by a supervisor each shift to
identify trends or abnormal readings and to verify that data has
been properly recorded.
Operator rounds should be periodically monitored by supervisory
personnel to ensure that comprehensive tours continue to be
conducted, including, as necessary, periodic inspections of
equipment and areas not listed on the round sheets.
5. Personnel Protection
Operations personnel should be appropriately qualified to follow
good personnel protection practices to maintain personnel exposure
as low as reasonably achievable (ALARA) to radiation (DOE 5480.11),
chemicals, electromagnetic fields, toxic materials, or other
personnel hazards. In particular, operations personnel should
observe the following requirements:
a. Operators should adhere to all posted personnel protection
requirements and observe proper practices and precautions while
in controlled areas.
b. Operators should correctly utilize appropriate monitoring
instruments when required.
c. Operators should be cognizant of their own exposure levels and
take appropriate action to minimize exposures.
d. Operators should be knowledgeable of the proper use of radiation
work permits, safe work permits, or inhalation limits, where
applicable.
e. Operators should promptly report protection deficiencies and
hazards to the control personnel and/or appropriate protection
personnel. In addition, operators should take appropriate
immediate actions to reduce or correct the hazards.
f. Appropriate protection personnel should be informed prior to
evolutions or activities that have a potential to significantly
change conditions in the facility.
Operations supervisory personnel should periodically review exposure
trends of operating personnel under their supervision. Emphasis
should be placed on determining the adverse factors that contribute
to personnel exposures and minimizing those factors to keep
exposures as low as reasonably achievable.
6. Response to Indications
Operators should believe instrument readings and treat them as
accurate unless proven otherwise. Ignoring an unusual reading
because the operator believes an instrument is faulty can cause
abnormal conditions to be undetected. In general, operators should
check other indications, if possible, when unexpected readings are
observed. Prompt action should be taken to investigate the cause of
abnormal or unexpected indications so that prompt corrective action
can occur. When malfunctioning or inaccurate instruments are
discovered, they should be appropriately identified to prevent
subsequent confusion and instrument and control personnel should be
notified to effect repairs. In situations of operator doubt,
operators should be instructed to achieve facility, personnel, and
environmental safety above facility production.
7. Resetting Protective Devices
When protective devices trip (e.g., circuit breakers, fuses, reactor
protection channels where multichannel logic exists), an attempt
should be made to understand the cause of the trip before the device
is reset. Normally, before action is taken, an operator should
ensure no abnormal condition exists that would preclude reset.
However, because the consequences of inappropriately resetting
protective devices vary considerably, good judgment and specific
guidance are necessary in this area. The operations management
should provide the appropriate guidance so that tripped protective
devices will be properly addressed.
Facility trips and unplanned forced shutdown require a thorough
investigation in accordance with the guidance of Chapter VI.
8. Load Changes
The shift supervisor, the control room lead operator, or the
cognizant manager for a test and research facility should approve
all power or process rate changes because these persons are held
accountable for safe operation. Additionally, they will probably be
the persons most knowledgeable of problems that occur as a result of
load changes. However, the operator could decrease load or rate
without approval, if necessary, to respond to a facility emergency
situation in accordance with the facility's emergency procedures.
9. Authority to Operate Equipment
The overall operation of the facility should be directed by the
operations supervisor for a large DOE facility and by the cognizant
manager for a test and research facility. Operations management
should ensure that only trained and qualified personnel operate
plant equipment. In general, the operator and the operations
supervisor should be aware of all activities affecting equipment.
The operations supervisor should specify those general activities
that may normally be performed without informing the supervisor and
should amplify these specifications as appropriate. Examples of
such activities are pumping certain sumps (plant equipment
operators) and the routine minor adjusting of controls necessary for
maintaining stable process conditions. However, nonroutine
operation of controls should not be made without specific approval
of the shift supervisor. In addition, during emergencies, operators
may take necessary immediate actions required to ensure personnel,
plant, and environmental safety without obtaining prior approval;
however, appropriate supervisors should be promptly informed of
these actions. Operators should be instructed that plant safety
should be achieved over facility production for off normal and
emergency facility conditions.
10. Shift Operating Bases
The operating base is the facility area where an operator returns
when he is not performing in-plant duties. An operating base should
be established for each shift position. Each operating base should
be equipped with appropriate office equipment for the operator to
maintain necessary procedures and references and to conduct
administrative duties, and necessary communication equipment should
be available at the operating base. Shift turnovers should be
conducted within those facility areas assigned to the operations
department and typically at the operating base. The operating bases
should be located at a convenient place within the area of
responsibility for that shift position.
11. Potentially Distractive Written Material and Devices
Written material that does not relate to operation and entertainment
devices (such as radios, televisions, tape players, and computer
games) should be prohibited from use by on-duty operations personnel
in order to minimize distractions from their responsibilities.
Written material and entertainment devices should not be brought to
work stations. However, operators may read training bulletins,
technical manuals, or operating experience information or review
other written, audible, or visual materials that relate to operator
duties. Judgment should be used to ensure the operators' primary
duties are not compromised. The operations supervisor (or
equivalent) should provide guidance to the shift crews for the use
of potentially distractive materials and devices.
CHAPTER III
CONTROL AREA ACTIVITIES FOR DOE FACILITIES
A. INTRODUCTION
Control area activities should be conducted in a manner that achieves
safe and reliable facility operations. Other shift activities are
discussed in Chapter II, Shift Routines and Operating Practices. This
chapter addresses the important elements of control area activities that
are necessary to support safe and efficient facility operation.
B. DISCUSSION
The control area or control room is the most critical facility operating
base and the coordination point for all important facility activities.
Therefore, activities in the control area or control room must be
businesslike, and a professional atmosphere conducive to safe and
efficient operation must be maintained. In addition, control area
operators should not be overburdened with administrative
responsibilities, and control area access should be limited so that
operators will not be distracted from properly monitoring facility
parameters.
C. GUIDELINES
1. Control Area Access
Control area access should be limited to those persons on official
business only. The "at-the-controls" area of the control room
should be clearly identified, and its boundary should be understood
by all persons who are granted access to the control room. Access
to the "at-the-controls" area should be restricted to persons who
need to be in the area. Entry into this area should be granted by
designated individuals, and persons who might need to enter this
area should know who can grant access.
2. Professional Behavior
Professional behavior should be displayed in the control area at all
times. Only activities essential to supporting operation and
activities authorized by management should be conducted in the
control area. Potentially distracting activities (such as radio
listening, game playing, and horseplay) should be prohibited.
Non-job-related discussions should be minimized so as not to
interfere with conduct of the shift or monitoring of key parameters.
3. Monitoring the Main Control Panels
Operators should be alert and attentive to control panel indications
and alarms. Control panel indications should be monitored
frequently, and prompt action should be taken to determine the cause
of and correct abnormalities. Emphasis should be placed on closely
monitoring and trending to detect problem situations early.
Operator response to alarms should be timely, and actions should be
taken to address and correct the alarm causes. All reasonable
action should be taken to clear alarming conditions. The number of
evolutions affecting control panel indications that are performed
concurrently should be limited so that the operators' ability to
detect and respond to abnormal conditions will not be compromised.
If computer or automated systems are in place, there should be an
appropriate backup to those systems.
4. Control Operator Ancillary Duties
Duties assigned to operators should not interfere with their ability
to monitor facility parameters. Activities such as preparation of
tagging orders, reviews of operating procedures, required reading,
and review of maintenance work activities should not comprise a
major portion of these operators' shift responsibilities. The
administrative workload of operators responsible for monitoring and
operating the control board should be minimized. If one operator is
involved in administrative tasks, other operators should assume
responsibility to monitor the unit. Some administrative activities
are better performed away from the "at-the-controls" area by an
operator who is not responsible for operating the main control
panel.
5. Operation of Control Area Equipment
Only persons specifically authorized by the administrative
procedures of the operations department should operate control area
equipment. When trainees operate this equipment, they should be
supervised and controlled by the operator who normally would perform
the operations.
CHAPTER IV
COMMUNICATIONS
A. INTRODUCTION
Communications should be highly reliable in providing accurate
transmission of information within the facility. This chapter describes
the important aspects of a plant program for audible communications.
B. DISCUSSION
Audible communications are used to transmit operating and emergency
information within the facility. Oral (face-to-face), telephone, radio,
public address (page) announcements, sound-powered phones, and special
sounds (horns and bells) are examples of audible communications.
Since accurate communications are essential for the safe and efficient
operation of facilities, guidance in the use of the various forms of
audible communication is necessary. This includes repeating back
instructions to ensure the accurate transmission and receipt of verbal
instructions. Standardized terminology and the use of a phonetic
alphabet are other means of ensuring that verbal communications are
understood.
Many facilities use horns, sirens, bells, and the public address system
to alert personnel to abnormal or emergency conditions. These
communications must be controlled to ensure that they do not detract
from normal operations and are available in an emergency.
C. GUIDELINES
1. Emergency Communications Systems
Methods should be implemented to ensure all facility personnel are
promptly alerted to facility emergencies. When personnel are
working in areas where the public address system or emergency
signals cannot be heard, alternate methods for alerting these
persons should be utilized. Flashing lights, personal pagers that
vibrate and can be felt, and persons dedicated to notifications are
examples of alternate methods that might be effective.
Emergency communications systems should be periodically tested to
ensure that they are functional. Control areas should have the
capability of overriding other users of the public address system
for emergency announcements.
2. Public Address System
Use of the facility public address system (page) should be
administratively controlled to ensure it retains its effectiveness
in contacting plant personnel. Excessive use of the public address
system for paging of personnel and unnecessary announcements should
be avoided because excessive use can reduce the impact of important
announcements and can be distracting. Facility telephones and other
point-to-point communications channels should be used in lieu of the
public address system whenever practical. Consideration should be
given to dedicating certain paging system channels to specific
groups or functions, (e.g., a dedicated channel for routine
operations or a dedicated channel used only for emergencies).
3. Contacting Operators
Methods should be implemented to ensure that control areas can
quickly contact on-shift operators or supervisors. Examples cited
above in item 1, Emergency Communications Systems, for communication
in high-noise areas may be effective in accomplishing this function.
However, to avoid operator confusion, distinction should be made
between a routine and emergency notifications.
4. Radios
Portable radios can be an effective means of providing mobile
point-to-point communications and may be used for this purpose.
However, radio usage should not be allowed in areas where electronic
interference with plant equipment may result. Areas where radio use
is prohibited should be delineated. Instructions regarding
frequencies (channels) and postings should be provided.
Consideration should be given to dedicating certain radio channels
to specific groups or functions (e.g., a dedicated channel for
security or a dedicated channel employed integrated surveillance
tests).
5. Abbreviations and Acronyms
Only abbreviations and acronyms obtained from an approved list
should be used in facility communications. Both written and spoken
terms should be prescribed in the list. For example, residual heat
removal service water might be written "RHRSW" and spoken "RHR
service water."
6. Oral Instructions and Informational Communications
Oral instructions should be clear and concise. In all
communications, the sender and intended receiver should be readily
identifiable. Instructions involving the operation of equipment
should be repeated by the receiver to the extent necessary for the
sender to ensure the instructions are correctly understood.
CHAPTER V
CONTROL OF ON-SHIFT TRAINING
A. INTRODUCTION
Facility operation by personnel under instruction should be carefully
supervised and controlled to avoid mistakes in operations by unqualified
personnel and to use trainees' time effectively. On-shift training
should be conducted so that the trainee satisfactorily completes all of
the required training objectives and receives maximum learning benefit
from this experience. The guidelines of this chapter relate to control
of training activities by operations personnel. Other aspects of
training are covered by other DOE Orders.
B. DISCUSSION
On-shift training is that portion of an operator qualification program
where the trainee receives training within the job environment and with
as much hands-on experience as possible. This period of instruction is
normally controlled by the operations organization personnel because the
operation of equipment is usually involved. Operations-administered
controls are appropriate for the following aspects of the training
activities:
o On-shift training should adhere to established training programs so
that instructional uniformity will be maintained.
o On-shift instructors/evaluators should be qualified for the
activities they perform to ensure both correct operation and quality
training.
o Trainees should be supervised by qualified operators so that
unqualified personnel do not make mistakes that could affect safety.
o Policies that direct how trainees may be used to support operations
work activities should be developed. These policies should ensure
that trainee personnel are effectively and appropriately used and
that they are aware of all operating limits and hazards.
o The operations supervisor (or equivalent) should approve the
training program so that it will best meet operations needs.
o On-shift training should be appropriately documented.
C. GUIDELINES
1. Adherence to Training Programs
On-shift training should be conducted in accordance with training
programs that specifically identify items the trainee must
accomplish on shift. The knowledge requirements for each item
should be defined as well as what the trainee must do (perform,
simulate, observe, or discuss). Both the instructor and the trainee
should understand what is required for each training item.
2. On-shift Instructor Qualification
On-shift training should be conducted by qualified operators. This
may require the successful completion of appropriate instructor
training requirements for on-shift training. However,
operator-qualified training department personnel may also be used.
The on-shift instructors should be specifically selected, taking
into account communication skills, technical knowledge, and ability
to provide trainees with hands-on experience. In many cases, the
trainees will actually be operating equipment; this requires special
instructor techniques in order to prevent misoperation or damage of
equipment.
3. Qualified Operator Supervision and Control of Trainees
Whenever trainees operate equipment, a qualified operator serving as
an on-shift instructor should observe the trainee in order to ensure
the trainee does not make an error that could adversely impact the
facility. Until the trainee has demonstrated reasonable proficiency
in an operation, he/she should discuss the procedure steps,
cautions, and notes with the instructor. Trainees should also
demonstrate actions to be performed by pointing to the control
switch, valve, breaker, etc., that will be manipulated.
On-shift instructors should not become complacent with trainees.
Just because a trainee has performed a task once does not mean he is
aware of all problems that could occur. The instructor should
always monitor the trainee closely and remain in a position to
intervene or assume control, if necessary.
When trainees record equipment parameters on official round sheets
(as opposed to practice round sheets) or logs, the on-shift
instructor should verify that the recorded information is correct.
In addition, the trainee and on-shift instructor should discuss any
out-of-specification readings and the consequences of allowing such
trend to continue.
4. Operator Qualification Program Approval
The operator qualification program should be approved by the
operations supervisor, and changes to the program should be
coordinated with the training department. For operating positions
requiring certification, qualifications should be based on
one-to-one instruction at that station.
5. Training Documentation
Completion of the operator qualification program should be formally
documented. Classroom requirements and written exam results should
be documented by training department instructors. On-shift training
and system checkouts should be documented by on-shift instructors.
6. Suspension of Training
Trainee operation of equipment should be immediately suspended
during unanticipated or abnormal events, accident conditions, or
whenever the operations personnel or on-shift instructor believes
suspension is necessary to ensure safe and reliable facility
operation. During abnormal or accident conditions, trainees should
provide assistance at the discretion of the qualified operator.
7. Maximum Number of Trainees
The maximum number of trainees allowed to simultaneously participate
in any particular training evolution needs to be considered.
Consideration should be given to training effectiveness and to the
potential for adverse effects on the facility. A maximum limit for
the trainee-to-instructor ratio will ensure that the trainee is
provided with the most effective instruction and will ensure that
the instructor is not distracted by having too many trainees at
once. Shift supervisors should ensure that established limits are
observed.
CHAPTER VI
INVESTIGATION OF ABNORMAL EVENTS
A. INTRODUCTION
A program for the investigation of abnormal events should ensure that
facility events are thoroughly investigated to assess the impact of the
event, to determine the root cause of the event, to ascertain whether
the event is reportable to DOE in accordance with DOE 5000.3A,
OCCURRENCE REPORTING AND PROCESSING OF OPERATIONS INFORMATION OF 5/30/90
and to identify corrective actions to prevent recurrence of the event.
The program should include the investigation of "near miss" situations,
thus reducing the probability of a similar situation recurring as an
actual facility event. Abnormal events are not unique to the operating
organization. Therefore, the guidelines of this chapter may have
applicability in other areas besides operations. Required notifications
associated with abnormal events are addressed in Chapter VII and In DOE
5000.3A. This chapter covers important aspects of the abnormal event
investigation program.
B. DISCUSSION
An established and thorough review process should ensure that all
significant aspects of an abnormal event are identified, investigated,
and resolved. In addition, the investigation of "near miss" situations
can identify detrimental conditions that, if left uncorrected, can
impact safety and operations.
A comprehensive review program should identify those types of events
that require investigation, assign responsibility for conducting the
investigation, list necessary qualifications for those conducting
investigations, list the necessary information that must be examined,
outline the steps for performing an investigation, and establish
guidelines for assigning and completing corrective action.
It is helpful to define which circumstances should result in an abnormal
event investigation. The criteria should be available to first-line
supervisors so that, following an event, the investigation process can
begin in a timely manner. The list of events or criteria requiring an
event investigation should be based on DOE requirements. The
requirements include such considerations as personnel safety, facility
safety and reliability, and DOE requirements.
A manager should have overall responsibility for the event investigation
process. However, the manager may delegate specific investigative tasks
to other personnel as appropriate.
Investigator qualifications should be established to ensure competency
in technical aspects of operation and investigative techniques. The
credibility of the investigation process will depend heavily on the
credibility of the event investigators.
The process of performing an abnormal event investigative should be
established to ensure the thoroughness of each investigation and to
ensure consistency between investigations. The program should describe
the information collected, investigative techniques utilized, and the
final reporting format. Two important products of the event
investigation are the identification of the root cause and assignment of
corrective action to prevent recurrence.
The abnormal event investigation program is needed to thoroughly
investigate abnormal events, verify the proper operation of equipment,
identify the root cause of events, ensure all necessary notifications
are completed, comply with DOE requirements, and ensure appropriate
corrective action steps are established to minimize the chance of the
event recurring. Operations personnel should recognize this need as
well as their obligation to assist in performing thorough
investigations.
C. GUIDELINES
1. Events Requiring Investigation
Events that occur in the facility and adversely affect operations,
personnel safety, or DOE requirements (DOE 5000.3A) should receive a
thorough investigation. The criteria for when to perform an event
investigation should be clearly established. Specific events
requiring investigation should be listed for supervisory use, along
with criteria for use in deciding what "near miss" situations should
receive review. The following conditions and situations should
require an investigation:
a. Design limits are violated (Tech Specs, OSR, SAR, or other
limits).
b. Facility system performance is unusual, abnormal or unexplained.
c. Facility safety conditions are abnormal or unexplained.
d. Safety or system features are improperly positioned.
e. Reportability to DOE or other agencies (e.g., EPA) is
appropriate.
f. An unplanned shutdown or significant loss of operation occurs:
g. A procedural violation or personnel error occurs that caused or
could have caused serious personnel injury or equipment damage
or could have affected facility safety.
h. Equipment failure occurs that could affect facility capability
or safety.
i. Radiological or toxic material limits are exceeded or
radioactive or toxic material is lost/released.
j. Actual or attempted sabotage is suspected.
k. Chemistry or process parameters are out of specification or
indicate unexplained trends.
l. A department head or the facility safety review committee deems
an investigation is appropriate.
m. Loss of Special Nuclear Material.
n. Repetitive problems occur.
The above list is not intended to be all-inclusive. At the
discretion of the operations supervisor (or other appropriate
department head), other specific events should receive a formal
investigation.
"Near miss" situations should also receive a formal review at the
discretion of the responsible supervisor. It is important to review
"near miss" situations to uncover aspects of the situation that, if
not identified and corrected, can cause recurrence of the event,
possibly with more serious consequences. A "near miss" situation is
one in which an inappropriate action occurs (or a necessary action
is omitted) but is detected and corrected before an adverse effect
on personnel or equipment results.
2. Investigation Responsibility
The operations supervisor or another manager should be responsible
for event investigations. He/she may delegate specific
investigations or portions of investigations to other personnel.
For example, the initial review following a reactor trip might be
conducted by the shift supervisor. Based on the results of the
shift supervisor investigation, the need for further review will be
established. Examples of specific tasks of an investigation that
may be delegated include gathering necessary records, conducting
interviews, recommending restart following a reactor trip, and
determining the long-term corrective action to prevent recurrence.
However, the overall responsibility for the consistency and
thoroughness of event investigations should be the responsibility of
the appropriate manager.
3. Investigator Qualification
The credibility of the investigative process is highly dependent
upon the knowledge and experience of the individuals performing the
investigation. It is important that individuals performing an
investigation be technically knowledgeable and well respected by the
facility staff. Additionally, investigators should not have a bias
or a vested interest in the results of the investigation.
Investigators should be trained in facility systems and operations
and other major disciplines appropriate for the event under
investigation. Additionally, investigators should be trained in
techniques for conducting an investigation. This can include
training in areas such a root-cause determination, diagnostics for
plant events, interviewing techniques, and factors affecting human
performance.
4. Information to be Gathered
Sufficient data must be collected to allow the event investigators
to perform a reconstruction and analysis of the event. An
individual should be assigned responsibility for collecting the
required information and assembling the information for review. It
is important to collect the necessary information as soon as
possible after the event. This will minimize the possibility of
losing information or that observers of the event will be
unavailable. Information should be gathered in the following areas:
a. Initial facility conditions.
b. Statements of operators and personnel involved in the event
(this should be permanently recorded).
c. Pertinent computed printouts (post-trip log sequence of events)
and strip charts.
d. Pertinent documentation (such as operator logs, radiation work
permits, chemistry logs, and radiological surveys) as required
to establish conditions prior to and during the event.
As listed above, statements of operators and facility personnel
involved in the event should be obtained. This item is particularly
useful because personnel observing or participating in an event can
provide insights into the facility response during the event and
into actions leading up to the event that would be not available
from strip charts or other hard-copy data. Methods for collecting
this information can vary; however, the event investigation
containing relevant information should be permanently recorded for
future reference.
When collecting hard copy (such as strip charts), it is important to
annotate the data with its source, chart speed (if applicable), and
a time mark to aid in coordinating the data during the
reconstruction of the event. The collection of data should not
interfere with the continued operation of the facility. Temporary
interference should occur only if necessary to understand the event.
5. Event Investigation
Upon completion of the data collection, a structured review of the
abnormal event should occur. The format of the investigation will
depend upon the significance of the event. Each event investigation
should include the following steps, with emphasis placed on each
individual step depending upon the severity or potential
consequences of the event.
a. Event Reconstruction
The abnormal event should be reconstructed using the collected
information. When applicable, this is best accomplished using
the sequence of events recorder printout as a basis.
If the sequence of events printout is not available (or not
applicable) or if the abnormal event was not of sufficient
magnitude or nature to impact the sequence of events recorder,
then a chronological listing of events should be developed. It
is desirable to include the personnel involved in the event in
the reconstruction process.
b. Event Analysis and Evaluation
Once the facts of the event have been established, the event
should be analyzed to determine the response of equipment and
involved personnel. During the analysis, emphasis should be
placed on determining the proper response of systems, comparison
of actual and expected response, adequacy of procedures, and
factors affecting human performance. When available, the event
should be compared with previous event investigations of similar
events or transients. During the analysis, a safety evaluation
should be performed to ascertain the proper response of
equipment and to identify detrimental effects on facility
equipment. If the event was a process shutdown, the
acceptability of restart may be determined at this time. In
some instances, however, steps 5c and 5d below may also be
required prior to restart. Supervisors need to be sure no
further corrective action is required prior to restart.
c. Root-Cause Determination
The root cause of the event should be determined. The root
cause can be defined as those causal factors that, if corrected,
would preclude a recurrence of the event.
d. Corrective Action Determination
Appropriate corrective action should be established for each
event investigation, and specific personnel should be assigned
responsibilities for the corrective action. Corrective action
can take the form of procedure changes, training, design
modifications, and changes to administrative controls. The
final approval for corrective action should be made by the
facility manager.
6. Investigative Report
An investigative report should be prepared in a timeframe determined
by the responsible authority. The report should include a
description of the event (including pertinent conditions), a
discussion of the impact of the event, root cause, the lessons
learned, and the proposed corrective action(s). The report should
include positive aspects of the event (such as particularly
effective personnel responses). The investigative report should be
approved by the facility manager and reviewed by appropriate
supervisors, managers, and the safety review committee.
It is important that the lessons learned from an event investigation
be shared with all appropriate personnel who could benefit from the
lessons learned. For example, a problem with an operations
procedure might also exist in another department's procedures.
7. Event Training
In-house events should be evaluated by the operations supervisor to
determine if the event should be included in the training program
for operations personnel. In some cases, due to the severity or
possible safety consequences of some events, it is appropriate to
train shift operations personnel on the event immediately. A
mechanism should exist so that appropriate shift personnel could be
immediately trained on an event when they next report for work.
8. Event Trending
Patterns of deficiencies such as operator errors or inadequate
procedures should be trended. A periodic summary report of events,
causes, and trends should be submitted to department heads, the
facility manager, and appropriate managers. Department heads should
ensure training programs include appropriate material from the
summary report.
9. Sabotage
Acts of known or suspected sabotage are a special case of event
investigations. If an act of sabotage is discovered or suspected,
it is important to begin an investigation immediately and to
accomplish the following:
a. Determine the condition of the affected system(s) and ensure the
operability of all safety-related systems;
b. Decide if continued operation is justified or if systems are
available to support safe facility shutdown; and
c. Minimize the impact of discovered acts of sabotage and deter
future acts of sabotage.
CHAPTER VII
NOTIFICATIONS
A. INTRODUCTION
Timely notification of appropriate DOE personnel and other agencies,
when required, should be employed to ensure that the facility is
responsive to public health and safety concerns. This chapter provides
guidelines to ensure uniformity, efficiency, and thoroughness of these
notifications to support fulfillment of DOE requirements that are
consistent with DOE 5000.3A.
B. DISCUSSION
For events that require notification of DOE personnel (and when
appropriate, state and local officials), it is essential that
information be gathered and transferred in a systematic, controlled
method. Procedures that define responsibilities and provide for
adequate documentation should be used to control the process and ensure
that the notification procedure is effective.
C. GUIDELINES
1. Notification Procedures
Procedures should be developed to address appropriate notifications
and should include the following elements:
a. Specific responsibilities for notifications;
b. Identification of events and conditions requiring notifications;
c. Identification of primary and alternate personnel to be notified
for various situations;
d. Establishment of time requirements for notifications that are
consistent with the facility emergency plan; and
e. Definition of recordkeeping requirements that documents the
reason for notifications, the time of notifications, and the
person notified.
2. Notification Responsibility
The operations supervisor should ensure that all appropriate
personnel receive notification when required. The actual
notification of specific individuals or agencies may be accomplished
by other individuals.
3. Names and Phone Numbers
Names of primary and alternate contacts and current phone numbers
and page codes should be readily available to the person assigned
to make the notifications.
4. Documentation
All notifications should be documented. Fill-in-the-blank forms for
different types of situations might be useful as a checklist and for
providing necessary documentation. In any case, a formal record of
notifications should be maintained.
5. Communication Equipment
Adequate communication equipment should be maintained in the main
control area to meet the objectives of this chapter.
CHAPTER VIII
CONTROL OF EQUIPMENT AND SYSTEM STATUS
A. INTRODUCTION
Good operating discipline should ensure that facility configuration is
maintained in accordance with design requirements and that the operating
shift knows the status of equipment and systems. Specific applications
of equipment control are addressed in Chapter IX, Lockout/Tagout;
Chapter X, Independent Verification; Chapter XI, Logkeeping; and Chapter
XII, Operations Turnover. This chapter provides an overall perspective
on control of equipment and system status.
B. DISCUSSION
It is imperative that equipment and systems in a DOE facility be
properly controlled. Not only must the operating shift be aware of how
equipment and systems will function for operational purposes, but in
order to satisfy the design bases and the operational limits, the proper
component, equipment, and system configurations must be established and
maintained.
DOE facilities are required to establish administrative control programs
to handle configuration changes resulting from maintenance,
modifications, and testing activities. Typically, changes in equipment
and system configuration are to be communicated from shift to shift
through the shift turnover process or through an equivalent method of
controlling status. Turnover checklists and equipment status boards are
often used as aids for compiling and transmitting status information
efficiently and accurately.
Control over equipment and system status should be established in
accordance with a formal guidance to ensure that proper configuration is
maintained. This guidance should include instructions for system
alignments, locking of components, verification of technical
specification compliance prior to plant operating-mode changes,
authorization prior to removing or restoring equipment to service, and
identification and documentation of equipment deficiencies.
C. GUIDELINES
1. Status Change Authorization and Reporting
The operations supervisor is responsible for maintaining proper
configuration and should authorize status changes to major equipment
and systems. Since the supervisor is typically the senior operating
person on shift, he/she is tasked with maintaining a broad overview
of facility operations. His/her perspective of status must
necessarily be the focal point of shift operations.
Authorization of status changes to equipment and systems of lesser
importance may be delegated by the operations supervisor to other
cognizant shift positions. For example, radwaste operations may be
assigned to a radwaste operator or to a foreman who authorizes
changes in operating alignments or equipment configurations. The
shift supervisor should be advised periodically of changes in status
of equipment and systems so assigned.
Since the operators must be aware of equipment and system status,
the supervisor should ensure that all changes in status are
communicated to these persons. Typically, the control area operator
is in the line-of-information flow to and from the supervisor.
Changes in the status of facility equipment and systems should be
reported to the governing stations (e.g., control area) or to the
individual (or his relief) who authorized the change. Typically,
changes in status of safety-related equipment and systems should be
authorized by the supervisor and reported to the control area.
2. Equipment and System Alignment
Prior to first placing the equipment or system into operation,
individual components for facility equipment and systems should be
properly aligned or checked for proper alignment. An initial
alignment of valves, switches, and breakers establishes a baseline
configuration against which further operations may be measured.
Once the equipment or system is properly aligned and is operating in
accordance with operating procedures, frequent complete alignments
of all individual components may not be necessary. Alignment
checklists should be used to guide the operator in establishing the
correct component positions. The alignment checklists should
include provisions for equipment nomenclature that matches the
nomenclature placed on the component, a location for individual
documentation of the check of each component, the required alignment
position for each component, and a location for annotating
deviations from the required alignment. The supervisor should
review and approve completed alignment checklists.
The need for a complete alignment of equipment and systems should be
based on the level of control that has been maintained over the
status of the components. Typical situations that may require
equipment and systems to be aligned include startup from cold
shutdown, major outages, and mode changes. In addition,
safety-related equipment and systems should be functionally tested
in accordance with surveillance requirements in the technical
specifications/operational safety requirements following maintenance
and before the equipment or system is considered capable of
performing its design function.
Records of equipment and system alignments should be retained for
reference by the operating shift. Administrative controls that
analyze and document deviations from the reference alignment should
be established. Administrative control programs (e.g., tagout/
lockout, temporary modification, etc.) are addressed in other
chapters of these guidelines.
3. Equipment Locking and Tagging
Locks and Tags should be used on those components that require
special administrative control for safety or other reasons. Locks
and Tags provide some security that a component will be operated
only by authorized facility personnel performing required evolutions
in a controlled fashion. Additionally, Locks and Tags should alert
the operator of the importance of the component and remind him/her
that special controls over repositioning are to be maintained. In
this respect, all personnel should receive training regarding their
responsibilities concerning the manipulation of locked or tagged
controls. More details about requirements for Lockout and Tagout
are found in Chapter IX.
4. Operational Limits Compliance
Administrative controls should be established to document compliance
with requirements of operational limits (limiting conditions for
operation). The operations supervisor should be cognizant of action
taken to comply with operational limit requirements and should
ensure that the actions taken are appropriate and correct or that
they mitigate any adverse consequences to the facility. Logs,
status sheets, turnover checklists, or other appropriate
documentation should reflect the entry conditions and actions that
are taken in response to operational limits requirements.
Appropriate operating personnel should be apprised of limiting
conditions for operations and actions for which they may be
responsible. Responsible personnel should periodically review the
limiting conditions for operation and action statements in effect to
ensure that the required actions are met.
5. Equipment Deficiency Identification and Documentation
Equipment deficiencies should be noted by facility operating
personnel and identified in the work control system for correction.
Methods that identify deficient equipment to operating personnel
should be established. Some facilities can use unique deficiency
tags to identify equipment problems. Others may use logs, status
sheets, shift turnover sheets, or caution tags to ensure
deficiencies are communicated to personnel responsible for
monitoring and operating the equipment.
6. Work Authorization and Documentation
The operations supervisor or his/her designee should authorize all
shift activities (including Maintenance) on equipment that is
important to safety, that affects operations, or that changes
control indications or alarms. This authorization should be in
writing on the document controlling the work. Documentation of the
status of work in progress should be available in the control area
for review by operating personnel. These activities could include
such things as maintenance, test, fuel movement, radiography, and
others.
7. Equipment Post-Maintenance Testing and Return to Service
Equipment should be tested following maintenance to demonstrate that
it is capable of performing its intended function. The testing
should include performance of all functions that may have been
affected by the maintenance. The testing should also verify that
the maintenance performed served to correct the original problem and
that no new problems were introduced. Any testing following
maintenance should be specified on the maintenance work order or
accompanying documentation (e.g., maintenance procedure). The
operations supervisor should ensure that testing appropriately
proves equipment operability.
8. Alarm Status
The status of control panel and/or local panel alarms should be
readily available to appropriate operating personnel. Information
that should be available includes alarms that are totally disabled,
alarms with individual inputs disabled, alarms with temporarily
changed setpoints, alarms that are normally lighted during power
operation, and multiple input alarms that do not reflash when more
than one input is activated.
Appropriate actions should be taken to monitor equipment parameters
for abnormal conditions that would be masked by deficient or
non-reflashing alarms. Color coding of alarm windows or the use of
deficiency stickers may be useful in enhancing operator awareness of
these status considerations.
9. Temporary Modification Control
Administrative control systems should be established for
installation of temporary modifications such as electrical jumpers,
lifted leads, pulled circuit boards, disabled annunciators/alarms,
mechanical jumpers/bypasses, temporary setpoint changes, installed
or removed block flanges, disabled relief or safety valves,
installed or removed filters or strainers, plugged floor drains, and
temporary pipe supports. Prior to modification, these controls
should provide for communicating the installation of temporary
modifications to the design authority to allow for technical
oversight and an evaluation of the impact on current design
activities, and approval of the design modification. These control
systems should make provisions for safety reviews, installation
approval, independent verification of correct installation and
removal, documentation of the modification, update of operating
procedures and documents, training, marking of installed
modifications, and periodic audits of outstanding modifications.
10. Distribution and Control of Equipment and System Documents.
A system should be established to ensure that the operations
personnel receive and utilize the latest revisions of engineering
drawings and specifications. Operations personnel should be made
aware of all changes to these documents. The document distribution
should include all operations related activities such as procedures
review groups, maintenance groups, facility safety analysis groups,
and testing groups.
CHAPTER IX
LOCKOUTS AND TAGOUTS
A. INTRODUCTION
The purpose of this chapter is to provide a method for equipment status
control through component Tagging or Locking which should protect
personnel from injury, protect equipment from damage, maintain
operability of plant systems, and maintain the integrity of the physical
boundaries of plant systems. If there is a potential for equipment
damage or injury during equipment operation, servicing, maintenance, or
modification activities due to inadvertent activation of equipment, a
facility Lockout/Tagout program should be established and used. The
Lockout/Tagout program should provide for independent verification of
the removal from service and the restoration to service of
safety-related and other facility equipment. This chapter describes the
important elements of a Lockout/Tagout Program and is intended to meet
the requirements of 29 CFR 1910.
B. DISCUSSION
A Tagout program includes the placement of a Tagout device on an
energy-isolating device, in accordance with an established procedure, to
indicate that the energy-operating device and the equipment being
controlled many not be operated until the Tagout device is removed.
Similarly, a Lockout program includes the placement of a Lockout device
(e.g., a lock, or hasp with a lock in place) on an energy-isolating
device in accordance with an established procedure ensuring that the
energy-isolating device and the equipment being controlled cannot be
operated until the Lockout device is removed. An effective Lockout/
Tagout program should be developed by each facility and should include
detailed administrative procedures, training of personnel, and uniquely
identifiable tags. The program should also exercise appropriate control
over Lockout/Tagout preparation, approval, placement, and removal;
provide for adequate documentation; and be consistent with the
requirements of 29 CFR 1910.
C. GUIDELINES
1. Lockout/Tagout Use
Locks and Tags should be placed on controls when for safety or other
special administrative reasons controls must be established.
Lockout is the application of a lock on a control to render the
control inoperative. Locks may be built into the switch or be
external locks (e.g. padlocks) that may be affixed and or removed
when necessary. Keys and/or combinations for Locks are controlled.
Other devices (such as wiring a control inoperable, placing control
defeating devices, etc.) may also constitute a lesser degree of
Lockout. Tagout is the application of a danger or warning device on
the control, which indicates that the control is not to be used
except under conditions indicated by the tag. Tags should be placed
on the control that is tagged out, or as close as possible to
indicate clearly the condition.
2. Lockout and Tagout Implementation
a. If a device (e.g., for energy or toxic material isolation) has
the capability of being locked out, it should be locked out.
b. If the isolating device cannot be locked out, it should be
tagged out.
c. New equipment design and major modifications to existing
equipment should be designed to provide the capability of being
locked out.
d. The following administrative guidance is an example that could
be established to outline acceptable controls over locked
components:
(1) A list of components that are required to be locked should
be established and approved by the operations supervisor or
appropriate manager. The list should be separate from the
standard alignment checklists.
(2) Criteria for locking of additional components and necessary
authorizations should be provided.
(3) When key operated locks are used, access to the keys should
be restricted to authorized personnel. Keys should be
readily available to appropriate personnel.
(4) Specific techniques for verifying the position of locked
components should be established. A hands-on physical
check of critical equipment or the observation of a
reliable position indicator should be used whenever
possible.
(5) When locked components must be unlocked or placed in a
position other than the normal locked position, the
deviation should be authorized and documented.
(6) Periodic checks of locked components should be performed to
ensure that locking devices are properly attached and that
the component is in the required position.
3. Protective Materials and Hardware
a. Locks, tags, chains, wedges, key blocks, adapter pins,
self-locking fasteners, or other hardware should be provided for
isolating, securing, or blocking machines or equipment from
energy sources.
b. Lockout and Tagout devices should be singularly identified
(i.e., should be the only devices used for controlling energy
and should not used for other purposes) and should meet the
following requirements:
(1) Durable
o Should be capable of withstanding the environment to
which they are exposed for the maximum period of time
for exposure is expected,
o Should be constructed to minimize deterioration of the
tag or the message when exposed to weather conditions,
o Should not deteriorate when used in corrosive
environments where acid and/or alkali chemicals are
handled and/or stored.
(2) Standardized
Lockout and Tagout devices should be standardized within
the facility in at least one of the following criteria:
color, shape, or size. In addition, Tagout devices should
utilize standardize print and format.
(3) Substantial
Lockout devices should be substantial enough to prevent
removal, without the use of excessive force or unusual
techniques, such as the use of bolt cutters or other metal
cutting tools.
When used as the sole means of preventing operation of an
energy isolating device, Tagout devices, including their
means of attachment shall, in addition to other
requirements for their use, be of a non-reusable type,
attachable by hand, self-locking, and non-releasable with a
minimum unlocking strength of no less than 50 pounds and
having the general design and basic characteristics of
being at least equivalent to a one-piece,
all-environment-tolerant nylon cable tie.
Tagout device attachment means should be of a non-reusable
type, attachable by hand, self locking, and non-releasable.
(4) Identifiable
Tagout/Lockout devices should indicate the identity of the
personnel and the organization applying the device.
(5) Warning
Tagout devices should warn against hazardous conditions if
the machine or equipment is energized and should include a
legend such as the following: Do Not Start, Do Not Open;
Do Not Close; Do Not Energize; Do Not Operate.
4. Lockout/Tagout Program
A Lockout/Tagout program should be established consisting of
procedures to control potentially hazardous energy and materials and
personnel training. This program should ensure that potentially
hazardous energy or toxic material sources are isolated and rendered
inoperative during servicing or maintenance or in any case where
unexpected energizing, startup, or release of stored energy or toxic
material can cause injury.
5. Procedures for Lockout/Tagout
Procedures should be developed, documented, validated, and utilized
for control of potentially hazardous energy or material. Procedures
should clearly and specifically state the scope, purpose,
authorization, rules, and techniques of the Lockout/Tagout program.
a. Procedures should include, but not be limited to, the following:
(1) Specific statement of intent of use;
(2) Specific procedural steps for isolating, blocking and
securing machines or equipment for hazardous energy or
material;
(3) Specific procedural steps for the placement, removal, and
transfer of the Lockout/Tagout device(s); and
(4) Specific requirements to test machines and to determine and
verify the effectiveness of Lockout, Tagout or other
control measures.
b. It is not necessary to document the required procedure for a
particular machine or equipment, when all of the following
elements exist.
(1) The machine or equipment has no potential for stored or
residual energy or reaccumulation of stored energy after
shutdown which could endanger personnel.
(2) The machine or equipment has a single energy source which
can be readily identified and isolated.
(3) The isolation and locking out of that energy source will
completely de-energize and de-activate the machine or
equipment.
(4) The machine or equipment is isolated from that energy
source and locked out during servicing or maintenance.
(5) A single lockout device will achieve a locked out
condition.
(6) The lockout device is under the exclusive control of the
authorized personnel performing servicing of maintenance.
(7) The servicing or maintenance does not create hazards to
other personnel.
(8) The employer, in utilizing the exception, has had no
accidents involving the unexpected activation or
reenergization of the machine or equipment during servicing
or maintenance.
c. Documentation of Lockout/Tagout
Lockout/Tagout placement, activation and removal should be
recorded including any information relevant to their occurrence.
This record should be maintained by the shift supervisor or
appropriate manager to ensure accuracy and completeness. The
Lockout/Tagout record should be reviewed periodically by
operations and maintenance personnel as guidance.
6. Application of Lockout/Tagout
The established procedure for the application of energy control
(implementing Lockout/Tagout) should cover the elements and actions
in the following sequence:
a. Preparation for Shutdown
Before a machine is turned off, personnel should be informed of
the type and magnitude of the energy, the hazards and the
methods of control.
b. Machine or Equipment Shutdown
The equipment should be shutdown using the procedures required
by this chapter. An orderly shutdown should be utilized to
avoid any added hazard.
c. Equipment Isolation
All Lockout/Tagout devices needed for control are physically
located and operated in such a manner as to isolate the
equipment from the energy source.
d. Affixing Locks/Tags
Lockout or Tagout devices should be affixed to each isolation
device by qualified personnel in a manner that will hold the
devices in a "safe" or "off" position or clearly indicate that
operation of the device is prohibited.
e. Stored Energy
Upon application of Lockout or Tagout devices, all potentially
hazardous stored or residual energy should be relieved,
disconnected, restrained, or otherwise rendered safe. If stored
energy might re-accumulate to a hazardous level, verification of
isolation should be continued until the servicing or maintenance
is completed.
f. Verification of Installation
Prior to starting work on equipment that has been locked or
tagged out, personnel should verify that isolation and
deenergization have been accomplished.
g. Release from Lockout/Tagout
Before Lockout or Tagout devices are removed and energy restored
to the equipment, procedures should be followed and actions
taken by personnel to ensure the following:
(1) Equipment/workspace. The machine or equipment is
operationally intact. The area has been inspected to
ensure that nonessential items have been removed. The
individual authorizing tag removal should specify the final
component position and, when appropriate, the sequence in
which components should be positioned. In addition, the
need to check the positioning of other components that were
not locked, or tagged, but are related to the operation of
the Lockout/Tagout component, should be determined at this
time and appropriate instructions should be developed.
These checks should be done when necessary, to ensure that
components within the Locked/Tagout boundaries are
correctly aligned to support operation.
(2) Personnel. The workspace should be checked to ensure that
all personnel have been positioned safely or removed from
the area. Before Lockout/Tagout devices are removed and
equipment energized, affected personnel should be notified
that equipment will be energized.
(3) Lockout/Tagout Device Removal. Each Lockout/Tagout device
should be removed from each energy-isolating device by the
person who applied the device. He/she should reposition
the components in the sequence specified and check the
positioning as deemed necessary. The removal of Locks or
Tags should be documented. Tags should be returned to the
operations supervisor or authorizing manager. The
supervisor/manager should be satisfied that all tags and
safety devices associated with this Lockout/Tagout are
removed and are accountable.
When the person who applied the Lockout/Tagout device is
not available to remove it, that device may be removed
under the direction of the appropriate supervisor/manager,
provided that specific procedures and training for such
removal have been developed and incorporated into the
facility program. The supervisor should demonstrate that
the specific procedure provides equivalent safety to the
removal of the device by the authorized personnel who
applied it. The specific procedure should include the
following elements:
o Verification by the supervisor/manager that the person
who applied the device is not available.
o Assurance that all reasonable efforts are made to
inform him/her that the device has been removed.
o Ensuring that all relevant personnel have this
knowledge before he/she resumes work at the facility.
7. Testing or Positioning of Equipment or Components
Temporary removal of Lockout/Tagout devices should be discouraged.
However, situations in which Lockout/Tagout devices must be
temporarily removed and the equipment energized, the following
sequence of operations should be followed:
1. Clear the equipment of tools and materials.
2. Remove personnel from the equipment area.
3. Remove the Lockout/Tagout device as procedures indicate.
4. Energize and proceed with testing or positioning.
5. De-energize all systems and reapply the lockout/tagout.
8. Periodic Inspections
Periodic inspections should be conducted by authorized personnel,
supervisor, or appropriate manager, to determine whether procedures
are being followed and to correct any deviations or inadequacies
observed. Inspections should include a review of the
responsibilities of personnel and supervisors. The supervisor or
appropriate manager should certify that the periodic inspections
have been performed, documenting the equipment and procedures
involved, dates of inspection, personnel participating in the
inspections, and personnel performing the inspections.
9. Caution Tags
Caution tags should not be used for personnel protection (i.e.,
caution tags should not be used where it is appropriate to use a
Lockout or Tagout devise). Administration of caution tags could,
however, be accomplished as part of the Lockout/Tagout program or it
could be covered separately. The use of caution tags should be
restricted to those situations in which a component or system is
functional, but when some precaution or item(s) of information is
necessary prior to operation. In addition, the program should
include the following elements:
a. Caution tags should be uniquely identifiable and different in
appearance from other station tags. The following information
should be included on the tags as an aid in administering the
program:
(1) caution tag number;
(2) component name and number;
(3) effective date;
(4) precaution or information applicable to the particular
situation and/or component or system; and
(5) signature of authorizing individual and organization.
b. Situations that require special operator or maintenance
precautions or amplifying information should be brought to the
attention of the shift supervisor or appropriate manager. The
supervisor or manager should ensure that issuing a caution tag
is necessary and that the tag is not being used in place of more
appropriate administrative action (such as a temporary procedure
change, placing an operator aide, use of the work control
system, or issuance of a safety Lockout or Tagout). The
supervisor review should also ensure that any instruction
contained in the caution tag does not deviate from established
facility procedures, technical specifications, or OSR's.
c. A record of all active caution tags and associated amplifying
information should be available to the appropriate personnel.
This record and associated tags should be reviewed periodically
by qualified personnel. This review should verify the continued
need and applicability for each caution tag and ensure that the
caution tag index accurately reflects all active caution tags.
This review should be documented. Any caution tags remaining in
an active status for extended periods (e.g., longer than three
months, as appropriate) should be brought to the attention of
the operations supervisor or manager. The operations supervisor
or manager should determine what action is needed to resolve the
continued use of the caution tag.
d. Caution Tag Placement
Caution tags should be placed in such a way that they do not
interfere with or obscure indications, switches, or other
control devices but are readily apparent to an individual prior
to the operation of the tagged device. Placement of caution
tags should be documented.
10. Training and Communication
a. Training should be provided and documented to ensure that the
purpose and function of the Lockout/Tagout program is understood
by all personnel and that they have the knowledge and skills
required for safe application, use, and removal of Lockouts and
Tagouts. Training should include the following:
(1) Recognition of applicable hazardous energy sources, type
and magnitude of energy or materials involved and methods
to isolate and control.
(2) Personnel involved should be instructed in the purpose and
use of the Lockout/Tagout procedures.
(3) All personnel who may enter the area should be trained to
recognize the Lockout/Tagout and to understand the
procedure and prohibition relating to attempts to restart
or re-energize machines or equipment.
b. When Tagout systems are used, personnel should be trained in the
limitations of tags:
(1) Tags are essentially warning devices and do not provide
physical restraint on those devices as are provided by a
lock.
(2) When a Tag is attached, it is not to be removed without
authorization of the person responsible for it, it should
not be bypassed, ignored, or otherwise defeated.
(3) Tags must be legible and understandable by all personnel.
(4) Tags and their means of attachment should be able to
withstand the environmental conditions encountered in the
workplace.
(5) Tags may evoke a false sense of security and their meaning
needs to be understood.
(6) Tags must be securely attached so they cannot be
inadvertently or accidentally detached during use.
c. When Lockout systems are used, personnel should be trained in
the limitations of Locks, especially concerning the following:
(1) Operation of the facility may be hindered (this is
significant when local component operations are necessary,
such as remote shutdown or remote control).
(2) Locks and chains installed on small instrument line
isolation valves can contribute to seismic loading and may
not have been considered during safety analysis.
d. Retraining
Retraining should be provided for all authorized or affected
personnel whenever there is a change in job, procedures,
machines, equipment or processes that present new hazards or
periodic inspection determines it is needed.
11. Lockout or Tagout Implementation
Lockout or Tagout should only be accomplished by authorized,
qualified personnel.
12. Notification of Personnel
A supervisor or appropriate manager should notify affected personnel
of the application and removal of Lockout/Tagout devices.
Notification should be given before the devices are applied and
after they are removed.
13. Outside Contractors
Whenever outside servicing personnel are to be engaged in activities
covered by the scope of the Lockout/Tagout program, the facility and
the outside contractor should inform each other of their respective
Lockout/Tagout procedures and should ensure that their personnel are
aware of the changes.
14. Group Lockouts or Tagouts
When servicing or maintenance is performed by a crew, craft,
department, or other group, they should utilize a procedure that
will provide for equivalent safety provided by the personal Lockout
or Tagout device.
15. Shift or Personnel Changes
Specific procedures should be utilized during shift of personnel
changes to ensure the continuity of Lockout or Tagout protection,
including provision for the orderly transfer of Lockout or Tagout
devices between personnel or shifts.
CHAPTER X
INDEPENDENT VERIFICATION
A. INTRODUCTION
An independent verification program should provide a high degree of
reliability in ensuring the correct facility operation and the correct
position of components such as valves, switches, and circuit breakers.
This chapter describes the important aspects of an independent
verification program. Other equipment status control programs are
addressed in Chapter VIII, Control of Equipment and System Status, and
some applications of independent verification are addressed in Chapter
IX, Tagouts. Additionally, appropriate investigations for component
mispositioning events are discussed in Chapter VI, investigation of
Abnormal Events.
B. DISCUSSION
Independent verification is the act of checking that a given operation
conforms to established operational criteria, as well as checking a
component position independently of activities related to establishing
the component's position. A comprehensive independent verification
program will identify components to be included in the program, define
when independent verification is required, and prescribe the methods of
performing independent verification. Similarly, independent auditing of
operations should confirm that established operational requirements are
met.
Because the possibility of mispositioning may be quite remote, or
because the effect of a mispositioning may not be significant to safe
and reliable operation, not all components require independent
verification. Therefore, it is important to identify those components
that must be independently verified. Designating systems or components
that require independent verification ensures the program will be
consistently applied.
Definition of when independent verification is required will also help
ensure consistent application of the program. The criteria should
ensure that independent verification is performed in all cases where a
reasonable potential exists for component mispositioning.
Independent verification recognizes the human element of component
operation; that is, any operator, no matter how proficient, can make a
mistake. This concept should be stressed in an independent verification
program so that the operators' confidence in the ability of their peers
will not cause a relaxation of attentiveness with respect to
verification tasks. Operators should understand the importance of the
independent verification program and address this task with a high level
of personal integrity and discipline.
C. GUIDELINES
1. Components Requiring Independent Verification
Components that are critical to ensure safe and reliable operation
should receive an independent verification of their position when
circumstances warrant. These components should be identified
explicitly in facility procedures or other official documents so
that unnecessary interpretation of requirements will be minimized.
In addition, this will result in uniform practices by operations
personnel. Because mispositioning of certain components that are
not safety related can lead to facility shutdowns, challenges to
safety-related equipment, or other undesirable effects on facility
safety and reliability, independent verification should not be
limited to safety-related system components. Each facility should
use an accepted safety analysis method (e.g., fault-tree analysis,
Probability Risk Analysis) and/or expert opinion to determine its
own facility specific list of systems and components, which should
receive independent verification in accordance with the following
guidelines:
a. Safety-Related Systems
All components in systems that have safety-related functions
should be considered for independent verification. However, if
the following criteria have been met, some components might not
need independent verification:
(1) Mispositioning would not affect system performance.
For example, if an engineering analysis has shown that
mispositioned vent or drain valves do not affect system
performance, they might not require independent
verification.
(2) The mispositioning would be known immediately to an
operator.
For example, resetting a steam-supply trip valve might not
require independent verification if an annunciator alarm in
the control room were available to alert operators to an
improperly reset valve. However, such annunciator alarms
should be independent from the valve position lights
associated with main control board valve operation
switches. Valve position lights alone should not warrant
exemption from independent verification requirements,
because these lights might not alert operators to a
mispositioned valve. Mispositionings have occurred when
main control board indication was available.
(3) Significant radiation exposure would be received by the
person(s) performing the independent verification.
In this case, alternate means for independent verification
that do not involve radiation exposure, such as observing
process parameters (Section C.3), should be considered.
Variances from independent verification requirements in
accordance with the above criteria should be approved by the
operations supervisor.
b. Systems Not Related to Safety
Independent verifications should be performed for certain
components that are not related to safety which, if,
mispositioned, could lead to unplanned shutdowns, challenges to
safety systems, or (through interfaces with safety-related
systems) cause radioactive or toxic material release. For
example, component positions necessary to support the operation
of important facility equipment, such as redundant generator
stator cooling water pumps or turbine control oil (EHC) pumps,
should be independently verified in order to prevent unnecessary
process shutdowns. Also, certain valve positions in liquid or
gaseous radioactive waste systems should be independently
verified if a mispositioning could lead to an unintended
radioactive or toxic material release.
2. Occasions Requiring Independent Verification
Components should receive independent verification when the
equipment they serve must be available and when a reasonable
possibility exists that the components might have been
mispositioned. The following guidelines describe situations where
independent verification would be appropriate:
a. Returning Equipment to Service Following Maintenance or Testing.
Independent verifications should be performed to ensure that
systems are properly aligned when equipment is returned to
service. After maintenance activities, it is appropriate to
verify independently the positions of components that have been
tagged to establish an isolation boundary for the work. Also,
additional components that could have been mispositioned during
maintenance should be selected for verification on a
case-by-case basis by the individual authorizing equipment for
return to service.
Such additional items requiring verification would include any
component(s) that had been worked on and might also include
instrument stop valves, bypass valves, switches, and isolation
valves located within the work boundary.
Failure to properly restore systems following surveillance
testing has resulted in mispositionings. Selected components
should therefore be independently verified during, or after
surveillance tests. Surveillance tests are normally performed
in strict adherence to detailed procedures that specifically
address each operating component. Components not addressed by
the test procedure would not be likely to be mispositioned as a
result of tests, and independent verification would be necessary
only for components that had been positioned during tests.
b. Removing Equipment From Service
To ensure that only the specific items of equipment intended to
be removed from service are affected by Tagouts, independent
verifications should be performed when equipment is removed from
service. For example, when tagging out a pump, a verification
that the redundant pump was not inadvertently affected should be
performed. This might be done by checking for correct alignment
of components on the redundant equipment, or this might be done
by verifying that all Tags were placed on the correct
components.
c. System Lineups
During extended shutdowns, it is often impractical to completely
restore systems to their normal operating alignment immediately
after maintenance is completed. Therefore, most facilities
delay restoration of systems not needed for shutdown activities
until shortly before startup. At that time, all systems whose
status is questionable are checked. When system lineups are
performed, the considerations of Section C1, Components
Requiring Independent Verifications, should be applied to
determine the need for independent verification.
d. Periodic Checks During Facility Operation
In order to verify that all associated equipment is fully
functional, DOE facilities should perform routine, periodic
verifications of certain critical components during normal
operations. Since this check is independent from any activity
that might have caused a component to be mispositioned, it can
be considered an independent verification; a second check
normally would not be necessary. However, if a mispositioning
were discovered while the periodic check was being performed,
the component position would then be corrected after review
and/or approval by a qualified supervisor; an independent
verification of this action would be appropriate.
3. Verification Techniques
Operators should be trained in the appropriate techniques for
verifying the positions of all facility components. In addition, a
reference document should be provided explaining what an operator
should do when verifying a component position. Because of the large
variety of components in use in DOE facilities, it is not feasible
to provide specific instructions for verification of individual
component positions without facility-specific knowledge. Each
facility should use its most experienced personnel to develop these
instructions, using applicable manufacturer's recommendations where
available. The instructions should describe the techniques for
verifying manual valves, motor- and air-operated valves,
solenoid-operated valves, circuit breakers, blank flanges, removable
links and fuses, and the availability of control power. These
instructions will help to ensure that operators use approved methods
when verifying component positions and will help provide uniformity
in operator performance. The following general guidelines apply to
component verification techniques:
a. Independence
Independent verifications should be conducted in a manner such
that each check constitutes an actual identification of the
component and a determination of both its required and actual
positions. To be independent, the integrity of the checks must
be maintained by minimizing interaction between the personnel
operating components and those performing the independent
verifications. It is not always possible to determine if an
operator has completely shut or opened a valve by merely
observing the action; mistakes in component identification or
requirement determination might not be caught without both
individuals' reading the labels and procedures.
b. Remote Position Indicators
Some equipment failures have caused valve position indicating
lights on the main control board to be incorrect, and some of
these failures were undetected for a significant length of time.
Since the failure may be in the sensor or transmission,
independent verification should be performed locally unless
ALARA or other overriding factors preclude. In this case,
independent verification may be done at a remote position
indicator.
c. Process Parameters
In some situations, a component's position can be determined by
observing such process parameters as pressure, flow, or voltage.
The observation of process parameters, combined with a physical
check of a component's position, can constitute an independent
verification. However, care must be exercised when using
process parameters because alternate flow paths or other factors
could cause them to be misleading indicators of component
position. For example, voltage on a bus would prove that a
particular supply breaker was shut only when there was no
alternate power supply. Additionally, flow and pressure do not
necessarily indicate that a valve is fully open. For the above
reasons, process parameters normally should not be used as the
only indication of a component's position. Facility procedures
should specify where and when process parameters are acceptable
indicators of component position.
d. Throttled Valves
Verifying throttled valves by shutting and reopening the valve
by a prescribed number of turns should be avoided because this
practice has the potential to create valve mispositionings.
Instead, position indicators, scribe marks, or other officially
recognized and designated indicators should be used to determine
throttled valve positions. When shutting and reopening a
throttled valve are necessary to determine its position, having
a verifier observe a valve operator's actions would be
preferable to having both persons independently shut and reopen
the valve. This would cause the verification to be partially
nonindependent, a situation preferred in this case because, when
a valve is operated to check its position, the action
effectively nullifies any previous check.
e. Surveillance Testing
In some cases, surveillance testings may be substituted for
normal verification techniques. A notable example would be a
full-flow test to prove the correct positioning of flow
controlling P-valves. However, surveillance tests frequently
will not serve to verify the position of all components that are
important to subsequent system's operation. For example,
running a pump in recirculation would not prove that all main
flow-path valves were properly positioned or that support
functions such as external cooling or backup lube oil pumps are
aligned properly.
Surveillance testing therefore should not be used as independent
verification, unless it can be shown that the test conclusively
proves the position of the components in question. The
applicability of surveillance testing to satisfy independent
verification requirements should be approved beforehand by the
operations supervisor.
f. Operations Self-Appraisal and Verification
Programmatic operations appraisals should be independently
conducted and/or verified to ensure that environment, safety,
and health considerations, and operations functions (such as
training) are being conducted in accordance with established
operational criteria.
CHAPTER XI
LOGKEEPING
A. INTRODUCTION
The operations records should contain a narrative log of the facility's
status and of all events as required to provide an accurate history of
facility operations. As used in this context, logs are defined as a
narrative sequence of events or functions performed at a specific shift
position, as opposed to the operator round sheets that are discussed in
Chapter II, Shift Routines and Operating Practices. This chapter
describes the features needed in the operation logs to ensure they are
properly maintained.
B. DISCUSSION
Operation logs should be established for all key shift positions in
order to record fully the data necessary to provide an accurate history
of facility operation. Events should be recorded in a timely fashion in
order to ensure the accuracy of the entry. The scope, type, and data
required by management is properly entered into the logs. This includes
documentation of actions taken, activities completed, transfer of
information among operators, and data necessary for event
reconstruction.
A review schedule for the operating logs should be established to ensure
they are adequately maintained and that operations personnel are aware
of the information contained in the logs. Administrative controls
should be established to ensure that all operating logs are readily
available for a sufficient period of time to allow for the transfer of
information among the operators.
C. GUIDELINES
1. Establishment of Operating Logs
Narrative logs should be established at all key shift positions. As
a minimum, a narrative log should be maintained by the operations
supervisor or the control area operator. For those shift positions
that are manned on a part-time basis (e.g., radwaste operator,
makeup plant, etc.) a log should be established to ensure that
pertinent information is passed from operator to operator. A
narrative section should be provided on round sheets when a
narrative log is not used for a particular shift position.
2. Timeliness of Recordings
Information should be promptly recorded in the logs. Delaying the
recording of activities or events often leads to incomplete or
inaccurate entries.
3. Information to be Recorded
The operations supervisor should provide written guidance to define
thoroughly the type and scope of entries for each log and the format
for making entries. The following information should be recorded in
at least one station log, although any one log might not contain all
these items:
a. Facility mode or condition changes (e.g., shutdown, operations,
run, startup, refueling, etc.);
b. Criticalities and appropriate critical data (for DOE reactors);
c. Abnormal facility configurations;
d. Status changes to safety-related and other major facility
equipment;
e. Occurrence of any reportable events;
f. Initiation and completion of surveillance tests;
g. Entering and exiting operational limit actions;
h. Security incidents;
i. Out-of-specification chemistry or process results; and
j. Shift reliefs.
To aid in event reconstruction, as much significant information as
possible should be logged during emergencies and abnormal or
unexpected events. However, logkeeping should not take precedence
over controlling and monitoring the facility.
4. Legibility
Log entries should be made in a manner such that they can be easily
read and understood. Additionally, the log entries should be
readily reproducible with standard photocopy machines. For these
reasons, black, waterproof ink is recommended.
5. Corrections
A standardized method for correcting any erroneous entries should be
established. The method chosen should not obscure the incorrect
entry. Log entries should not be erased or covered up. Corrections
can be made by placing a single line through the incorrect entry and
writing the correct entry in a nearby space. All corrections should
be initialed and dated.
6. Log Review
Control area logs should be reviewed periodically by the operations
supervisor and logs kept by operators outside the control area
should be reviewed by the control area operator or an appropriate
supervisor. These reviews should ensure that entries are accurate
and adequate.
7. Care and Keeping of Logs
Management should provide written guidance on the disposition of
completed logs. This guidance should address the following:
a. Making the logs available for operators who return after periods
of absence from their regular duties;
b. Storing the completed logs to ensure preservation for the
expected life of the facility; and
c. Retrieving stored logs should this become necessary.
CHAPTER XII
OPERATIONS TURNOVER
A. INTRODUCTION
Operations shift turnovers should provide oncoming operators with an
accurate picture of the overall facility status. This chapter
complements the guidelines of Chapter II, Shift Routines and Operating
Practices, and Chapter III, Control Area Activities, and describes the
important aspects of a good shift turnover.
B. DISCUSSION
Shift turnover is a critical part of DOE facility operation. Personnel
should not assume operational duties unless they are physically and
mentally fit to do so and until they and the offgoing personnel have a
high degree of confidence that an appropriate information transfer has
taken place.
Oncoming personnel should conduct a comprehensive review of appropriate
written (logs, records) and visual (equipment, control boards)
information before responsibility for the shift position is transferred.
Oncoming personnel could arrive early or offgoing personnel could stay
late so that adequate review time is available.
Shift turnovers should be guided by a checklist and should include a
thorough review of appropriate documents describing important aspects of
facility status and should include an inspection of appropriate facility
instrumentation. These reviews should then be complemented by a
discussion between the offgoing and oncoming operators.
C. GUIDELINES
1. Turnover Checklists
As a minimum, supervisory positions should have a turnover checklist
to be used in the turnover process.
a. Equipment Operator Checklists Equipment operator checklists, or
other formal documents, should provide for noting major
components status (e.g., operating pumps, trains in service,
etc.), abnormal lineups, valid alarms on all pertinent local
control panels, and surveillances or evolutions planned or in
progress. Provisions should also be made for documenting that a
review of round sheets and narrative logs has been performed by
the oncoming operator.
b. Operator Checklists
Operator checklists or other documents reviewed at shift change
should provide for recording vital information about the
following facility status. Examples may include:
(1) Facility power level, test status, or equivalent;
(2) Key temperatures limit status;
(3) Key pressures limit status;
(4) Important tank levels;
(5) Safety equipment status;
(6) Operational limits in effect;
(7) Other important parameters;
(8) Required chemistry or process sample times;
(9) Maintenance, surveillances, tests, or evolutions (in
progress or planned);
(10) Problems experienced with equipment and major equipment out
of service;
(11) When specific planned actions are required;
(12) Changes in radiological or hazardous materials conditions;
and
(13) Temporary procedure changes in effect.
Operator checklists may require documenting reviews of certain
facility status documents. These may include the operator's own
operating (narrative) log, the Tagout (clearance) log, the
temporary modification and jumper logs, the out-of-service
annunciator log, the operational limit action log, the shift
order books, and required reading since the last shift. Each
operator turnover checklist should be provided with enough space
for the offgoing operator to list other important information
his relief should have.
c. Operations Supervisory Checklists
Operations supervisory checklists or other documents reviewed at
shift change should provide vital information about facility
status. Examples may include:
(1) Facility status;
(2) Evolutions (completed, in progress, or planned);
(3) Controlled key status;
(4) Abnormal lineups or conditions;
(5) Changes in radiological or hazardous substance conditions;
(6) Surveillance tests planned or in progress;
(7) Maintenance planned or in progress; and
(8) Waste management status.
Operations supervisory checklists should require documenting
review of certain status documents. These can include the
supervisor's own narrative log, the status log, the equipment
status checklist, the emergency safeguards equipment list, shift
order books, and required reading since the last shift.
2. Document Review
Oncoming operators and supervisors should review documents specified
on their checklists prior to assuming responsibility for their shift
position. Document review should be as intensive as necessary for
the oncoming personnel to understand important history, present
status, and planned events. Normally, narrative log entries for the
previous 24-hour period or since his/her last shift should be
reviewed. Status logs should be reviewed so that the operator and
supervisors are familiar with all currently active entries, with an
emphasis on what has changed since he/she last had the shift.
3. Control Panel Walkdown
Walkdowns of appropriate control panels should be conducted by each
shift watchstander. The purpose of a panel walkdown is to determine
plant status through observation of system lineups, switch
positions, lighted annunciators, chart recorders, and status lights.
Oncoming operations supervisors should walk down the main control
panels before, during, or shortly after shift turnover. Oncoming
and offgoing control area operators should walk down their unit's
main control panel together. Equipment operators should review all
pertinent local control panels, (e.g., fuel supplies, lubrication
levels, makeup water treatment, and ventilation) during their tour
early in the shift.
4. Discussion and Exchange of Responsibility
At a time when facility conditions are stable, the offgoing
supervisor or operator should explain all items noted on the
turnover checklist, and the oncoming operator or supervisor should
ask any pertinent questions.
When all operations personnel are satisfied that the oncoming crew
is fully cognizant of the plant conditions, the oncoming operators
and supervisors should state that he/she is assuming responsibility
for the shift position with an entry into the log.
5. Shift Crew Briefing
Crew briefing should be conducted by the operations supervisor as
required and may be conducted after he has accepted responsibility
for the shift. The briefing should include a review of the status,
problems with equipment, and evolutions in progress or planned
during the shift. In addition to shift operators, personnel from
support groups (e.g., contractors, vendors, and test groups) should
also attend briefings when their activities can directly affect
operations. This practice results in better understanding of shift
priorities and objectives among operations and support personnel.
6. Reliefs Occurring During the Shift
Reliefs occurring during the shift (e.g., exchange of control
supervisory function) should have a turnover to ensure that the
oncoming person is at least as knowledgeable of the conditions as he
would have been had a complete shift turnover process been
conducted. For example, control panel walkdowns and log reviews may
or may not be necessary, depending on the oncoming person's
familiarity with the current conditions.
CHAPTER XIII
OPERATIONS ASPECTS OF FACILITY CHEMISTRY AND UNIQUE PROCESSES
A. INTRODUCTION
Operational monitoring of facility chemistry or unique process, data and
parameters should ensure that parameters are properly maintained.
Maintenance of proper processes will promote maximum component life.
Monitoring will identify problems such as air inleakage, failed fuel, or
resin depletion before components or safety are adversely affected. A
close coordination between the operations and chemistry or process
departments is necessary for this to be effective. This chapter
describes the important aspects of operations involvement in chemistry
and unique processes.
B. DISCUSSION
In order to enhance proper process control of systems, operations
personnel must have an understanding of all facility processes and must
effectively coordinate operations activities with the respective
technical process support departments.
Operators should understand the responsibilities associated with their
positions (both in process monitoring and control and in interface with
the technical process department). So that they can identify early
signs of process-related problems. Operators should also understand how
equipment and operational problems affect process conditions. A good
working relationship between the operations and technical process
departments should be established so the facility staff can effectively
control facility processes.
C. GUIDELINES
1. Operator Responsibilities
The operations supervisor should define each operator's specific
responsibilities with respect to process control. In general,
operators should monitor chemistry or process parameters using
control room instruments and other instruments related to equipment
under operations control. Operators should be able to recognize
out-of-specification conditions or adverse trends and be familiar
with corrective actions associated with chemistry or process
problems. Operators should consult and be advised by chemistry or
technical process department personnel. By monitoring key
parameters and taking appropriate action promptly, long-term adverse
effects of chemistry or process problems can be avoided or
minimized.
2. Operator Knowledge
Operators should be knowledgeable about aspects of facility
processes and safety that affect operation and should be able to
analyze off-normal situations and take appropriate action to correct
the causes(s) of problems. Examples of the types of concepts and
processes with which operations personnel should be familiar include
the following:
a. Concepts of pH, conductivity, cation conductivity, and dissolved
oxygen and the effect these parameters have on the facility.
b. The radiochemical indications of failed fuel (for DOE reactors).
c. How demineralizers work and how to determine if they are
performing inefficiently.
d. The purpose and hazards associated with facility storage and use
of such chemicals as boron, acids, caustics, chromates,
hydrazine, ammonia, solvents containing chlorinated
hydrocarbons, and chemicals containing organics.
e. Chemical and radiochemical parameters, including calculations
associated with technical specifications/operational safety
requirements.
f. Chemistry parameters monitored in the control room or on local
panels under the responsibility of facility equipment operators.
g. Properties and hazards of such gases as hydrogen, nitrogen,
carbon dioxide, chlorine, and halon.
h. Corrosion problems, including stress corrosion, intergranular
cracking, and ammonia attack of copper alloys.
i. The chemical constraints, process equipment, and controls
associated with the radioactive or toxic waste systems.
j. Operation of such water pretreatment equipment as clarifiers or
charcoal filters (if such equipment is operated or monitored by
operations personnel).
k. Knowledge of operating limits and characteristics of off-normal
and unique processes.
l. Knowledge of appropriate response and recovery from off-normal
or hazardous conditions.
The operations supervisor should ensure that these and other topics
are appropriately addressed in training programs.
3. Operator Response to Process Problems
Each operator should be capable of correctly interpreting the
chemistry or process parameters that he is responsible for and be
able to provide appropriate, timely, corrective action when
required. High air inleakage and poor quality makeup water are
examples of conditions that could require operator identification
and response.
4. Communication Between Operations and Process Personnel
If possible, operators should inform appropriate process personnel
prior to commencing evolutions that could potentially affect
facility processes or require action from support technicians.
Operators should receive reports from the process department on key
day-to-day process results and problems. When process-related
problems occur, operations and process-personnel should work closely
to provide prompt corrective action.
CHAPTER XIV
REQUIRED READING
A. INTRODUCTION
Proper use of a required reading file by operations personnel should
ensure that appropriate individuals are made aware of important
information that is related to job assignments. This chapter describes
an effective required-reading program.
B. DISCUSSION
It is usually not necessary for a document to be read by all personnel;
however, it is essential that a method be provided to ensure that each
individual receives the information important to his/her position. The
method should designate which documents should be read by whom and by
when. Personnel should be required to understand assigned material.
When reading material is not understood, appropriate questions should be
directed to supervisors.
C. GUIDELINES
1. File Index
A list of the types of documents to be included in the required
reading file should be maintained. The list should include the
following documents:
a. Procedure changes;
b. Equipment design changes;
c. Related industry and in-house operating experience information;
and
d. Other information necessary to keep operations department
personnel aware of current facility activities.
Reading material should be screened to ensure that only appropriate
material is placed in the file.
2. Reading Assignments
A method should be in place to designate which documents need to be
read by the individuals filling each position, and the reading file
should be readily available to those individuals.
3. Required Dates for Completion of Reading
A required completion date should be designated for reading each
document. This date would be determined based on the nature of the
material. Personnel should complete their reading assignments by
the required date. Certain documents may be designated for
"immediate reading." These should be read before assuming
responsibility for a shift position.
4. Documentation
Completion of reading should be documented, and the documentation
should be retained.
5. Review
The reading file should be periodically reviewed to ensure that all
department personnel complete readings by the required dates.
Material that has been read by all appropriate personnel should be
removed from the active file. A "dead" file may be maintained as a
reference.
CHAPTER XV
TIMELY ORDERS TO OPERATORS
A. INTRODUCTION
A means for operations management to communicate short-term information
and administrative instructions to operations personnel should exist.
Other means of disseminating guidance to operators are addressed in
Chapter XVI, Operations Procedures, and Chapter XVII, Operator Aid
Postings. This chapter describes the key features of an effective
operator orders program.
B. DISCUSSION
The changing needs and requirements of DOE facility operations
necessitate that a program be implemented to disseminate information to
operations personnel in a timely manner. To ensure that this
information remains current, periodic reviews to remove outdated
information should be included in the program.
C. GUIDELINES
1. Content and Format
Information such as special operations, administrative directions,
special data-collection requirements, plotting process parameters,
and other similar short-term matters can be included in operator
orders. Examples of orders could include instructions on the need
for and performance of specific evolutions or tests; it could also
include work priorities, announcements of policy information, and
administrative information. Orders should be clearly written,
dated, and maintained in the control room. Information and policies
intended as permanent should be incorporated into appropriate
administrative procedures. The operator orders program should not
be used to change operating procedures, because the changes noted in
the operator orders might be missed by a procedure user.
Additionally, operator orders may not receive the approval
appropriate for a procedural change. Therefore, information intended
to supplement operating procedures should be promptly incorporated
into the appropriate procedure by a procedure change or revision
(see Chapter XVI).
2. Issuing, Segregating, and Reviewing Orders
Operator orders should be issued by the operations supervisor or
his/her designee whenever necessary to communicate instructions to
the shift personnel. Operator orders should be segregated into
daily and long-term orders in order to facilitate review by shift
personnel. Daily orders that are postponed or prolonged should have
daily review or updates. Reviews of long-term orders may not be
required on a daily basis but should be made periodically and when
changes occur. Appropriate operations personnel should review the
orders early in the shift and document their review by initialing
the log or notebook.
3. Removal of Orders
Orders that are no longer applicable or are outdated should be
promptly removed or cancelled. The operations supervisor should
periodically review the operator orders to ensure that only
applicable and current orders remain effective.
CHAPTER XVI
OPERATIONS PROCEDURES
A. INTRODUCTION
Operations procedures are written to provide specific direction for
operating systems and equipment during normal and postulated abnormal
and emergency conditions.
Operations procedures should provide appropriate direction to ensure
that the facility is operated within its design bases and should be
effectively used to support safe operation of the facility. Other
methods of disseminating operational information are addressed in
Chapter XI, Operator Orders, and Chapter XVII, Operator Aid Postings.
This chapter describes the important aspects of operations procedure
development and use.
B. DISCUSSION
Procedures are a key factor affecting operator performance. Appropriate
attention should be given to writing, reviewing, and monitoring
operations procedures to ensure the content is technically correct and
the wording and format are clear and concise in accordance with
NUREG-0899. Although a complete description of a system or process is
not needed, operations procedures should be sufficiently detailed to
perform the required functions without direct supervision. Consistency
in procedure format, content, and wording is essential to achieve a
uniformly high standard of operator performance. Operators should not
be expected to compensate for shortcomings in such procedures as poor
format or confusing, inaccurate, or incomplete information. Instead,
procedures should be written in such a way that they can be easily used
without making mistakes.
During the course of operations, technical and operational requirements
change and better ways of doing things develop. To ensure that
procedures in use provide the best possible instructions for the
activity involved, periodic review and feedback of information are
essential.
The facility policy on use of procedures should be clearly understood by
all operators. Properly controlled and readily available procedures
promote use and ensure that operational activities will be conducted in
the manner intended.
C. GUIDELINES
1. Procedure Development
To ensure consistency among operations procedures, the methods for
developing new procedures, including procedure formats, should be
clearly defined. Administrative procedures and/or writers' guides
should direct the development and review process for procedures.
Procedures should be developed for all anticipated operations,
evolutions, tests, and abnormal or emergency situations.
Annunciator/alarm response procedures that guide the operator in
verifying abnormal conditions or changes in plant status and provide
the appropriate corrective action should be developed for all alarm
panels. All procedures should provide administrative and technical
direction to conduct the intent of the procedure effectively. The
extent of detail in a procedure should depend on the complexity of
the task, the experience and training of the user(s), the frequency
of performance, and the significance of the consequences of error.
Procedure preparation, verification, and validation should receive
high-level attention. Qualifications for procedure writers should
be considered, including operating organization and experience.
Review, verification, and validation should be formalized for
written and software procedures.
2. Procedure Content
To provide uniformity in operations procedures, the content of
procedures should conform to prescribed guidelines. The procedure
aspects described below should be followed when developing
operations procedures:
a. The scope and applicability of individual procedures should be
readily apparent. Procedures with single-unit applicability
should be distinctively identified to avoid confusion with
sister-unit procedures. In addition, to enhance rapid
retrieval, emergency procedures should be distinguishable from
other procedures. Color coding could be used for these
purposes.
b. Procedures should incorporate appropriate information from
applicable source documents, such as the facility design
documents, safety analysis documents, and vendor technical
manuals.
c. Prerequisites and initial conditions should be detailed.
Careful consideration should be given to the location of this
information within the procedure in order to help ensure that
the intent of the procedure is understood. In addition, any
hoses, tools, or other temporary testing equipment should be
verified operable, calibrated, or inspected and in good
condition where possible, before implementing any test
procedure, to ensure that they function as expected during the
test. These verifications should be identified in the
prerequisite section, with completion sign-offs required.
"Hold" points (requiring independent verification and/or
approval) should be clearly delineated.
d. Definitions used in the procedure should be explained.
e. Procedures should be easily understood, and actions should be
clearly stated.
f. Procedures should contain only one action per step.
g. Procedures should contain sufficient but not excessive detail.
The skill level, experience, and training of the users should be
considered.
h. Warnings, notes, and cautions should be easily identifiable and
should not contain action statements. The probability of
missing an action step increases when it is included in a
warning, note, or caution.
i. Warnings and cautions should precede the step to which they
apply. Warnings, notes, and cautions should appear on the same
page as the step to which they apply. This ensures that
operators are alerted to necessary information before performing
a procedural step.
j. Procedures should be technically and administratively accurate
(i.e., the instructions and information should be correct;
referenced documents should be correctly identified; and
necessary instructions should be present to guide the user when
transferring between procedures).
k. Individual sign-offs should be provided for selected critical
steps. One sign-off should not be applied to more than one
action.
l. Limits and/or tolerances for operating parameters should be
specified and should be consistent with the readable accuracy of
instrumentation. Operators should not be required to perform
mental arithmetic to determine if a specified parameter is
acceptable.
m. Acceptance criteria for surveillance or test procedures should
be easily discerned, including tolerances and units. If
calculations are needed to compare data to acceptance criteria,
the calculations should be clearly explained.
n. Sequence of procedural steps should conform to the normal or
expected operational sequence. Training on this sequence,
reinforced with procedures that show the same sequence, will
serve to improve operator performance by development of patterns
of action that are more easily remembered.
o. Procedures should be developed with consideration for the
human-factor aspects of their intended use. For example,
references to components should exactly match drawing and
label-plate identifiers, units should be the same as those
marked on applicable instrumentation, and charts and graphs
should be easily read and interpreted. Important factors (such
as operating limits, warnings, cautions, etc.) should be
highlighted.
p. Emergency operating procedures should provide guidance in
responding to single and multiple casualties.
q. Portions or steps of other procedures that are used or referred
to when performing a procedure should be specifically identified
within the procedure so that operators will not be confused when
transferring between procedures.
r. Component or system shutdown and restoration requirements
following shutdown or a surveillance or test activity should be
specific and controlled by the procedure.
3. Procedure Changes and Revisions
Procedure changes and revisions are necessary to ensure that
procedures reflect current operating practices and requirements.
The review and approval process for each procedure change or
revision should be documented. For the purpose of these guidelines,
a "procedure change" refers to an on-the-spot change (whether for
permanent or for one-time-only use). Procedure changes do not
involve retyping or reissuing a procedure. "Procedure revisions"
constitute a new, retyped edition of the procedure. Procedure
changes and revisions should conform to the following practices:
a. Procedure changes intended for use more than one time should be
documented in a location readily available for operator
reference. To avoid the possibility of error, these changes
should also be referenced in procedure copies used by operators.
b. Appropriate procedure changes and revisions should be initiated
when procedure inadequacies or errors are noted.
c. Procedure revisions should be initiated when a change has been
outstanding for an extended period (e.g., greater than 6 months)
or when a procedure has been affected by several changes (e.g.,
more than five). All currently effective procedure changes
should normally be incorporated when the procedure is revised.
d. Procedure revisions should be implemented concurrently with
modifications. Procedure updates required by temporary
modifications should be handled as procedure "change" and
implemented concurrently with the temporary modification
installation.
e. Important information regarding changed or revised procedures
should be communicated to appropriate operations personnel via
the required reading system (Chapter XIV), a pre-shift briefing,
or a similar method.
f. Documentation of the reason for key procedure steps should be
maintained and reviewed when implementing changes or revisions
that alter these steps. This practice is important to ensure
that the reason for any step is not overlooked.
g. The review process should involve verification and validation of
the procedure using walkthroughs or similar methods.
4. Procedure Approval
Operating procedures should be approved by the operations
supervisor. In addition, procedures that affect safety-related
equipment and emergency procedures should be reviewed by the
facility safety review committee or by another appropriate review
mechanism. Procedure revisions should receive the same depth of
review and level of approval as the initial versions. New and
revised procedures should be approved prior to use.
Changes in Operations procedure that do not affect the intent of
operations procedure should be approved by two individuals; one
should be a qualified operator, and the other should be a member of
facility management. For this purpose, management could be
interpreted to mean the operations supervisor or a more senior
individual within the operating organization. Within 2 weeks, these
procedure changes should be concurred with by the individuals who
would normally approve a revision or the Initial version of the
procedure. Changes that alter the intent of a procedure should
receive the same approval as a new or revised procedure.
5. Procedure Review
New and revised operations procedures should be reviewed prior to
issuance and at periodic intervals to ensure that the information
and instructions are technically accurate and that appropriate
human-factor considerations have been included. The frequency of
subsequent reviews should be specified; it may vary with the type
and complexity of the activity involved and with time as a given
plant reaches operational maturity. Applicable procedures should be
reviewed after an unusual incident (such as an accident, an
unexpected transient, significant operator error, or equipment
malfunction). During reviews, procedures should be compared to
source documents to verify their accuracy. In addition, new
procedures should be validated by walk-throughs in the facility or
by operation on a facility-specific simulator to ensure workability.
6. Procedure Availability
A controlled copy of all operations procedures should be maintained
in the control area for operator reference, and selected controlled
procedures should be maintained at other appropriate locations. For
example, controlled procedures for facility shutdown from outside
the control area should be maintained at the remote shutdown
location(s). It may be desirable to have procedures for routine
evolutions available at local work stations.
Working copies of controlled procedures should be available for use
during evolutions. However, since these documents have only a
limited lifespan, working copies should be controlled and a system
should be in place to ensure that outdated procedures are not used
by mistake and that working copies are replaced according to
approved procedures. For example, uncontrolled working copies could
be verified by comparison to a controlled copy prior to use.
Controlled annunciator response procedure information should be
easily accessible to the operators responsible for responding to
alarms. Some facilities can provide annunciator response procedures
at local control panels. If this is not done, annunciator response
procedures should be provided at an alternate location convenient to
the equipment operator.
7. Procedure Use
Facility operation should be conducted in accordance with applicable
procedures that reflect the facility design basis. The requirements
for use of procedures should be clearly defined and understood by
all operators. If procedures are deficient, a procedure change
should be initiated. In exception to this policy, operators may
take whatever action is necessary during emergency conditions to
place the facility in a safe condition, and to protect equipment,
personnel, and public safety without first initiating a procedure
change.
Operators should have procedures with them and follow them in a
step-by-step manner when the procedures contain sign-offs for the
various activities. In addition, procedures should be referenced
during infrequent or unusual evolutions when the operator is not
intimately familiar with the procedure requirements or when errors
could cause significant adverse impact to the facility. Operators
need not reference emergency procedures during the performance of
immediate actions since these actions, are committed to memory;
however, the emergency procedure immediate action instructions
should be reviewed after the actions are performed, thus, verifying,
that all required actions have been taken.
CHAPTER XVII
OPERATOR AID POSTINGS
A. INTRODUCTION
Facility operator aids (information posted for personnel use) should
provide information useful to operators in performing their duties. An
operator aid program should be established to ensure that operator aids
that are posted are current, correct, and useful. This chapter
describes the important aspects of an operator aid program.
B. DISCUSSION
Operator aids provide an important function in the safe operation of the
facility. Operator aids may come in many forms: copies of procedures
(portion or pages thereof), system drawings, handwritten notes,
information tags, curves, and graphs. It is important to make sure that
these types of postings reflect the most current information available
and that they do not supersede or conflict with any other controlled
procedure or information.
C. GUIDELINES
1. Operator Aid Development
Any facility employee could develop an operator aid; however, it
should be approved prior to posting. Operator aids (system
drawings, maintenance procedures, etc.) may often be posted by
individuals other than operations personnel; therefore, all facility
personnel should be informed of the importance of controlling posted
information and the procedure to be followed when posting
information.
2. Approval
The operations supervisor, or a higher authority, should approve all
operator aids. The person approving an operator aid should ensure
that the aid is necessary and correct. Operator aids that alter
procedures should not be approved. Instead, appropriate procedures
should be changed to incorporate the necessary information.
3. Posting
Operator aids should not be posted in such a way as to obscure
instruments or controls. The aids should be located in close
proximity to the area of their expected use. The operator aids
should, when possible, be protected (laminated) and should be
securely fastened to the equipment to which they refer.
4. Use of Operator Aids
Operator aids should be viewed as a convenience to the individual
using them, not a requirement. In most cases, operator aids remind
users of information that might otherwise be overlooked and provide
guidance that is not procedural in nature. Operator aids may
supplement approved procedures, but they should not be used in lieu
of approved procedures.
5. Documentation
A listing of all approved operator aids should be maintained along
with a copy of each aid posted in the facility. This list should be
used during periodic reviews of operator aids in order to help
ensure that the posted aids remain current, and to provide a
reference copy should an operator aid be missing during the review.
The list should be kept in the control area, the operations
supervisor's office, or other appropriate location. References from
which operator aids were derived, control numbers (including
revision), and dates of approval should be provided.
6. Review
The posted operator aids should be reviewed periodically to ensure
they are still correct and necessary. In addition, an operator
should audit the control area listing to ensure that only currently
posted aids are recorded on the listing. Operator aids no longer
posted should be removed from the listing, and missing aids should
be replaced.
Some operator aids are graphs, curves, or other portions of approved
procedures. To help ensure that these types of operator aids are
the most current versions, they should be updated when the "parent"
procedure is revised. One way to accomplish this is to notify
appropriate document control personnel of those operator aids that
are derived from procedures. When a revision is made to one of
these procedures, document control would notify the control room to
check the affected operator aid and see if changes are necessary.
During routine facility inspections, operations personnel should
review operator aids to ensure that they are approved. Unapproved
postings should be submitted for approval or removed. It is
important for all personnel to understand that the use of an
out-of-date operator aid could be just as detrimental as the use of
an out-of-date procedure.
CHAPTER XVIII
EQUIPMENT AND PIPING LABELING
A. INTRODUCTION
A well-established and maintained equipment labeling program should help
ensure that facility personnel are able to positively identify equipment
they operate. In addition, equipment labeling is required by
Operational Safety and Health Administration (OSHA) regulations. This
chapter describes the important aspects of a labeling program.
B. DISCUSSION
A good labeling program, understood and maintained by operating and
maintenance personnel, will enhance training effectiveness and will help
reduce operator and maintenance errors resulting from incorrect
identification of equipment. Personnel radiation exposure or exposure
to hazardous materials will also be reduced if operators spend less time
identifying components.
The labeling program should continue throughout the life of the
facility. Because equipment labels will be continually misplaced or
damaged, an ongoing labeling program should exist to allow personnel to
identify components needing labels, to identify a person or persons
responsible for making new labels, and to ensure that new labels are
correct and placed on the proper equipment. In addition to equipment,
doors to rooms should be labeled so that personnel can identify the room
and, if applicable, the equipment inside.
C. GUIDELINES
1. Components Requiring Labeling
The following components should be labeled:
a. Valves;
b. Major equipment (e.g., tanks, pumps, and compressors);
c. Switches;
d. Circuit breakers (4.16KV, 480V, 120VAC/DC, etc.);
e. Fuse blocks or fuse locations;
f. Instruments and gauges;
g. Busses and motor control centers;
h. Cabinets (including internal components such as relays,
terminals, etc.);
i. Room doors;
j. Emergency equipment (such as fire alarm stations, sound powered
phone headsets, etc.); and
k. Fire protection systems.
2. Label Information
Information on labels should be consistent with the information
found in facility procedures, valve lineup sheets, and piping and
instrument diagrams. Abbreviations and nomenclature used should be
standardized and should be understood by facility personnel. Labels
should be permanent, securely attached, and have distinguishable,
easy-to-read information. Each component label should list a unique
component number. The accompanying component noun name or
description and power supply, if applicable, should also be
provided. Labels may be color coded for unit, system, and/or train
designation. If color coding is used, the colors should be applied
consistently and have only one meaning per color or combination.
Piping should be labeled to indicate the fluid contained and the
normal flow direction. OSHA color coding for pipes could be used,
and pipes containing potentially radioactive fluids, toxic fluids,
or explosive gases should be uniquely marked.
Labels should be made from materials that are compatible with their
particular application. For example, chloride-free labels should be
used on stainless steel piping, and temperature-tolerant labels
should be used on hot components. Adhesives used for label
attachment should also be verified for compatibility.
3. Label Placement
Labels should be placed on or as near as practicable to the
equipment to be labeled. The label should be oriented in a manner
that is easy to read and so that the correct component is easy to
identify.
For example, labels for switches, indications, and breakers on
control or power panels should be placed closer to the identified
component than any other component so that the label clearly
identifies the correct component. Label placement should not
interfere with equipment operation or obscure indicators.
4. Replacing Labels
a. Identifying Lost or Damaged Labels
Procedures should be established to ensure that misplaced or
damaged labels are replaced. Since labels are often missing
after maintenance, the post-maintenance test could require a
check to ensure that the appropriate labels are attached.
Another method that could be used to check for labels is to add
another column to valve lineup sheets that would require the
operator to verify that labels are present, readable, and
undamaged. Operators should also look for missing or damaged
labels during their normal tours and during other routine
activities. They should become especially observant for
situations where a black marking pen has been used for labeling
(and then sometimes crossed out and re-labeled) and should
replace these informal labels with the proper labels.
b. Providing New Labels
A method should exist to help ensure the prompt identification
and correction of labeling deficiencies. A number of ways can
be suggested to accomplish this: operators could make labels on
their own, or operators could fill out forms and forward them to
a central facility to have labels made. In either case, a
temporary label should be attached to the component until the
replacement label can be made. The replacement label should be
approved by the operations supervisor (or higher authority). In
most cases the presence of labeling machines on-site promotes
relabeling.
The attachment of temporary and/or replacement labels to correct
components should be verified. The new label should meet the
guidelines for label information as addressed in paragraph C2 of
this chapter.
DOE 5480.19 Chg 2 Attachment II
10-23-01 Page II-1 (and II-2)
CONTRACTOR REQUIREMENTS DOCUMENT
DOE 5480.19, CONDUCT OF OPERATIONS REQUIREMENTS
FOR DOE FACILITIES
Pending revision of this Order to the new Directives System format, this whole Order applies to contractors and should be attached to the contract.
U.S. Department of Energy PAGE CHANGE
Washington, D.C. DOE 5480.19 Chg 2
10-23-01
SUBJECT: CONDUCT OF OPERATIONS REQUIREMENTS FOR DOE FACILITIES
1. PURPOSE. To transmit revised pages to DOE 5480.19, CONDUCT OF OPERATIONS REQUIREMENTS FOR DOE FACILITIES, dated 7-9-90.
2. EXPLANATION OF CHANGE. To update EH responsibilities in DOE 5480.19, and facilitate the Department’s organizational transition necessitated by establishment of the NNSA.
3. FILING INSTRUCTIONS.
Remove Dated Insert Dated
Pages 1 thru 4 5-18-92 Pages 1 thru 4 10-23-01
Attach I, Page I-12 7-9-90 Attach I, Page I-12 10-23-01
Attach II, Pages II-1 (and II-2) 10-23-01
After filing the attached pages, this transmittal may be discarded.
BY ORDER OF THE SECRETARY OF ENERGY:
FRANCIS S. BLAKE
Deputy Secretary