Facility Survey & Transfer

• Overview
• Transfer Activities Checklist
• Pre-Survey Information Request
• Survey Report Content
• Detailed Walkdown Checklist
• Walkdown Checklist Clipboard Aids
• S & M Checklist
• Survey Report Example - Hot Storage Garden
• Survey Report Example - Tritium System Test Assembly
• Survey Report Example - Calutron

As DOE facilities become excess, many that are radioactively and/or chemically contaminated will become candidate for transfer to DOE-EM for deactivation and decommissioning. Requirements and guidance for such transfers are contained in:

• DOE Order 430.1A, LIFE CYCLE ASSET MANAGEMENT (LCAM)
• DOE Guide 430.1-5, TRANSITION IMPLEMENTATION GUIDE

The transfer process is illustrated in the Transfer Process figure. The purpose here is to provide examples of methods and activities used for transferring facilities from a transition status to a deactivation status.

A significant portion of these examples deal with facility surveys and walkdowns that are conducted to achieve several objectives. These are to:

• Gain an understanding of the overall physical condition, risks, hazards, and liabilities of the facility.
• Identify stabilization actions and other activities that should be conducted prior to and after the transfer.
• Gain a sense of the magnitude and extent of the post-transfer S&M program and the subsequent deactivation.
• Validate and/or estimate the cost of S&M after transfer, but before deactivation.
• Suggest the long-term EM management risk and path forward for the facility.

The transfer activities checklist that follows covers these functions, although not specifically as shown in the Transfer Process figure above.

The following is a checklist of activities to be conducted by either or both the transferring program and EM to coordinate the transfer of a facility.

The following information request can be used to obtain information of interest prior to conduct of a survey and walkdown. This will assist the facility staff in preparing for the survey and also will make for a more efficient survey if the information requested is available prior to a visit.

QUESTIONNAIRE COVER SHEET

POINT OF CONTACT

Please complete the following tables. The tables will be used for the site visit as Points of Contact or to contact individual subject matter experts (SME) for the specific subject area of interest. SMEs are individuals that possess either current or past knowledge in the facility’s operations, management etc. These people should be readily available for interviews or round table discussions or as participants during the facility walkdown.

1. Facility Structure

Purpose: To determine scope and investment needed to mitigate radioactive or hazardous material migration, animal intrusion or inleakage potential.

Questions/Lines of Inquiry

Structural integrity (walls, foundation, roof)

• Has there been a recent evaluation of the structures? If so, provide the document.
• Is there evidence of contamination migration through the structures?
• Structural tightness for leakage (walls, foundation, roof, doors, windows, screens).
• Has water or animal intrusion been a problem since completion of the last mission?
• Does the condition of these items require special winterization control?

Condition of hot cells

• What are the structural conditions of hot cells?
• What are the contamination levels?

Condition of pools and sumps

• Is there evidence of leaks from pools/sumps?
• What is the contamination level?
• Is shine or "bath tub ring" a dose problem?

General overall condition and life expectancy

• Is the facility beyond its design life? If so how by how much?

Types of Documents of Interest During a Site Visit (to the extent they exist)

• Seismic evaluation.
• Inspection reports.
• Maintenance History.
• Exterior Buildings Drawing, Sketch, or Photo, Key Building Floor Plans.

2. Process Systems

Purpose: To determine scope and investment needed to use systems for cleanout runs, to stabilize them for residual contained material, or to isolate, abandon or require removal prior to facility transfer.

Questions/Lines of Inquiry

Active Systems - Identify the current active systems. This should include all safety systems.

Contaminated Systems - Identify systems with known contamination. Information should include the inventory to the extent known.

Abandoned Systems - Identify abandoned systems and their condition.

Cleaned Systems - Identify systems that were previously cleaned/blanked and provide documentation (references) that identifies the as-left system condition.

Types of Documents of Interest During a Site Visit (to the extent they exist)

Condition or status reports, especially as-left conditions.

As-Built or essential drawings.

Safety Equipment List.

Technical Manual.

Winterization requirements and information.

Confined Space List.

3. Infrastructure and Support Systems

Purpose: To determine scope and investment needed to upgrade systems to maintain a min-safe facility condition, or to retire systems to reduce hazards.

Questions/Lines of Inquiry

Utilities

• What is the current cost of utilities?
• Are the utilities necessary to ensure the safety of the facility?
• What is the interface with utility providers?

Fire System

• What is the current cost of fire systems/support?
• Is the fire system necessary to ensure the safety of the facility?
• Is this documented in a Fire Hazard Analysis?
• What is the interface with fire systems support personnel?

Other Safety Systems (i.e., NOX Monitors, Eye washes, safety showers)

• What other systems are currently operating?
• What are the drivers for these systems (i.e., SAR, other documents)?

Radiation Monitors - What is the current radiation monitoring in the facility?

Cranes and Hoists and other specialty equipment - Identify any of these systems and their purpose/need for current facility mission and for "cleanout."

Elevators - Are the inspections and certifications current?

Types of Documents of Interest During a Site Visit (to the extent they exist)

• Maintenance History files
• Floor plans and Essential drawing lists
• As-Built drawings

4. Nuclear Safety & Materials

Purpose: Address the question of need for material stabilization or transfer prior to deactivation or decommissioning, and associated costs.

Questions/Lines of Inquiry

Does the facility store or maintain accountable (Category I, II, III, IV) Special Nuclear Material (SNM)?

What materials were processes/handled in the facility? What is their current inventory? Materials such as:

Nuclear materials (thorium, uranium, plutonium)

Nuclear fuel (new fuel, spent fuel, etc)

Deuterium and tritium

Sealed sources

Are there plans or actions to remove any of the material?

Are the authorization basis documents current (annual updates)? And DOE approved?

Are there current criticality safety documents?

Is there an active criticality alarm system?

Types of Documents of Interest During a Site Visit (to the extent they exist)

• DNFSB 94-1 reports and status.
• Pu Vulnerability Assessments.
• Criticality Specifications/Evaluations.
• Inventory reports or data sheets.
• Accountability status.
• Studies for disposition, either by processing within the facility, disposal, or transfer for processing or storage.
• Disposition plans.
• Security Plans and Agreements.

5. Hazardous Material

Purpose: Address the question of need for removal of hazardous material.

Questions/Lines of Inquiry

Identify the hazardous material inventory and potential residues including:

Process chemicals (solvents, acids, caustics, etc.)

Worker Hazards (asbestos, beryllium, magnesium, chlorine, etc.)

Environmentally hazardous (lead, PCBs, freon, paints, cleaning chemicals, etc.)

Fuels or explosive, incendiaries (diesel oil, gasoline, etc.)

Other (Pesticides, herbicides, etc.)

Are there plans or actions to remove any of the material?

Types of Documents of Interest During a Site Visit (to the extent they exist)

• Survey reports or other characterization summaries
• Lists of materials (including locations)
• Chemical Vulnerability Assessments
• Results of any stabilization efforts
• Emergency or Contingency Plans
• Major reportable incidents, such as those reported in ORPS, in the facility's life cycle (radiological, chemical, industrial, etc.)
• Related plans or project descriptions

6. Radioactive Contamination and Waste

Purpose: Address the question of need for fixing contamination, or decontamination, and waste removal.

Questions/Lines of Inquiry

Where is there radioactive material, radiation and contamination, what type is it, what is the amount?

Are there areas in the facility where there radioactive contamination has been covered with a fixative in the past to prevent spread? If so, where are the records?

Is there radioactive contamination exterior to buildings? If so, what is it and where are the records?

How much and what kinds of radioactive/hazardous waste is currently in the facility?

Are there plans or actions to decontaminate?

Are there plans or actions to remove hazardous waste?

Types of Documents of Interest During a Site Visit (to the extent they exist)

• Contamination and Dose survey reports or other characterization summaries.
• Inventory of loose and packaged waste within the facility.
• Historical reports of contamination while the facility was in use.
• Major reportable incidents, such as those reported in ORPS, in the facility's life cycle (radiological, chemical, industrial, etc.).
• Related plans or project descriptions.
• ALARA/Dose assessments.

7. Environmental Compliance

Purpose: To understand current environmental requirements, permits and regulatory commitments.

Questions/Lines of Inquiry

Does the facility have key baseline environmental documentation i.e., RCRA, CERCLA, NEPA, FEMP, NOC, Permits, Compliance plans?

Does the facility have an environmental historical file or operating record that contains air emission, filtration (HEPAs) records, and liquid effluent discharge information? Does it include hazardous material or chemical spill information?

Are there potential fugitive emissions sources?

What (if any) are the facility liquid discharges? Are any of these unmonitored?

Identify any open drains. Are they in contaminated areas? Do the discharge to process, storm or sanitary systems?

Identify how run-off is controlled and how is storm water is managed?

Types of Documents of Interest During a Site Visit (to the extent they exist)

• Effluent and Hazardous material reports
• Characterization reports or plans
• Inspection reports

8. Characterization Information

Purpose: Address the question of need for inspection, sampling, repairing or removal of hazardous material prior to facility transfer.

Questions/Lines of Inquiry

How well is the facility characterized?

Is the quantity and form of both radiological and non-radiological material (Chemical) well understood for all areas of the facility? If so, what is the basis for the information?

What information is based on process knowledge and what information has been verified (sampling, NDA, etc.)?

Where is data archived for radiological and material information?

Are there site maps showing waste sites or contaminated area’s external to the facility?

Are there hazardous material inventories in addition to chemical identified above (Beryllium, Asbestos, biological, PCB’s, etc.)?

Is the facility characterized for industrial hazards such as confined spaces, noise, heights, etc.?

Types of Documents of Interest During a Site Visit (to the extent they exist)

• Characterization reports or plans
• Inspection reports
• Health and Safety Plan
• Industrial Safety inspections and confined space list

4. Stabilization and Other Action Required for Transfer

This section addresses stabilization actions that should be conducted prior to transfer. This should relate to equipment, structures, hazard removal or fixing, materials, etc. Typically, subjects for noting might include the following:

• Characterization where conditions are unknown and thought to represent hazards or risks.
• Isolation of hazards or systems containing hazardous materials that do not otherwise require stabilization actions, electrical systems no longer in use, etc.
• Stabilization such as cleanout runs for systems containing hazards, removal of hazardous or precious materials. Stabilization focuses on activities where knowledge of the current facility staff is important to operating equipment.
• Remove anything that would be declared RCRA waste if left. This is to avoid unnecessary declaration of waste or the need to establish a RCRA storage area.
• Provide a list and description, or supporting documents, of facility specific commitments, if any, for which EM will be responsible after transfer.
• Determine if any of the process equipment remaining in the facility is of historical significance, and if so, remove it.
• Agreements (Permits, Licenses, Purchase Orders, Contracts, etc.) - Provide a list and description, or supporting documents, of facility specific permits, licenses, purchase orders, contracts, and other agreements, if any, that would become the responsibility of EM upon transfer.

This list is neither mandatory nor all-inclusive. Any others subjects that surveyors think appropriate should be addressed.

5. Post-Stabilization Surveillance and Maintenance

This section provides an overview of the Post Stabilization S&M regimen (after transfer) and an estimate of the costs. The estimate will depend on the overall conditions resulting from stabilization activities and specifically, but not all inclusively, on whether the facility be occupied or not, if equipment and utilities are operational, and if there is material requiring surveillance and security measures.

Table 2 can be used for estimating the post-stabilization surveillance and maintenance burden.  It must be included in the survey report. This table should include the number of FTEs annually as well as other direct costs for each activity.

Budget estimates for labor should use a site-specific fully burdened labor rate and is applied to the number of FTE’s for each S&M activity.

Other Direct Costs are included in either or both of two ways:

• Specific costs for the facility S&M associated with line items in Table 2 (e.g., waste disposal)
• An allowance of 20% of the S&M Labor costs for other direct costs, such as consumables.

Table 2 should not include costs (such as general training) for activities that are not directly related to the facility being surveyed. Such costs are included either in the burdened rate or site surcharges.

Experience has shown that Table 2 is sufficient for recording the details of an S&M estimate for small facilities. However, for larger or complex facilities, a more detailed basis of estimate may be needed from which to derive an overall estimate. A more comprehensive checklist for such a purpose may be included in the survey report.

6. Attachments

Attach sketches, photographs, drawings, that show physical features of the facility or are useful to explain information in the survey report.

The following detailed checklist is appropriate for surveying a complex facility.

The purpose of an initial walkdown is NOT a comprehensive documentation of the facility, but rather a screening evaluation.  In some situations, a second comprehensive walkdown may be required.

The items on the detailed checklist should serve as reminders of what to look for/at.  it is not intended that each listed item be documented.  To serve the objectives above, it is advisable to use a level of detail that is "by exception."  That is, conditions should be noted that are considered significant to safety, stability or S&M budgets.

During walkdowns in equipment areas, it has proven convenient to have clipboard sheets similar the two aids that follow:

• Survey Sheet for the major categories of walkdown focus – Several copies should be taken on each walkdown, as one sheet may be insufficient.
• Individual listing of specific conditions, structures, equipment to look for, etc. This can be laminated in plastic and used many times.

Facility Transfer Survey

By __________________________ Facility __________________________ Walkdown Date ___________________

This checklist is provided as an aid to identifying the activities for the S&M Estimate. The user should decide which of these activities will be most prevalent after transfer, either individually or as groups, and use that to estimate the number of individuals and their allocated time.

The Hot Storage Garden facility at Oak Ridge is small and quite limited. This example represents a brief survey report. Note that the example does not necessarily represent final concurrence on transfer conditions.

The TSTA facility at Los Alamos is medium in size and moderate in transfer scope. Note that the example does not necessarily represent final concurrence on transfer conditions.

The Calutron facility at Oak Ridge is large and complex. This example represents a comprehensive survey report. Note that the example does not necessarily represent final concurrence on transfer conditions.