REGDOC-1.1.3 Licence Application Guide: Licence To Operate .
Reactor FacilitiesLicence Application Guide:Licence to Operate a Nuclear PowerPlantREGDOC-1.1.3September 2017
Licence Application Guide: Licence to Operate a Nuclear Power PlantRegulatory Document REGDOC-1.1.3 Canadian Nuclear Safety Commission (CNSC) 2017PWGSC catalogue number CC172-178/2017E-PDFISBN 978-0-660-09440-3Extracts from this document may be reproduced for individual use without permission provided thesource is fully acknowledged. However, reproduction in whole or in part for purposes of resale orredistribution requires prior written permission from the Canadian Nuclear Safety Commission.Également publié en français sous le titre : Guide de présentation d’une demande de permis : Permisd’exploitation d’une centrale nucléaireDocument availabilityThis document can be viewed on the CNSC website at nuclearsafety.gc.ca or to request a copy of thedocument in English or French, please contact:Canadian Nuclear Safety Commission280 Slater StreetP.O. Box 1046, Station BOttawa, Ontario K1P 5S9CANADATel.: 613-995-5894 or 1-800-668-5284 (in Canada only)Facsimile: 613-995-5086Email: cnsc.information.ccsn@canada.caWebsite: nuclearsafety.gc.caFacebook: e: youtube.com/cnscccsnTwitter: @CNSC CCSNPublishing historySeptember 2017Version 1.0
September 2017REGDOC-1.1.3, Licence Application Guide: Licence to Operate a Nuclear Power PlantPrefaceThis regulatory document is part of the Canadian Nuclear Safety Commission (CNSC)’s reactor facilitiesseries of regulatory documents, which also covers licence application guides for nuclear power plant(NPP) licences for other lifecycle stages. The full list of regulatory document series is included at the endof this document and can also be found on the CNSC’s website.Regulatory document REGDOC-1.1.3, Licence Application Guide: Licence to Operate a Nuclear PowerPlant sets out requirements and guidance on submitting a formal application to the CNSC to obtain alicence to operate an NPP in Canada, and identifies the information that should be included in theapplication.This document will be used to assess licence applications for proposed new NPPs and for licencerenewals for existing NPPs. Once the Commission has granted a licence, the safety and control measuresdescribed in the licence application and the documents needed to support the application will form part ofthe licensing basis.Guidance contained in this document exists to inform the applicant, to elaborate further on requirementsor to provide direction to licensees and applicants on how to meet requirements. It also provides moreinformation about how CNSC staff evaluate the information during their review of licence applications.Licensees are expected to review and consider guidance; should they choose not to follow it, they shouldexplain how their chosen alternate approach meets regulatory requirements. An applicant or licensee mayput forward a case to demonstrate that the intent of a specification is addressed by other means anddemonstrated by supporting information.A graded approach, commensurate with risk, may be defined and used when applying the requirementsand guidance contained in this regulatory document. The use of a graded approach is not a relaxation ofrequirements. With a graded approach, the application of requirements is commensurate with the risksand particular characteristics of the facility or activity.Important note: Where referenced in a licence either directly or indirectly (such as through licenseereferenced documents), this document is part of the licensing basis for a regulated facility or activity.The licensing basis sets the boundary conditions for acceptable performance at a regulated facility oractivity, and establishes the basis for the CNSC’s compliance program for that regulated facility oractivity.Where this document is part of the licensing basis, the word “shall” is used to express a requirement tobe satisfied by the licensee or licence applicant. “Should” is used to express guidance or that which isadvised. “May” is used to express an option or that which is advised or permissible within the limits ofthis regulatory document. “Can” is used to express possibility or capability.Nothing contained in this document is to be construed as relieving any licensee from any otherpertinent requirements. It is the licensee’s responsibility to identify and comply with all applicableregulations and licence conditions.i
September 2017REGDOC-1.1.3, Licence Application Guide: Licence to Operate a Nuclear Power PlantBy following the information in this regulatory document, applicants will submit the appropriateinformation to demonstrate that they are qualified and will make adequate and reasonable provisions toundertake the activity to be licensed.The information in this document is consistent with modern national and international practicesaddressing issues and elements that control and enhance nuclear safety. In particular, they establish amodern, risk-informed approach to the licensing of nuclear power plants.ii
September 2017REGDOC-1.1.3, Licence Application Guide: Licence to Operate a Nuclear Power PlantTable of Contents1.2.3.Introduction .11.1Purpose. 11.2Scope. 11.3Relevant legislation. 11.4CNSC contact information. 2Licensing Basis, Process and Submission .32.1Licensing basis. 32.2Licensing process . 32.3Structuring the licence application. 32.4Completing the licence application. 42.5Submitting the licence application . 6Applicant’s General Information .83.1Identification and contact information . 83.1.1Current licence number (for renewal) . 83.1.2Applicant’s name and business address . 83.1.3Mailing address . 83.1.4All persons who have authority to interact for the applicant with the CNSC . 83.1.5Proof of legal status . 93.1.6Evidence that the applicant is the owner of the site or has authority from theowner of the site to carry on the activity to be licensed. 93.1.7Identification of persons responsible for management and control of the licensedactivity . 93.23.1.8Billing contact person . 103.1.9Legal signing authority . 10Facility and activities to be licensed . 103.2.1Licence period. 103.2.2Statement of the main purpose. 103.2.3Description of site . 103.2.4Description of the facility’s existing licensing status, if any . 113.2.5Nuclear and hazardous substances . 11
September 20173.34.REGDOC-1.1.3, Licence Application Guide: Licence to Operate a Nuclear Power PlantOther relevant information. 113.3.1Permits, certificates and other licences . 113.3.2Similar facilities (for a licence application for a new facility) . 113.3.3Supporting information . 12Safety Policies, Programs, Processes, Procedures and Other Safety and ControlMeasures .134.14.24.34.4Management system . 144.1.1General considerations. 144.1.2Management system . 144.1.3Organization . 154.1.4Performance assessment, improvement and management review . 154.1.5Operating experience . 164.1.6Configuration management and change control . 164.1.7Safety culture . 174.1.8Records management . 174.1.9Business continuity . 17Human performance management . 184.2.1General considerations. 184.2.2Human performance program . 184.2.3Personnel training . 184.2.4Personnel certification . 194.2.5Initial certification examinations and requalification tests . 194.2.6Work organization and job design . 204.2.7Fitness for duty . 20Operating performance . 214.3.1General considerations. 214.3.2Procedures. 214.3.3Safe operating envelope . 224.3.4Outage management performance . 224.3.5Accident and severe accident management and recovery. 22Safety analysis . 244.4.1General considerations. 244.4.2Postulated initiating events . 24
September 20174.5REGDOC-1.1.3, Licence Application Guide: Licence to Operate a Nuclear Power Plant4.4.3Deterministic safety analysis . 244.4.4Hazard analysis . 254.4.5Probabilistic safety assessment . 254.4.6Severe accident analysis . 264.4.7Summary of analysis. 264.4.8Event mitigation. 27Physical design . 284.5.1General considerations. 284.5.2Site characterization. 304.5.3Design principles and requirements . 304.5.4Facility design . 364.5.5Structure design . 374.5.6System design . 384.5.7Fire safety and fire protection system . 394.5.8Reactor and reactor coolant system . 394.5.9Safety systems and safety support systems . 434.5.10 Electrical power systems . 454.5.11 Instrumentation and control . 454.5.12 Control facilities . 454.5.13 Steam supply system. 454.5.14 Plant auxiliary systems . 464.5.15 Fuel handling and storage . 474.5.16 Waste treatment and control . 474.5.17 Laboratories and Class II nuclear facilities . 474.64.7Fitness for service . 484.6.1General considerations. 484.6.2Reliability program . 484.6.3Maintenance program . 484.6.4Aging management program . 494.6.5Chemistry control program . 494.6.6Periodic and in-service inspection and testing programs . 50Radiation protection . 524.7.1Radiological hazard identification and assessment. 524.7.2Application of ALARA . 52
September 20174.8REGDOC-1.1.3, Licence Application Guide: Licence to Operate a Nuclear Power Plant4.7.3Elements of the radiation protection program . 524.7.4Dose to the public . 55Conventional health and safety . 564.8.14.94.10General considerations. 56Environmental protection. 574.9.1General considerations. 574.9.2Effluent and emissions control (releases) . 574.9.3Environmental management system . 594.9.4Assessment and monitoring . 594.9.5Protection of the public . 60Emergency management and fire protection . 614.10.1 General considerations. 614.10.2 Nuclear emergency preparedness and response . 614.10.3 Conventional emergency preparedness and response . 624.10.4 Fire emergency preparedness and response . 624.11Waste management . 634.11.1 General considerations. 634.11.2 Waste management practices . 634.11.3 Waste characterization . 644.11.4 Waste minimization . 644.11.5 Decommissioning practices . 654.12Security . 664.12.1 General considerations. 664.12.2 Facilities and equipment . 674.12.3 Response arrangements. 674.12.4 Security practices . 674.12.5 Security training and qualification . 684.12.6 Cyber security . 684.13Safeguards and non-proliferation. 694.13.1 General considerations. 694.13.2 Nuclear accountancy and control . 694.13.3 Access and assistance to the IAEA . 704.13.4 Operational and design information. 704.13.5 Safeguards equipment, containment and surveillance . 70
September 20174.14REGDOC-1.1.3, Licence Application Guide: Licence to Operate a Nuclear Power PlantPackaging and transport . 714.14.1 Package design and maintenance . 714.14.2 Packaging and transport program . 714.14.3 Registration for use . 715.Other Matters of Regulatory Interest .725.1Reporting requirements. 725.2Public information and disclosure program . 725.3Aboriginal engagement . 725.4Cost recovery and financial guarantees . 725.4.1Cost recovery . 725.4.2Financial guarantees . 73Appendix A: Legislative Clauses .74Appendix B: Safety and Control Areas .82Appendix C: Regulatory Documents and Standards .84C.1Regulatory documents and standards to be applied as requirements for all applicants . 84C.2Regulatory documents and standards to be applied as requirements for new facilities andaddressed to the extent practicable for existing facilities . 86C.3Regulatory documents and standards to be addressed as guidance . 87Appendix D: Sample Format for Listing the Supporting Documentation .90D.1Sample (suggested) format . 90Glossary .91References .92
September 2017REGDOC-1.1.3, Licence Application Guide: Licence to Operate a Nuclear Power PlantLicence Application Guide: Licence to Operate a Nuclear Power Plant1.Introduction1.1PurposeThis licence application guide identifies the information to be provided in support of anapplication for a licence to operate a nuclear power plant (NPP). It sets out requirements andguidance on submitting a formal application to the Canadian Nuclear Safety Commission (CNSC)to obtain a licence.By following the information in this regulatory document, applicants will submit the appropriateinformation to demonstrate that they are qualified and will make adequate provisions to undertakethe activity to be licensed.1.2ScopeThis document will be used: by applicants to prepare a licence application for a licence to operate a proposed newNPP or for the renewal of a licence to operate an existing facility by CNSC staff to assess the licence applicationNote 1: This document is not intended for applications for a licence amendment or revocation ofan operating licence.Note 2: The applicant must possess a licence to operate a nuclear facility before operationcommences. For a new nuclear facility, operation commences when fuel is loaded (i.e., no fuelmay be loaded before the licence to operate has been granted by the CNSC).1.3Relevant legislationThe following provisions of the Nuclear Safety and Control Act (NSCA, the Act) and theregulations made under it are relevant to this document: subsection 24(4) of the NSCA states that “No licence shall be issued, renewed, amended orreplaced – and no authorization to transfer one given – unless, in the opinion of theCommission, the applicant or, in the case of an application for an authorization to transfer thelicence, the transferee(a) is qualified to carry on the activity that the licence will authorize the licensee to carry on;and(b) will, in carrying on that activity, make adequate provision for the protection of theenvironment, the health and safety of persons and the maintenance of national security andmeasures required to implement international obligations to which Canada has agreed.” paragraphs (a) and (e) of section 26 of the NSCA state that “Subject to the regulations, noperson shall, except in accordance with a licence,(a) possess, transfer, import, export, use or abandon a nuclear substance, prescribedequipment or prescribed information[ ](e) prepare a site for, construct, operate, modify, decommission or abandon a nuclear facility”1
September 2017 REGDOC-1.1.3, Licence Application Guide: Licence to Operate a Nuclear Power Plantsubsection 3(1.1) of the General Nuclear Safety and Control Regulations (GNSCR) statesthat “the Commission or a designated officer authorized under paragraph 37(2)(c) of the Act,may require any other information that is necessary to enable the Commission or thedesignated officer to determine whether the applicant(a) is qualified to carry on the activity to be licensed; or(b) will, in carrying on that activity, make adequate provision for the protection of theenvironment, the health and safety of persons and the maintenance of national security andmeasures required to implement international obligations to which Canada has agreed.”Other relevant sections of the regulations made under the NSCA are included in the content ofthis document. Appendix A maps a list of relevant clauses from the NSCA and the regulationsmade under the NSCA to the related sections of this licence application guide.The applicant must also comply with all applicable laws and regulations at all jurisdictionallevels, provided they do not conflict with the NSCA and the regulations made under the NSCA.Note: This regulatory document includes select requirements that are based on the NSCA and theregulations made under the NSCA. Other requirements are related to documents that must beaddressed so that they are incorporated into the licensing basis, and that existing practice forlicence renewals is codified.1.4CNSC contact informationA single point of contact from the CNSC is assigned to work with every licensee or applicant.This point of contact can provide the licensee or applicant with additional information orexplanation of the information contained within this document.The applicant should contact the CNSC early in the licence application process, and request thename and contact information of the single point of contact assigned to the licence application.To contact the CNSC, refer to the CNSC’s website.2
September 20172.REGDOC-1.1.3, Licence Application Guide: Licence to Operate a Nuclear Power PlantLicensing Basis, Process and SubmissionThis section provides information on the licensing basis and process, including completing andsubmitting the licence application.2.1Licensing basisThe licensing basis sets the boundary conditions for acceptable performance at a nuclear facility.It establishes the basis for the CNSC’s compliance program, which is designed to ensure that thelicensee continues to meet requirements and conduct the licensed activity within the licensingbasis. The concept of the licensing basis is explained in the CNSC’s information documentLicensing Basis Objective and Definition [1].The applicant shall notify CNSC staff of any conflicts between elements of the licensing basis forthe proposed licence (for example, conflicts between provincial and federal legislation).CNSC staff will review the application and the supporting documentation, and assess whether theinformation is acceptable. When the Commission grants a licence, the information describing thesafety and control measures will form part of the licensing basis.2.2Licensing processREGDOC-3.5.1, Licensing Process for Class I Nuclear Facilities and Uranium Mines andMills [2], clarifies the licensing process in the context of the NSCA.In addition to the information provided in this licence application guide (REGDOC-1.1.3), theCNSC may request additional information by sending supplemental, facility-specific guidance tothe applicant prior to the beginning of the licensing process.The licensing process is initiated when the applicant submits a licence application. Whennecessary for increased clarity, the CNSC may request additional information, even if theapplication
The full list of regulatory document series is included at the end of this document and can also be found on the CNSC's website. Regulatory document REGDOC-1.1.3, Licence Application Guide: Licence to Operate a Nuclear Power Plant sets out requirements and guidance on submitting a formal application to the CNSC to obtain a licence to operate an NPP in Canada, and identifies the information .
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1. read regulations before completing this application form. 2. use capital letters and where applicable mark with a . site licence number 3. use a separate form for each licence application. 4. indicate type of licence you are applying for. site licence retail licence retail licence number 5.
1. read regulations before completing this application form. 2. use capital letters and where applicable mark with a . site licence number 3. use a separate form for each licence application. 4. indicate type of licence you are applying for. site licence retail licence retail licence number 5.
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