CHALK RIVER LABORATORIES (CRL) APPLICATION FOR OPERATING LICENCE RENEWAL

Transcription

1 E. S. (Hank) Drumhiller Vice President Operations and Chief Nuclear Officer Site Licence Holder Chalk River Laboratories CRL-ACNO L UNRESTRICTED 2010 September 30 M. Leblanc Commission Secretary Secretariat Canadian Nuclear Safety Commission 280 Slater Street P.O. Box 1046, Station B OTTAWA, Ontario K1P 5S9 Dear Mr. Leblanc: CHALK RIVER LABORATORIES (CRL) APPLICATION FOR OPERATING LICENCE RENEWAL On behalf of Atomic Energy of Canada Limited, I hereby make application for the renewal of the Nuclear Research and Test Establishment Operating Licence for Chalk River Laboratories (current licence NRTEOL 1.07/2011) [1]. This application is made in accordance with the requirements of the Nuclear Safety and Control Act, and the General Nuclear Safety and Control Regulations. Two signed copies of the form Application for Licensing [2] are enclosed for the consideration of the Commission. This application is submitted for consideration by Commission members for a five year licence renewal period to commence on 2011 November 01 following expiry of the current licence [1]. This licence period is consistent with other Class I nuclear facility licences, and is supported by an Integrated Safety Review that establishes the basis for operating the National Research Universal (NRU) reactor safely for a 10-year period. Attachment A summarizes the material required by sections 5 and 7 of the General Nuclear Safety and Control Regulations, and Attachment B presents the information required by the Act and the Regulations made pursuant to the Act, to be included in an application for the renewal of a licence. Specifically, Attachment B provides a clause-by-clause statement for relevant excerpts from the relevant CNSC Regulations. Additional documentation is enclosed with this letter [3 to 7] which supports the material and information presented in Attachment B. Chalk River Laboratories Laboratoires de Chalk River Chalk River, Ontario Chalk River (Ontario) Canada K0J 1J0 Canada K0J 1J0 (613) (613) poste Tel.: (613) Tél. : (613)

2 M. Leblanc September 30 CRL ACNO I L UNRESTRICTED The timing of this application is consistent with the requested approach as presented in [8], and further supporting reference material will be submitted to the Secretariat by 2010 November 30, also as requested in [8]. ABCL looks forward to hearing from the Commission with respect to this application. In the interim, should you require any further information please contact Mr. Dave Cox, Director - Safety Engineering and Licensing at , extension or myself. Yours sincerely, E. S. (Hank) Drumhiller Vice-President Operations Chief Nuclear Officer Site Licence Holder - Chalk River Laboratories E(H)D/JEC/jc Attachments Enclosures

3 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED References: [1] Chalk River Laboratories, Nuclear Research and Test Establishment Operating Licence, NRTEOL-01-07/2011. Expiry Date: 2011 October 31. [2] CNSC Form, Application for Licensing, (Rev July). [3] Research and Technology Operations Management System Manual, MAN-001, Revision 0, 2010 September. [4] Management System Governing Documentation Index, GDI-001, Revision 0, 2010 September. [5] Sites and Facilities Governing Documentation Index, GDI-002, Revision 0, 2010 September. [6] Management System Contact and Responsibility List, , Revision 0, 2010 September. [7] Organization to Support CRL Operations, CRL ORG-001, Revision 0, 2010 September. [8] M. Santini, Letter to W.S. Pilkington, Application for the Renewal of the Chalk River Laboratories Operating Licence, CRL-NOAC L (E-docs: ), 2010 May 10. c C. Nache (CNSC) N. Riendeau (CNSC) M. Santini (CNSC) A. Ashworth T. Arthur J. Bond S.J. Bushby J.E. Chilton D.S. Cox C. de Vries J.D. Garrick W.C.H. Kupferschmidt V. Langman R.G. Lavoie R.M. Lesco J. McKenna J. Miller J.R. Walker A.J. White >CNSC Site Office >CR Licensing >SRC

4 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment A Information Required for Licence Renewal Application as per Sections 5 and 7 of the General Nuclear Safety and Control Regulations Requirements are shown in bold and italic font with AECL responses in regular font. Application for Renewal of Licence Section 5 An application for the renewal of a licence shall contain: (a) The information required to be contained in an application for that licence by the applicable regulations made under the Act: AECL is applying for a renewal of the current Chalk River Laboratories Nuclear Research and Test Establishment Operating Licence (NRTEOL-1.07/2011) [A-1]. Attachment B of this letter presents the information required by the Act and the Regulations made pursuant to the Act, to be included in an application for the renewal of a licence. Specifically, Attachment B provides a clause-by-clause statement for relevant excerpted clauses from the CNSC Regulations. Reference to specific AECL and external documentation is made within Attachment B, as required, and these are separately listed as references at the end of Attachment B. Certain key items of AECL supporting documentation that are referenced within Attachment B have been newly prepared for this application, and are itemized below as references [A-2 to A-6]. Two signed copies of the CNSC form Application for Licensing [A-7] are also enclosed for the consideration of the Commission. Supplementary information, in support of this application, will be provided to the CNSC Secretariat by 2010 November 30.

5 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Incorporation of Material in Application Section 7 An application for a licence or for the renewal, suspension in whole or in part, amendment, revocation or replacement of a licence may incorporate by reference any information that is included in a valid, expired or revoked licence. Attachment B of this letter replaces the previous stand-alone document [A-8] that was submitted in 2005 November for the previous application to renew the CRL operating licence. In a similar manner, reference items [A-2 to A-6] enclosed with this application have been newly prepared by AECL to replace the document [A-9] that was originally submitted in 2005 November for the previous application to renew the CRL operating licence. AECL believes that the suite of newly submitted documents comprising reference items [A-2 to A-6], and their subsequent revision on an as required basis, will provide an improved platform of internal licensing reference material. References: [A-1] Chalk River Laboratories, Nuclear Research and Test Establishment Operating Licence, NRTEOL-01-07/2011. Expiry Date: 2011 October 31. [A-2] Research and Technology Operations Management System Manual, MAN-001, Revision 0, 2010 September. [A-3] Management System Governing Documentation Index, GDI-001, Revision 0, 2010 September. [A-4] Sites and Facilities Governing Documentation Index, GDI-002, Revision 0, 2010 September. [A-5] Management System Contact and Responsibility List, , Revision 0, 2010 September. [A-6] Organization to Support CRL Operations, CRL ORG-001, Revision 0, 2010 September. [A-7] CNSC Form, Application for Licensing, (Rev July). [A-8] Licensing Basis Document for Chalk River Laboratories, CRL LBD-001, Revision 0, 2005 November. [A-9] Information in Support of Site Licence Renewal for Chalk River Laboratories, CRL LP-001, Revision 1, 2007 March (Revision 0, 2005 December).

6 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Safety Control Act 24(2) The Commission may issue, renew, suspend in whole or in part, amend, revoke, or replace a licence on receipt of an application (a) in the prescribed form; 24(2) (b) containing the prescribed information and undertakings and accompanied by the prescribed documents; and This attachment provides the information required by the Nuclear Safety and Control Act (the Act) and the Regulations made pursuant to the Act, and constitutes, in part, an application by AECL to renew the current CRL site operating licence. See the enclosed subject cover letter [B-1] and application form [B-2]. Other supporting material will be provided, as required, under separate cover. See response to item (a) above. 24(2) (c) accompanied by the prescribed fee. AECL is in good standing with respect to the provision of CNSC licensing fees and will provide all necessary fees, as and when required, under separate cover. 24(4) No licence may be issued, renewed, amended or replaced unless, in the opinion of the Commission, the applicant (a) is qualified to carry on the activity that the licence will authorize the licensee to carry on; and AECL understands that qualification will be determined through consideration by the Commission of this application and the associated supporting material as well as deliberation through the Commission public hearing process.

7 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Safety Control Act 24(4) (b) will, in carrying on that activity, make adequate provision for the protection of the environment, the health and safety of persons and the maintenance of national security and measures required to implement international obligations to which Canada has agreed. 24(5) A licence may contain any term or condition that the Commission considers necessary for the purposes of this Act, including a condition that the applicant provide a financial guarantee in a form that is acceptable to the Commission. 25 The Commission may, on its own motion, renew, suspend in whole or in part, amend, revoke or replace a licence under the prescribed conditions. AECL understands that adequate provision will be determined through consideration by the Commission of this application and the associated supporting material as well as deliberation through the Commission public hearing process. AECL understands the requirement for an acceptable financial guarantee. AECL is a Schedule III, Part I Crown corporation under the Financial Administration Act. The existence of an appropriate financial guarantee for the Chalk River Laboratories site was previously established [B-3] and [B-4]. AECL understands the clause and no response is required.

8 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response General Nuclear Safety and Control Regulation 3 (1) An application for a licence shall contain the following information: (a) the applicant s name and business address; See application form [B-2]. 3 (b) the activity to be licensed and its purpose; AECL s major research and development efforts take place at the Chalk River Laboratories (CRL). In particular at the CRL site, AECL intends to: a) possess, transfer, import, export, sell and use nuclear substances, prescribed equipment and prescribed information; b) produce, refine, convert, process, package, transport, manage, sell, store and dispose of nuclear substances; c) produce, sell and service prescribed equipment; d) prepare a site to construct, operate, sell, modify and decommission a nuclear facility. 3 (c) the name, maximum quantity and form of any nuclear substance to be encompassed by the licence Three principal types of nuclear substances exist at CRL: Heavy Water (Deuterium Compounds and Derivatives) Fissile, Fertile and other Radioactive Nuclides Sealed and unsealed sources Nuclear substances are in use at CRL in solid, liquid and gaseous forms. Limitations on the maximum quantities of nuclear substances permitted on the CRL site are specified in the various facility Safety Analysis Reports for nuclear facilities; in the various Radioisotope Laboratory protocols for the radioisotope laboratories; in the various Criticality Safety

9 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response General Nuclear Safety and Control Regulation 3 (d) a description of any nuclear facility, prescribed equipment or prescribed information to be encompassed by the licence Documents and Approvals; and, in specific procedures governing the use, handling and storage of nuclear substances. Reference to these documents may be found through the Sites and Facilities Governing Documentation Index document [B-5], section 4.1, and the documents referenced therein. The CRL site contains various Class I and Class II nuclear facilities. A description and information regarding the nuclear facilities may be found in the RTO Management System manual [B-6], section 6.2 and more detailed information is provided in the nuclear facility specific documentation listed in the Sites and Facilities Governing Documentation Index document [B-5], sections and 4.1.2, and associated references. Relevant information on prescribed equipment may be found in the RTO Management System manual [B-6], sections 6.2 and 6.3 and more detailed information in specific documentation listed in the Sites and Facilities Governing Documentation Index document [B-5], sections to inclusive. Any specific required information that may be prescribed information will be provided to the Commission under separate cover, consistent with clause 21 (2) of the General Nuclear Safety and Control Regulations which states that information made public is not prescribed information for the purposes of the Nuclear Safety and Control Act (the Act).

10 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response General Nuclear Safety and Control Regulation 3 (e) the proposed measures to ensure compliance with the Radiation Protection Regulations and the Nuclear Security Regulations 3 (f) any proposed action level for the purpose of section 6 of the Radiation Protection Regulations; 3 (g) the proposed measures to control access to the site of the activity to be licensed and the nuclear substance, prescribed equipment or prescribed information; 3 (h) the proposed measures to prevent loss or illegal use, possession or removal of the nuclear substance, prescribed equipment or prescribed information; Compliance with the Radiation Protection Regulations at CRL is ensured through implementation of the Radiation Protection (RP) program. This program is addressed by Process , Provide Radiation Protection, as described in the RTO Management System manual [B-6], section B Compliance with the Nuclear Security Regulations is ensured through implementation of the Physical Security program. This program is addressed by Process , Provide Physical Security, as described in the RTO Management System manual [B-6], section B.8.9. Action levels for the CRL site are defined in the document Action Levels for Chalk River Laboratories [B-7]. Relevant requirements regarding access to the CRL site are addressed by Process , Provide Physical Security, as described in the RTO Management System manual [B-6], section B.8.9. Relevant requirements regarding loss, illegal use, possession or removal at the CRL site are addressed by Process , Provide Physical Security, as described in the RTO Management System manual [B-6], section B.8.9.

11 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response General Nuclear Safety and Control Regulation 3 (i) a description and the results of any test, analysis or calculation performed to substantiate the information included in the application; 3 (j) the name, quantity, form, origin and volume of any radioactive waste or hazardous waste that may result from the activity to be licensed, including waste that may be stored, managed, processed, or disposed of at the site of the activity to be licensed, and the proposed method for managing and disposing of that waste; 3 (k) the applicant s organizational management structure insofar as it may bear on the applicant s compliance with the Act and the Regulations made under the Act, including the internal allocation of functions, responsibilities and authority; Substantiation of the information included with this application is demonstrated through the implementation of annual reporting requirements as defined in the current site operating licence. Annual reports are prepared, as required, to cover both nuclear facility and program performance areas. Further specific information on tests, analysis and relevant calculations may be found in the various nuclear facility specific Safety Analysis Reports prepared through the implementation of Process , Provide Safety Analysis and Operational Safety Assessment, as described in the RTO Management System manual [B-6], section B Specific information on radioactive and hazardous wastes may be found in the annual reports prepared as a requirement of the current site operating licence for CRL. Relevant requirements for managing and disposing radioactive and hazardous waste at the CRL site are addressed by Process , Manage Wastes, as described in the RTO Management System manual [B-6], section B.8.8. AECL s organizational structure for the operation of the Chalk River Laboratories is documented in the AECL Management Manual [B-8], and in the document Organization to Support CRL Operations [B-9].

12 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response General Nuclear Safety and Control Regulation 3 (l) a description of any proposed financial guarantee relating to the activity to be licensed; and 3 (m) any other information required by the Act or the Regulations made under the Act for the activity to be licensed and the nuclear substance, nuclear facility, prescribed equipment or prescribed information to be encompassed by the licence. 3 (1.1) 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 the designated officer to determine whether the applicant (a) is qualified to carry on the activity to be licensed; or 3 (b) will, in carrying on that activity, make adequate provision for the protection of the environment, the health and safety of persons and the maintenance of national security and measures required to implement international obligations to which Canada has agreed. AECL understands the requirement for an acceptable financial guarantee. AECL is a Schedule III, Part I Crown corporation under the Financial Administration Act. The existence of an appropriate financial guarantee for the Chalk River Laboratories site was previously established [B-3] and [B-4]. Any further required information will be supplied upon request. Any further required information will be supplied upon request. Any further required information will be supplied upon request.

13 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response General Nuclear Safety and Control Regulation 3 (2) Subsection (1) does not apply in respect of an application for a licence to import or export for which the information requirements are prescribed by the Nuclear Non-Proliferation Import and Export Control Regulations, or in respect of an application for a licence to transport while in transit for which the information requirements are prescribed by the Packaging and Transport of Nuclear Substances Regulations. 4 An application for a licence to abandon a nuclear substance, a nuclear facility, prescribed equipment or prescribed information shall contain the following information in addition to the information required by section 3 of the General Nuclear Safety and Control Regulations: 4 (a) the name and location of the land, buildings, structures, components, and equipment that are to be abandoned; Subsection (1) above is applicable with respect to the current licensing application, and information has been provided accordingly. The current licensing application does not relate to the abandonment of any nuclear substances, nuclear facilities, prescribed equipment or prescribed information. This clause is not relevant to the current licensing application. 4 (b) the proposed time and location of the abandonment; This clause is not relevant to the current licensing application. 4 (c) the proposed method of and procedure for This clause is not relevant to the current licensing application. abandonment; and 4 (d) the effects on the environment and the health and safety of persons that may result from the abandonment, and the measures that will be taken to prevent or mitigate those effects. This clause is not relevant to the current licensing application.

14 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response General Nuclear Safety and Control Regulation 5 An application for the renewal of a licence shall contain (a) the information required to be contained in an application for that licence by the applicable Regulations made under the Act; and This attachment constitutes, in part, an application by AECL to renew the CRL site operating licence. See the enclosed subject cover letter [B-1] and application form [B-2]. Other supporting material will be provided, as required, under separate cover. 5 (b) a statement identifying the changes in the information that was previously submitted. Due to the complex and diverse nature of the nuclear operations and associated compliance programs at CRL, a simple statement cannot be made regarding changed information since the previous application for the site operating licence renewal in Furthermore, AECL is fully aware from ongoing interactions with staff from the CNSC s Chalk River Laboratories Compliance and Licensing Division that the proposed regulatory framework under consideration for the duration of the renewed licence is substantially different from that currently in place. Specifically, the format of the proposed licence and conditions will change substantially, and a new Licence Conditions Handbook will be issued to provide guidance on interpretation of the licence conditions.

15 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response General Nuclear Safety and Control Regulation 6 An application for the amendment, revocation or replacement of a licence shall contain the following information: (a) a description of the amendment, revocation or replacement and of the measures that will be taken and the methods and procedures that will be used to implement it; 6 (b) a statement identifying the changes in the information contained in the most recent application for the licence; 6 (c) a description of the nuclear substances, land, areas, buildings, structures, components, equipment and systems that will be affected by the amendment, revocation or replacement and of the manner in which they will be affected; and 6 (d) the proposed starting date and the expected completion date of any modification encompassed by the application. 7 An application for a licence or for the renewal, suspension in whole or in part, amendment, revocation or replacement of a licence may incorporate by reference any information that is included in a valid, expired or revoked licence. This clause is not relevant to the current application for a licence renewal. This clause is not relevant to the current application for a licence renewal. This clause is not relevant to the current application for a licence renewal. This clause is not relevant to the current application for a licence renewal. The clause is understood, and no response is required.

16 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response General Nuclear Safety and Control Regulation 8 (1) For the purpose of section 25 of the Nuclear Safety and Control Act, the Commission may renew a licence on its own motion if failure to renew the licence could pose an unreasonable risk to the environment, the health and safety of persons or national security. 8 (2) For the purpose of section 25 of the Nuclear Safety and Control Act, the Commission may, on its own motion, suspend in whole or in part, amend, revoke or replace a licence under any of the following conditions: (a) the licensee is not qualified to carry on the licensed activity; 8 (b) the licensed activity poses an unreasonable risk to the environment, the health and safety of persons or the maintenance of national security; 8 (c) the licensee has failed to comply with the Act, the Regulations made under the Act or the licence; 8 (d) the licensee has been convicted of an offence under the Act; 8 (e) a record referred to in the licence has been modified in a manner not permitted by the licence; The clause is understood, and no response is required. The clause is understood, and no response is required. The clause is understood, and no response is required. The clause is understood, and no response is required. The clause is understood, and no response is required. The clause is understood, and no response is required.

17 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response General Nuclear Safety and Control Regulation 8 (f) the licensee no longer carries on the licensed activity; 8 (g) the licensee has not paid the licence fee prescribed by the Cost Recovery Fees Regulations; or 8 (h) failure to do so could pose an unreasonable risk to the environment, the health and safety of persons or national security. 15 Every applicant for a licence and every licensee shall notify the Commission of (a) the persons who have authority to act for them in their dealings with the Commission; 15 (b) the names and position titles of the persons who are responsible for the management and control of the licensed activity and the nuclear substance, nuclear facility, prescribed equipment or prescribed information encompassed by the licence; and The clause is understood, and no response is required. The clause is understood, and no response is required. The clause is understood, and no response is required. AECL s organizational structure for the operation of the Chalk River Laboratories is documented in the AECL Management Manual [B-8]; in the document Organization to Support CRL Operations [B-9]; and, in the document Management System Contact and Responsibility List [B-10]. Further relevant information regarding organizational management at the CRL site is provided in the RTO Management System manual [B-6], section 7. Relevant information on the position titles are defined in the RTO Management System manual [B-6], section 7; in the document Organization to Support CRL Operations [B-9]; and, in the document Management System Contact and Responsibility List [B-10].

18 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response General Nuclear Safety and Control Regulation 15 (c) any change in the information referred to in paragraphs (a) and (b), within 15 days after the change occurs. See response to 15 (b) above.

19 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Radiation Protection Regulation 18 An application for a licence to operate a dosimetry service shall contain the following information in addition to the information required by section 3 of the General Nuclear Safety and Control Regulations: (a) a description of the proposed operation of the dosimetry service; This clause is not relevant to the current application for a licence to operate the CRL. 18 (b) the proposed quality assurance program; This clause is not relevant to the current application for a licence to operate the CRL. 18 (c) the types of dosimetry services proposed to be provided, including the types of radiation that will be monitored and their respective energy ranges; 18 (d) the precision, accuracy and reliability of the dosimetry services to be provided; and 18 (e) the proposed qualification requirements and training program for workers. This clause is not relevant to the current application for a licence to operate the CRL. This clause is not relevant to the current application for a licence to operate the CRL. This clause is not relevant to the current application for a licence to operate the CRL.

20 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 3 An application for a licence in respect of a Class I nuclear Class I nuclear facilities located at CRL are as follows: facility, other than a licence to abandon, shall contain the National Research Universal (NRU) Reactor following information in addition to the information Nuclear Fuel Fabrication Facility (Building 429A & B) required by section 3 of the General Nuclear Safety and Control Regulations: Nuclear Fuel Fabrication Facility (Building 405) Recycle Fuel Fabrication Laboratories Heavy-Water Upgrading Plant ZED-2 Reactor (Zero Energy Deuterium) Building 234 Universal Cells Molybdenum-99 Production Facility Tritium Laboratory Waste Treatment Centre and Associated Facilities Fuels and Materials Cells Waste Management Areas Combined Electrolysis and Catalytic Exchange Upgrading and Detritiation (CECEUD) Test Facility Relevant information is provided in the various clauses below.

21 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 3 (a) a description of the site of the activity to be licensed, including the location of any exclusion zone and any structures within that zone; 3 (b) plans showing the location, perimeter, areas, structures, and systems of the nuclear facility; 3 (c) evidence that the applicant is the owner of the site or has authority from the owner of the site to carry on the activity to be licensed; Relevant information regarding site description may be found in the document CRL Site Characteristics [B-11]. Additional relevant material for the Class I nuclear facilities is provided in the facility Safety Analysis Reports. Reference to these documents may be found through the Sites and Facilities Governing Documentation Index document [B-5], section 4.1.1, and the documents referenced therein. Relevant requirements regarding plans for, and systems of, the nuclear facilities on the CRL site are provided in the facility Safety Analysis Reports. Reference to these documents may be found through the Sites and Facilities Governing Documentation Index document [B-5], section 4.1.1, and the documents referenced therein. Evidence of ownership may be found in the property report provided with the letter from J.C. Amrouni to B.D. Howden, CRL Deed, JCA , 2000 May 02 [B-12].

22 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 3 (d) the proposed quality assurance program for the activity to be licensed; 3 (e) the name, form, characteristics and quantity of any hazardous substances that may be on the site while the activity to be licensed is carried on; Consistent with the global trend towards integration of management systems, AECL is moving from separate programs such as Quality Assurance to an Integrated Management System. Hence this requirement is being addressed by the RTO Management System manual [B-6], which is compliant with the Canadian Standards Association N entitled The Management System Requirements for Nuclear Power Plants [B-13]. Where required to satisfy external legislative and customer requirements, lower tiered Quality Assurance Programs and supporting Manuals continue to be maintained. Comprehensive information on name, form, characteristics and quantity of hazardous substances is made available to AECL staff through the Occupational Safety & Health Program s website. Material Safety Data Sheets for all hazardous substances may be accessed in this way. Specific examples may be provided upon request from this large amount of information. The Workplace Hazardous Materials Information System (WHMIS) is a Canada-wide system implemented by all levels of government on 1988 October 31. It is designed to ensure that suppliers provide, and employers receive, relevant information in the form of a LABEL and MATERIAL SAFETY DATA SHEET (MSDS). Such information is needed by employers to inform and train their employees about hazardous materials used in the workplace.

23 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 3 (f) the proposed worker health and safety policies and procedures; 3 (g) the proposed environmental protection policies and procedures; As far as CRL is concerned, the WHMIS triad requirements LABEL, MSDS, and EMPLOYEE EDUCATION PROGRAM are applicable to hazardous substances as defined in the Canada Labour Code, Part 2, which includes all controlled products as defined in the Hazardous Products Act. In other words, the Canada Labour Code covers a very wide range of hazardous materials, which may be chemical, biological, or physical in nature. The policy in place is entitled Employee Safety and Health [B-14]. Relevant requirements regarding worker health and safety are addressed by Process , Ensure Employee Safety and Well-being, as described in the RTO Management System manual [B-6], section B.10.3, and more specific information is provided in the Management System Governing Documentation Index document [B-15], and associated references for Process The policy in place is entitled Environment [B-16]. Relevant requirements regarding environmental protection are addressed by Process , Provide Environmental Protection Program, as described in the RTO Management System manual [B-6], section B.9.1, and more specific information is provided in the Management System Governing Documentation Index document [B-15] and associated references for Process

24 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 3 (h) the proposed effluent and environmental monitoring programs; 3 (i) if the application is in respect of a nuclear facility referred to in paragraph 2(b) of the Nuclear Security Regulations, the information required by section 3 of those Regulations; 3 (j) the proposed program to inform persons living in the vicinity of the site of the general nature and characteristics of the anticipated effects on the environment and the health and safety of persons that may result from the activity to be licensed; and 3 (k) the proposed plan for the decommissioning of the nuclear facility or of the site. 4 An application for a licence to prepare a site for a Class I nuclear facility shall contain the following information in addition to the information required by section 3 of the Class I Nuclear Facilities Regulations: Relevant requirements regarding environmental protection are addressed by Process , Provide Environmental Protection Program, as described in the RTO Management System manual [B-6], section B.9.1, and more specific information is provided in the Management System Governing Documentation Index document [B-15], and associated references for Process This clause is not relevant to the current application for a licence to operate CRL since there is no nuclear power plant encompassed by the application. Relevant requirements regarding informing persons living in the vicinity of the site are addressed by Process , Manage Community Relationships, and Process , Manage External Communications, as described in the RTO Management System manual [B-6], section B.13.1 and B.13.2, respectively. The most recent decommissioning plan is reference [B-17]. A revised Comprehensive Preliminary Decommissioning Plan is currently in final preparation and will shortly be provided to CNSC staff. Any consideration of site preparation for a Class I nuclear facility at CRL will be provided under separate cover and is not relevant to this application.

25 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 4 (a) a description of the site evaluation process and of the investigations and preparatory work that have been and will be done on the site and in the surrounding area; 4 (b) a description of the site s susceptibility to human activity and natural phenomena, including seismic events, tornadoes and floods; 4 (c) the proposed program to determine the environmental baseline characteristics of the site and the surrounding area; 4 (d) the proposed quality assurance program for the design of the nuclear facility; and 4 (e) the effects on the environment and the health and safety of persons that may result from the activity to be licensed, and the measures that will be taken to prevent or mitigate those effects. 5 An application for a licence to construct a Class I nuclear facility shall contain the following information in addition to the information required by section 3 of the Class I Nuclear Facilities Regulations: 5 (a) a description of the proposed design of the nuclear facility, including the manner in which the physical and environmental characteristics of the site are taken into account in the design; See response under introduction to clause 4. See response under introduction to clause 4. See response under introduction to clause 4. See response under introduction to clause 4. See response under introduction to clause 4. Any consideration of the construction of a Class I nuclear facility at CRL will be provided under separate cover and is not relevant to this application. See response under introduction to clause 5.

26 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 5 (b) a description of the environmental baseline characteristics of the site and the surrounding area; 5 (c) the proposed construction program, including its schedule; 5 (d) a description of the structures proposed to be built as part of the nuclear facility, including their design and their design characteristics; 5 (e) a description of the systems and equipment proposed to be installed at the nuclear facility, including their design and their design operating conditions; 5 (f) a preliminary safety analysis report demonstrating the adequacy of the design of the nuclear facility; 5 (g) the proposed quality assurance program for the design of the nuclear facility; 5 (h) the proposed measures to facilitate Canada s compliance with any applicable safeguards agreement; 5 (i) the effects on the environment and the health and safety of persons that may result from the construction, operation and decommissioning of the nuclear facility, and the measures that will be taken to prevent or mitigate those effects; See response under introduction to clause 5. See response under introduction to clause 5. See response under introduction to clause 5. See response under introduction to clause 5. See response under introduction to clause 5. See response under introduction to clause 5. See response under introduction to clause 5. See response under introduction to clause 5.

27 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 5 (j) the proposed location of points of release, the proposed maximum quantities and concentrations, and the anticipated volume and flow rate of releases of nuclear substances and hazardous substances into the environment, including their physical, chemical and radiological characteristics; 5 (k) the proposed measures to control releases of nuclear substances and hazardous substances into the environment; 5 (l) the proposed program and schedule for recruiting, training and qualifying workers in respect of the operation and maintenance of the nuclear facility; and 5 (m) a description of any proposed full-scope training simulator for the nuclear facility. 6 An application for a licence to operate a Class I nuclear facility shall contain the following information in addition to the information required by section 3 of the Class I Nuclear Facilities Regulations: (a) a description of the structures at the nuclear facility, including their design and their design operating conditions; See response under introduction to clause 5. See response under introduction to clause 5. See response under introduction to clause 5. See response under introduction to clause 5. Relevant information on the nuclear facilities structures, their design and design operating conditions may be found in the individual facility Safety Analysis Reports. Reference to these documents may be found through the Sites and Facilities Governing Documentation Index document [B-5], section 4.1.1, and the documents referenced therein.

28 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 6 (b) a description of the systems and equipment at the nuclear facility, including their design and their design operating conditions; 6 (c) a final safety analysis report demonstrating the adequacy of the design of the nuclear facility; 6 (d) the proposed measures, policies, methods, and procedures for operating and maintaining the nuclear facility; Relevant information on the nuclear facilities systems and equipment including their design and design operating conditions may be found in the individual facility Safety Analysis Reports. Reference to these documents may be found through the Sites and Facilities Governing Documentation Index document [B-5], section 4.1.1, and the documents referenced therein. Reference to the final Safety Analysis Reports may be found through the Sites and Facilities Governing Documentation Index document [B-5], section 4.1.1, and the documents referenced therein. Relevant requirements regarding the operation and maintenance of the nuclear facilities on the CRL site are addressed by Process , Operate Facilities and Process , Provide Maintenance, as described in the RTO Management System manual [B-6], sections B.8.2 and B.8.3 respectively. Reference to the various documents is provided through the Sites and Facilities Governing Documentation Index document [B-5], section and the documents referenced therein.

29 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 6 (e) the proposed procedures for handling, storing, loading, and transporting nuclear substances and hazardous substances; 6 (f) the proposed measures to facilitate Canada s compliance with any applicable safeguards agreement; 6 (g) the proposed commissioning program for the systems and equipment that will be used at the nuclear facility; 6 (h) the effects on the environment and the health and safety of persons that may result from the operation and decommissioning of the nuclear facility, and the measures that will be taken to prevent or mitigate those effects; Relevant requirements regarding the handling, storing, loading, and transporting of nuclear substances and hazardous substances are addressed by Process , Manage Nuclear Material and Safeguards and Process , Manage Transportation of Radioactive Materials, as described in the RTO Management System manual [B-6], sections B.8.5 and B.8.6 respectively. Relevant requirements regarding safeguards are addressed by Process , Manage Nuclear Material and Safeguards as described in the RTO Management System manual [B-6], section B.8.5. Commissioning of Class I nuclear facilities sub-systems or systems are administered on a case-by-case basis, in accordance with Process , Manage Commissioning and Testing as described in the RTO Management System manual [B-6], section B.5.3. Any relevant information will be provided under separate cover. The safe operation of the CRL Class I nuclear facilities at CRL is documented in annual safety reports which separately cover the nuclear facilities [B-18] and environmental performance in general [B-19]. Preparation of these reports is a requirement of the current site operating licence. These reports were most recently issued in 2010 April and 2010 June respectively. Relevant requirements regarding environmental protection are addressed by Process , Environmental Protection Program as described in the RTO Management System manual

30 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 6 (i) the proposed location of points of release, the proposed maximum quantities and concentrations, and the anticipated volume and flow rate of releases of nuclear substances and hazardous substances into the environment, including their physical, chemical and radiological characteristics; 6 (j) the proposed measures to control releases of nuclear substances and hazardous substances into the environment; [B-6], section B.9.1. Relevant requirements regarding worker health and safety are addressed by Process , Ensure Employee Safety and Well-being, as described in the RTO Management System manual [B-6], section B Relevant requirements regarding decommissioning are addressed by Process , Decommission Sites and Facilities, as described in the RTO Management System manual [B-6], section B.8.4. Specific information on release points and related information is provided through the Management System Governing Documentation Index [B-15], section 4.3.9, and references therein. Relevant requirements regarding environmental releases of nuclear substances and hazardous substances are addressed by Process , Environmental Protection Program as described in the RTO Management System manual [B-6], section B.9.1. Relevant requirements regarding the control of environmental releases of nuclear substances and hazardous substances are addressed by Process , Environmental Protection Program as described in the RTO Management System manual [B-6], section B.9.1.

31 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 6 (k) the proposed measures to prevent or mitigate the effects of accidental releases of nuclear substances and hazardous substances on the environment, the health and safety of persons and the maintenance of national security, including measures to 6(k) (i) assist off-site authorities in planning and preparing to limit the effects of an accidental release, 6(k) (ii) notify off-site authorities of an accidental release or the imminence of an accidental release, 6(k) (iii) report information to off-site authorities during and after an accidental release, 6(k) (iv) assist off-site authorities in dealing with the effects of an accidental release, and 6(k) (v) test the implementation of the measures to prevent or mitigate the effects of an accidental release; 6 (l) the proposed measures to prevent acts of sabotage or attempted sabotage at the nuclear facility, including measures to alert the licensee to such acts; 6 (m) the proposed responsibilities of and qualification requirements and training program for workers, including the procedures for the requalification of workers; and Relevant requirements regarding accidental releases of nuclear substances and hazardous substances are addressed by Process , Provide Emergency Preparedness as described in the RTO Management System manual [B-6], section B Relevant requirements regarding security are addressed by Process , Provide Physical Security as described in the RTO Management System manual [B-6], section B.8.9. See response under introduction to item (k) above. See response under introduction to item (k) above. See response under introduction to item (k) above. See response under introduction to item (k) above. See response under introduction to item (k) above. Relevant requirements regarding security are addressed by Process , Provide Physical Security as described in the RTO Management System manual [B-6], section B.8.9. Relevant requirements regarding staff training are addressed by Process , Train and Develop Employees as described in the RTO Management System manual [B-6], section B.10.2.

32 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 6 (n) the results that have been achieved in implementing the program for recruiting, training and qualifying workers in respect of the operation and maintenance of the nuclear facility. 7 An application for a licence to decommission a Class I nuclear facility shall contain the following information in addition to the information required by section 3 of the Class I Nuclear Facilities Regulations: 7 (a) a description of and the proposed schedule for the decommissioning, including the proposed starting date and the expected completion date of the decommissioning and the rationale for the schedule; Specific and generic position descriptions exist within each facility to define responsibilities and qualification requirements for operators and other workers. Training plans are established accordingly based on these defined requirements. Relevant information on the results of recruitment and training exists within each facility. The data is reviewed annually in the annual safety report [B-18] for the site which is a requirement of the current site operating licence. This report was most recently issued in 2010 May. The current application to renew the operating licence for CRL is relevant to the consideration of decommissioning Class I nuclear facilities, and it is understood that the proposed licensing documents will include information on the existing permanently shutdown facilities located at CRL. AECL will inform the CNSC under separate cover on a case-by-case basis of the intention to proceed with decommissioning activities with submission of detailed decommissioning plans, and obtain all necessary approvals. Further specific information is provided in items a to k below. This information will be provided on a case-by-case basis as per the introduction to clause 7 above.

33 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 7 (b) the nuclear substances, hazardous substances, land, buildings, structures, systems, and equipment that will be affected by the decommissioning; 7 (c) the proposed measures, methods and procedures for carrying on the decommissioning; 7 (d) the proposed measures to facilitate Canada s compliance with any applicable safeguards agreement; 7 (e) the nature and extent of any radioactive contamination at the nuclear facility; 7 (f) the effects on the environment and the health and safety of persons that may result from the decommissioning, and the measures that will be taken to prevent or mitigate those effects; This information will be provided on a case-by-case basis as per the introduction to clause 7 above. This information will be provided on a case-by-case basis as per the introduction to clause 7 above. Relevant requirements regarding decommissioning are addressed by Process , Decommission Sites and Facilities, as described in the RTO Management System manual [B-6], section B.8.4. This information will be provided on a case-by-case basis as per the introduction to clause 7 above. Relevant requirements regarding safeguards are addressed by Process , Manage Nuclear Materials and Safeguards, as described in the RTO Management System manual [B-6], section B.8.5. This information will be provided on a case-by-case basis as per the introduction to clause 7 above. Relevant requirements regarding radioactive contamination are addressed by Process , Provide Environmental Protection Program, as described in the RTO Management System manual [B-6], section B.9.1. This information will be provided on a case-by-case basis as per the introduction to clause 7 above. Relevant requirements regarding environmental effects are addressed by Process , Provide Environmental

34 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 7 (g) the proposed location of points of release, the proposed maximum quantities and concentrations, and the anticipated volume and flow rate of releases of nuclear substances and hazardous substances into the environment, including their physical, chemical and radiological characteristics; 7 (h) the proposed measures to control releases of nuclear substances and hazardous substances into the environment; 7 (i) the proposed measures to prevent or mitigate the effects of accidental releases of nuclear substances and hazardous substances on the environment, the health and safety of persons and the maintenance of national security, including an emergency response plan; Protection Program, as described in the RTO Management System manual [B-6], section B.9.1. Relevant requirements regarding health and safety are addressed by Process , PEnsure Employee Safety and Well-being, as described in the RTO Management System manual [B-6], section B This information will be provided on a case-by-case basis as per the introduction to clause 7 above. Relevant requirements regarding releases to the environment are addressed by Process , Provide Environmental Protection Program, as described in the RTO Management System manual [B-6], section B.9.1. This information will be provided on a case-by-case basis as per the introduction to clause 7 above. Relevant requirements regarding control of releases are addressed by Process , Provide Environmental Protection Program, as described in the RTO Management System manual [B-6], section B.9.1. This information will be provided on a case-by-case basis as per the introduction to clause 7 above. Relevant requirements regarding accidental releases are addressed by Process , Provide Environmental Protection Program, as described in the RTO Management System manual [B-6], section B.9.1. Relevant requirements regarding health and safety are

35 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 7 (j) the proposed qualification requirements and training program for workers; and 7 (k) a description of the planned state of the site on completion of the decommissioning. addressed by Process , Ensure Employee Safety and Well-being, as described in the RTO Management System manual [B-6], section B Relevant requirements regarding maintenance of security are addressed by Process , Provide Physical Security, as described in the RTO Management System manual [B-6], section B.8.9. Relevant requirements regarding the provision of an emergency response plan are addressed by Process , Provide Emergency Preparedness, as described in the RTO Management System manual [B-6], section B This information will be provided on a case-by-case basis as per the introduction to clause 7 above. Relevant requirements regarding qualification requirements and training are addressed by Process , Train and Develop Employees, as described in the RTO Management System manual [B-6], section B This information will be provided on a case-by-case basis as per the introduction to clause 7 above. Relevant requirements regarding decommissioning end-state are addressed by Process , Decommission Sites and Facilities, as described in the RTO Management System manual [B-6], section B.8.4.

36 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class I Nuclear Facilities Regulation 8 An application for a licence to abandon a Class I nuclear facility shall contain the following information in addition to the information required by sections 3 and 4 of the General Nuclear Safety and Control Regulations: This clause is not relevant to the current application for a licence to operate CRL. 8 (a) the results of the decommissioning; and See response above under introduction to clause 8. 8 (b) the results of the environmental monitoring programs. See response above under introduction to clause 8.

37 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 3 An application for a licence to construct a Class II nuclear facility shall contain the following information in addition to the information required by section 3 of the General Nuclear Safety and Control Regulations: There are currently no plans for the construction of Class II nuclear facilities at CRL. Any change to this situation during the proposed term of a renewed site operating licence would be covered on a case-by-case basis, with information provided, as required. 3 (a) the proposed name and location of the nuclear facility; See response above under introduction to clause 3. 3 (b) evidence that the applicant is the owner of the See response above under introduction to clause 3. proposed site or has authority from the owner of the site to construct the nuclear facility; 3 (c) a description of the Class II prescribed equipment that See response above under introduction to clause 3. is proposed to be used, including its design operating conditions; 3 (d) the proposed measures to control access within the See response above under introduction to clause 3. nuclear facility and any other safety-related features, including the schematics of the devices involved and their wiring; 3 (e) the proposed plans, elevations and drawings of the See response above under introduction to clause 3. nuclear facility, showing its layout, location, the location of its components and the location of adjacent areas that may be occupied by persons; 3 (f) the proposed purpose of the adjacent areas, including a description of their uses and the estimated levels of occupancy; See response above under introduction to clause 3.

38 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 3 (g) the proposed location, type, composition, thickness, and density of shielding material, including the method that will be used to verify the composition and density and the calculations that will be used to determine the adequacy of the shielding; 3 (h) the proposed location and dimensions of voids in the shielding, including access ways and service ducts; 3 (i) a description of the proposed ventilation system, including the ventilation flow rate, air circulation and location of intake and discharge points in respect of any irradiator or particle accelerator; 3 (j) the proposed quality assurance program for the design and construction of the nuclear facility; 3 (k) the type and energy of radiation produced by any particle accelerator to be encompassed by the licence; 3 (l) the anticipated maximum dose of radiation that may be received by any person as a result of the commissioning of and during the operation of the nuclear facility; 3 (m) the direction of the direct beam of any teletherapy machine to be encompassed by the licence and a description of the physical means that may be used to limit the direction of that beam; See response above under introduction to clause 3. See response above under introduction to clause 3. See response above under introduction to clause 3. See response above under introduction to clause 3. See response above under introduction to clause 3. See response above under introduction to clause 3. See response above under introduction to clause 3.

39 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 3 (n) the expected and maximum radiological workloads during the commissioning and operation of the nuclear facility, per week in grays at 1 m, for any teletherapy machine to be encompassed by the licence; 3 (o) the anticipated number of hours per week that the Class II prescribed equipment in the nuclear facility will be operated for the purpose of treatment, dosimetry, servicing or research; 3 (p) the effects on the environment and the health and safety of persons that may result from the activity to be licensed 3 (q) the proposed responsibilities of and qualification requirements and training program for workers during the operation of the nuclear facility; 3 (r) the program to inform persons living in the vicinity of the site of the general nature and characteristics of the anticipated effects on the environment and the health and safety of persons that may result from the nuclear facility; and 3 (s) the proposed plan for the decommissioning of the nuclear facility See response above under introduction to clause 3. See response above under introduction to clause 3. See response above under introduction to clause 3. See response above under introduction to clause 3. See response above under introduction to clause 3. See response above under introduction to clause 3.

40 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 4 An application for a licence to operate a Class II nuclear facility shall contain the following information in addition to the information required by section 3 of the General Nuclear Safety and Control Regulations: (a) the name and location of the nuclear facility; Class II nuclear facilities located at CRL are as follows: Health Physics Neutron Generator GC60 Gamma Irradiator Gamma Beam 150C Gamma Irradiator Relevant material on locations of the Class II nuclear facilities is provided in the facility Safety Analysis Reports. Reference to these documents may be found through the Sites and Facilities Governing Documentation Index document [B-5], section 4.1.2, and the documents referenced therein. 4 (b) the proposed commissioning plan; Any required information or plans describing commissioning of new Class II equipment or sources will be provided to the CNSC by AECL, under separate cover, on a case-by-case basis. 4 (c) a description of the results of any commissioning work; The commissioning of any upgrades are documented in the facility Safety Analysis Reports. Reference to these documents may be found through the Sites and Facilities Governing Documentation Index document [B-5], section 4.1.2, and the documents referenced therein.

41 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 4 (d) evidence that the applicant is the owner of the site or has authority from the owner of the site to operate the nuclear facility; 4 (e) a description of the components, systems and equipment proposed to be used, including their design operating conditions; 4 (f) the proposed measures, policies, methods, and procedures for operating and maintaining the nuclear facility; 4 (g) a description of the proposed procedures for handling, storing, loading, and transporting nuclear substances and hazardous substances; Evidence of ownership may be found in the property report provided with the letter from J.C. Amrouni to B.D. Howden, CRL Deed, JCA , 2000 May 02 [B-12]. Relevant material for the Class II nuclear facilities is provided in the facility Safety Analysis Reports. Reference to these documents may be found through the Sites and Facilities Governing Documentation Index document [B-5], section 4.1.2, and the documents referenced therein. Relevant material on locations of the Class II nuclear facilities is provided in the facility Safety Analysis Reports. Reference to these documents may be found through the Sites and Facilities Governing Documentation Index document [B-5], section 4.1.2, and the documents referenced therein. Relevant material for nuclear substances and hazardous substances for the Class II nuclear facilities is provided in the facility Safety Analysis Reports. Reference to these documents may be found through the Sites and Facilities Governing Documentation Index document [B-5], section 4.1.2, and the documents referenced therein.

42 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 4 (h) the proposed quality assurance program; Consistent with the global trend towards integration of management systems, AECL is moving from separate programs such as Quality Assurance to an Integrated Management System. Hence this requirement is being addressed by the RTO Management System manual [B-6], which is compliant with the Canadian Standards Association N entitled The Management System Requirements for Nuclear Power Plants [B-13]. Where required to satisfy external legislative and customer requirements, lower tiered Quality Assurance Programs and supporting Manuals continue to be maintained. 4 (i) the type and energy of radiation produced by any particle accelerator to be encompassed by the licence; 4 (j) the proposed measures to ensure that the type of beam producible by, and the maximum output energy, limits to the beam orientation and maximum radiation dose rate of, the Class II prescribed equipment cannot be inadvertently altered; Relevant material for the Class II nuclear facilities is provided in the facility Safety Analysis Reports. Reference to these documents may be found through the Sites and Facilities Governing Documentation Index document [B-5], section 4.1.2, and the documents referenced therein. Relevant material for the Class II nuclear facilities is provided in the facility Safety Analysis Reports. Reference to these documents may be found through the Sites and Facilities Governing Documentation Index document [B-5], section 4.1.2, and the documents referenced therein.

43 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 4 (k) the proposed method for measuring the effectiveness of the shielding of the nuclear facility and any results of those measurements; 4 (l) a description of the proposed portable radiation detection equipment, including its type, sensitivity, range, and accuracy and the methods and procedures for calibrating it; 4 (m) the proposed methods, procedures and equipment for conducting the leak tests required by these Regulations; 4 (n) a description of any proposed area radiation monitoring system; Relevant procedures for determining effectiveness of shielding for the Class II nuclear facilities is provided by Process , Provide Radiation Protection, as described in the RTO Management System manual [B-6], section B Further information on Process is presented in the Management System Governing Documentation Index [B-15], and documents referenced therein. Relevant material for the Class II nuclear facilities is provided in the facility Safety Analysis Reports. Reference to these documents may be found through the Sites and Facilities Governing Documentation Index document [B-5], section 4.1.2, and the documents referenced therein. Annual leak testing and swipes for the GB 150C and GC-60 irradiators and all sealed sources in the HPNG, GB 150C and GC-60 facilities are performed according to Leak Testing of Sealed Sources, [B-20]. Relevant material for the Class II nuclear facilities is provided in the facility Safety Analysis Reports. Reference to these documents may be found through the Sites and Facilities Governing Documentation Index document [B-5], section 4.1.2, and the documents referenced therein.

44 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 4 (o) the anticipated maximum dose of radiation that may be received by any person as a result of the commissioning of the nuclear facility; 4 (p) the expected and maximum radiological workloads, per week in grays at 1 m, for any teletherapy machine to be encompassed by the licence; 4 (q) the anticipated number of hours per week that the Class II prescribed equipment in the nuclear facility will be operated for the purpose of treatment, dosimetry, servicing or research; 4 (r) the proposed methods, procedures and equipment for conducting radiation surveys, including the frequency of the surveys and the location of radiation survey points; This clause is not relevant to the current application. This clause is not relevant since there are no teletherapy machines at CRL. The average weekly operation of the HPNG facility is not anticipated to exceed 25 h. The average weekly operation of the GC-60 facility is not anticipated to exceed 25 h. Weekly operation of the Gamma Beam 150C ranges from 0 h to as much as 5 d continuous irradiation (120 h with occasional staff monitoring); however, routine operations are not expected to exceed an average of 25 h per week. Relevant procedures for radiation surveys within the Class II nuclear facilities is provided by Process , Provide Radiation Protection, as described in the RTO Management System manual [B-6], section B Further information on Process is presented in the Management System Governing Documentation Index [B-15], and documents referenced therein.

45 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 4 (s) the proposed responsibilities of and qualification requirements and training program for workers; and 4 (t) the proposed plan for the decommissioning of the nuclear facility. 5 An application for a licence to decommission a Class II nuclear facility shall contain the following information in addition to the information required by section 3 of the General Nuclear Safety and Control Regulations: Relevant requirements regarding staff training are addressed by Process , Train and Develop Employees as described in the RTO Management System manual [B-6], section B Specific and generic position descriptions exist within each facility to define responsibilities and qualification requirements for operators and other workers. Training plans are established accordingly based on these defined requirements. There are currently no permanently shutdown Class II nuclear facilities at CRL and therefore no current plans for imminent decommissioning work. AECL will inform the CNSC under separate cover on a case-by-case basis of the intention to proceed with permanently shutting down any of the Class II nuclear facilities. The most recent decommissioning plan is reference [B-17]. A revised Comprehensive Preliminary Decommissioning Plan.is currently in final preparation and will shortly be provided to CNSC staff. This clause is not relevant to the current application for an operating licence.

46 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 5 (a) the name and location of the nuclear facility; See response above under introduction to clause 5. 5 (b) the proposed nature of and schedule for the decommissioning 5 (c) the land, buildings, structures, components, systems, equipment, nuclear substances, and hazardous substances that will be affected by the decommissioning; 5 (d) the nature, quantity and activity of any radioactive nuclear substances at the nuclear facility; 5 (e) the nature and extent of any radioactive contamination at the nuclear facility, including radiation dose rates; 5 (f) the proposed measures to control releases of radioactive nuclear substances and hazardous substances into the environment; 5 (g) the anticipated maximum dose of radiation that may be received by any person as a result of the decommissioning; 5 (h) the maximum quantities and concentrations of nuclear substances and hazardous substances that may be released into the environment; 5 (i) the effects on the environment and the health and safety of persons that may result from the decommissioning, and the measures that will be taken to prevent or mitigate those effects; See response above under introduction to clause 5. See response above under introduction to clause 5. See response above under introduction to clause 5. See response above under introduction to clause 5. See response above under introduction to clause 5. See response above under introduction to clause 5. See response above under introduction to clause 5. See response above under introduction to clause 5.

47 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 5 (j) the proposed responsibilities of and qualification requirements for workers; and 5 (k) a description of the planned state of the site upon completion of the decommissioning. 6 An application for a licence in respect of Class II prescribed equipment, other than a licence to service, shall contain a copy of or the number of any certificate relating to the equipment in addition to the information required by section 3 and, where applicable, section 4 of the General Nuclear Safety and Control Regulations. See response above under introduction to clause 5. See response above under introduction to clause 5. The Health Physics Neutron Generator is Class II prescribed equipment. This equipment is a prototype that was commissioned in 1961 and moved to its present location in There is no related certification. The manufacture, installation and commissioning of this equipment pre-dates requirements for certification documentation maintenance. The Hopewell Designs GC-60 Series Gamma Beam Irradiator is Class II prescribed equipment, Certificate Number C , issued 2006 February 24 (expiry 2021 January 31). The Gammabeam 150C is Class II prescribed equipment, Certificate Number 1-C002.A/2011, issued 2001 December 18 (expiry 2011 December 17).

48 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 7 An application for a licence to service Class II prescribed equipment shall contain the following information in addition to the information required by section 3 of the General Nuclear Safety and Control Regulations: (a) the name, model number and characteristics of the equipment or the number of the certificate relating to the equipment; Servicing of the Class II prescribed equipment at CRL is incorporated into the facility operational practices and procedures under the operating licence for the site. The Health Physics Neutron Generator is a Model 9400 Neutron Generator manufactured in the previous century by Texas Nuclear Corporation. Texas Nuclear Corporation is no longer in business. There is no related certification. The manufacture, installation and commissioning of this equipment pre-dates requirements for certification documentation maintenance. The GC-60 gamma irradiator (Model SC2323G, S/N ) was manufactured by Hopewell Designs, Inc., and was certified by the CNSC on 2006 February 24 (Certificate Number C ). The Gammabeam 150C gamma irradiator is a dry storage panoramic irradiator manufactured by Nordion, Kanata, ON, and was certified by the CNSC on 2001 December 18 (Certificate Number 1-C002.A/2001).

49 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 7 (b) a description of the nature of the servicing proposed to be carried on 7 (c) the proposed methods, procedures and equipment for carrying on the servicing; Servicing and maintenance of the Health Physics Neutron Generator relates to the following six subsystems: High Voltage Source, Ion Source, Accelerating System, Target System, Vacuum System, and Remote Control Console. Repair and maintenance of these subsystems, and of the Safety Interlocks controlling access to the irradiation hall, is carried out as required by facility personnel or CRL maintenance personnel. Repair and maintenance of the Gammabeam 150C, and of the Safety Interlocks controlling access to the irradiation hall, is carried out as required by CRL maintenance personnel. Repair and maintenance of the GC-60 irradiator is carried out by the manufacturer (Hopewell Design, Inc.), under a service contract. Repairs to the Safety Interlocks controlling access to the irradiation hall are carried out as required by CRL maintenance personnel. The servicing of the Health Physics Neutron Generator can be accomplished using standard electrical and vacuum test equipment, and hand tools. Troubleshooting and maintenance procedures are provided in the accelerator instruction manual (Instruction Manual, Model 9400 Neutron Generator Series, Texas Nuclear Corp., Austin, Texas). The servicing of the Gammabeam 150C can be accomplished using standard electrical and mechanical test equipment, and hand tools. Troubleshooting and maintenance procedures are provided in the Biological Research Facility procedure [B-21].

50 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 7 (d) the proposed qualification requirements and training program for workers; and 7 (e) the proposed procedures to be followed after completion of the servicing to confirm that the equipment is safe to use. Maintenance and servicing of the GC-60 can be accomplished using standard electrical and mechanical test equipment, and hand tools. This work is performed by the manufacturer (Hopewell Design, Inc.) under a service contract. Relevant requirements regarding staff training are addressed by Process , Train and Develop Employees as described in the RTO Management System manual [B-6], section B Specific and generic position descriptions exist within each facility to define responsibilities and qualification requirements for operators and other workers. Training plans are established accordingly based on these defined requirements. Relevant material for the Class II nuclear facilities is provided in the facility Safety Analysis Reports. Reference to these documents may be found through the Sites and Facilities Governing Documentation Index document [B-5], section 4.1.2, and the documents referenced therein.

51 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 10 No person shall use Class II prescribed equipment unless (a) it is a certified model; or The Health Physics Neutron Generator is a Model 9400 Neutron Generator manufactured in the previous century by Texas Nuclear Corporation. Texas Nuclear Corporation is no longer in business. There is no related certification. The manufacture, installation and commissioning of this equipment pre-dates requirements for certification documentation maintenance. The GC-60 gamma irradiator (Model SC2323G, S/N ) was manufactured by Hopewell Designs, Inc., and was certified by the CNSC on 2006 February 24 (Certificate Number C ). The Gammabeam 150C gamma irradiator is a dry storage panoramic irradiator manufactured by Nordion, Kanata. ON, and was certified by the CNSC on 2001 December 18 (Certificate Number 1-C002.A/2001). 10 (b) it is used in accordance with a licence that authorizes its use for development purposes or for scientific research that is not conducted on humans. 11 (1) The Commission or a designated officer authorized under paragraph 37(2)(a) of the Nuclear Safety and Control Act may certify a model of Class II prescribed equipment after receiving an application that includes the following information: AECL understands the clause and does not conduct research on humans. This clause is not relevant to the current application for an operating licence.

52 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 11 (a) the applicant s name and business address; See response above under introduction to clause (b) the name and business address of the manufacturer of the equipment; 11 (c) the brand name and model number of the equipment; 11 (d) the design of the equipment and its components, including any standards used in the design; See response above under introduction to clause 11. See response above under introduction to clause 11. See response above under introduction to clause (e) the intended use of the equipment; See response above under introduction to clause (f) the name, quantity in becquerels and form of the See response above under introduction to clause 11. nuclear substance to be incorporated into the equipment; 11 (g) the method of incorporating the nuclear substance See response above under introduction to clause 11. into the equipment; 11 (h) the expected radiation dose rates around the See response above under introduction to clause 11. equipment in all modes of operation, including the method, calculations and measurements used to establish them; 11 (i) the maximum radiation dose rate that the See response above under introduction to clause 11. equipment can deliver; 11 (j) instructions for the use, transportation and storage of the equipment; See response above under introduction to clause 11.

53 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 11 (k) instructions for conducting leak tests on the equipment; 11 (l) instructions for dealing with accidents involving the equipment; See response above under introduction to clause 11. See response above under introduction to clause (m) a description of the labelling of the equipment; See response above under introduction to clause (n) the quality assurance program that was followed See response above under introduction to clause 11. during the design of the equipment and that will be followed during the production of the equipment; 11 (o) the type of package for and the procedures for See response above under introduction to clause 11. packaging and transporting any equipment that may contain a nuclear substance, including the emergency response plan to be followed in case of a transportation accident involving the equipment; 11 (p) the recommended inspection and servicing See response above under introduction to clause 11. program for the equipment; 11 (q) the type of beam producible by, and the maximum See response above under introduction to clause 11. output energy and limits to the beam orientation of, any particle accelerator or radioactive source teletherapy machine; 11 (r) the estimated maximum photon and neutron leakage during the use of any teletherapy machine; and See response above under introduction to clause 11.

54 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Class II Nuclear Facilities Regulations 11 (s) the half-lives of activated components of any particle accelerator and the radiation dose rate at 30 cm from those components. See response above under introduction to clause (2) The Commission or the designated officer may request any other information that is necessary to enable the Commission or the designated officer to determine whether the equipment model in question poses an unreasonable risk to the environment, the health and safety of persons or national security and whether certification of the equipment model would be in conformity with measures of control and international obligations to which Canada has agreed. Further information will be provided at the request of the Commission.

55 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Substance and Radiation Devices Regulation 3 (1) An application for a licence in respect of a nuclear substance or a radiation device, other than a licence to service a radiation device, shall contain the following information in addition to the information required by section 3 of the General Nuclear Safety and Control Regulations: 3 (a) the methods, procedures and equipment that will be used to carry on the activity to be licensed; Requirements at CRL regarding nuclear substances and radiation devices are addressed accordingly, as per the information provided under items a to o below. Relevant requirements regarding methods, procedures and equipment are addressed by various processes at CRL, principally as identified below: Process , Manage Nuclear Materials and Safeguards, as described in the RTO Management System manual [B-6], section B.8.5. Process , Provide Radiation Protection, as described in the RTO Management System manual [B-6], section B Process , Provide Environmental Protection Program, as described in the RTO Management System manual [B-6], section B.9.1. Process , Manage Transportation of Radioactive Materials, as described in the RTO Management System manual [B-6], section B.8.6.

56 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Substance and Radiation Devices Regulation 3 (b) the methods, procedures and equipment that will be used while carrying on the activity to be licensed, or during and following an accident, to 3(b) (i) monitor the release of any radioactive nuclear substance from the site of the activity to be licensed, 3(b) (ii) detect the presence of and record the radiation dose rate and quantity in becquerels of radioactive nuclear substances at the site of the activity to be licensed, 3(b) (iii) limit the spread of radioactive contamination within and from the site of the activity to be licensed, and 3(b) (iv) decontaminate any person, site or equipment contaminated as a result of the activity to be licensed; 3 (c) a description of the circumstances in which the decontamination referred to in subparagraph (b)(iv) of the Nuclear Substances and Radiation Devices Regulations will be carried out; 3 (d) the proposed location of the activity to be licensed, including a description of the site; Relevant requirements regarding methods, procedures and equipment are those referred to above under (a) and also: Process , Provide Emergency Preparedness, as described in the RTO Management System manual [B-6], section B See response above under (b). See response above under (b). See response above under (b). See response above under (b). Relevant requirements regarding circumstances for decontamination are addressed by Process , Provide Radiation Protection, as described in the RTO Management System manual [B-6], section B A general description of the CRL site is presented in the document CRL Site Characteristics [B-11].

57 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Substance and Radiation Devices Regulation 3 (e) the roles, responsibilities, duties, qualifications, and experience of workers; Relevant requirements regarding staff training are addressed by Process , Train and Develop Employees as described in the RTO Management System manual [B-6], section B Specific and generic position descriptions exist within each laboratory to define responsibilities and qualification requirements for operators and other workers. Training plans are established accordingly based on these defined requirements. 3 (f) the proposed training program for workers; Relevant requirements regarding staff training are addressed by Process , Train and Develop Employees as described in the RTO Management System manual [B-6], section B Specific and generic position descriptions exist within each laboratory to define responsibilities and qualification requirements for operators and other workers. Training plans are established accordingly based on these defined requirements.

58 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Substance and Radiation Devices Regulation 3 (g) the proposed instructions for dealing with accidents, including fires and spills, in which the nuclear substance may be involved; 3 (h) the proposed inspection program for the equipment and systems that will be used to carry on the activity to be licensed; Relevant requirements regarding accidents involving nuclear substances are addressed by various processes at CRL, principally as identified below: Process , Manage Nuclear Materials and Safeguards, as described in the RTO Management System manual [B-6], section B.8.5. Process , Provide Radiation Protection, as described in the RTO Management System manual [B-6], section B Process , Provide Environmental Protection Program, as described in the RTO Management System manual [B-6], section B.9.1. Process , Manage Transportation of Radioactive Materials, as described in the RTO Management System manual [B-6], section B.8.6. Process , Provide Emergency Preparedness, as described in the RTO Management System manual [B-6], section B Relevant requirements regarding inspection of the equipment and systems at the CRL site are addressed by Process , Provide Radiation Protection, as defined in the RTO Management System manual [B-6], section B.8.12.

59 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Substance and Radiation Devices Regulation 3 (i) the methods, procedures and equipment that will be used to calibrate radiation survey meters in accordance with these Regulations; 3 (j) the methods, procedures and equipment that will be used to calibrate and verify the calibration of dosimeters referred to in paragraphs 30(3)(d) and (e) of the Nuclear Substances and Radiation Devices Regulations; 3 (k) the methods, procedures and equipment that will be used to conduct the leak tests and surveys required by these Regulations; 3 (l) where the application is in respect of a nuclear substance that is an unsealed source and that is to be used in a room, the proposed design of the room; Relevant requirements regarding calibration of radiation survey meters at the CRL site are addressed by Process , Provide Radiation Protection, as defined in the RTO Management System manual [B-6], section B Relevant requirements regarding calibration of dosimeters at the CRL site are addressed by Process , Provide Radiation Protection, as defined in the RTO Management System manual [B-6], section B Relevant requirements regarding leak testing and surveys at the CRL site are addressed by Process , Provide Radiation Protection, as defined in the RTO Management System manual [B-6], section B Existing rooms that handle unsealed sources are designed in accordance with the requirements of the Radiation Protection program (Process ). Relevant requirements regarding laboratory design at the CRL site are addressed by Process , Provide Radiation Protection, as defined in the RTO Management System manual [B-6], section B.8.12.

60 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Substance and Radiation Devices Regulation 3 (m) if the application is in respect of a nuclear substance that is contained in a radiation device, the brand name and model number of the radiation device, and the quantity of the devices; 3 (n) where the application is in respect of Category I, II or III nuclear material, as defined in section 1 of the Nuclear Security Regulations, 3(n) (i) the measures that will be taken to prevent nuclear criticality, and 3(n) (ii) the information required by section 3 or 4 of the Nuclear Security Regulations, as applicable; Relevant requirements regarding nuclear substances and radiation devices at the CRL site are maintained in a database of sealed sources and radiation devices which is addressed by Process , Provide Radiation Protection, as defined in the RTO Management System manual [B-6], section B This database is permanently available to all radiation protection staff at the CRL site. Relevant requirements regarding nuclear criticality at the CRL site is addressed by Process , Provide Nuclear Criticality Safety Control, as defined in the RTO Management System manual [B-6], section B.8.7. See further below under section 3 and 4 of Nuclear Security Regulations

61 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Substance and Radiation Devices Regulation 3 (o) if the applicant will be manufacturing or distributing radiation devices referred to in paragraph 5(1)(c) of the Nuclear Substances and Radiation Devices Regulations or section 6 or 7 of the Nuclear Substances and Radiation Devices Regulations, or check sources mentioned in section 8.1 of the Nuclear Substances and Radiation Devices Regulations, the proposed procedure for the disposal of each radiation device or check source or for its return to the manufacturer. 4 An application for a licence to service a radiation device shall contain the following information in addition to the information required by section 3 of the General Nuclear Safety and Control Regulations: 4 (a) the brand name and model number of the device or the number of the certificate relating to the device; 4 (b) a description of the nature of the servicing proposed to be carried on; 4 (c) the proposed methods, procedures and equipment for carrying on the servicing; 4 (d) the proposed qualification requirements and training program for workers; and This clause is not relevant to the use of nuclear substances and radiation devices at CRL. This section is not relevant to the current licensing application to renew the CRL operating licence. Any servicing of radiation devices is conducted under contract by external suppliers.. See response above under introduction to clause 4. See response above under introduction to clause 4. See response above under introduction to clause 4. See response above under introduction to clause 4.

62 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Substance and Radiation Devices Regulation 4 (e) the proposed procedures to be followed after completion of the servicing to confirm that the device is safe to use. 11 (1) No person shall use a radiation device unless (a) it is a certified model; or 11(1) (b) it is used in accordance with a licence that authorizes its use for development purposes. 11 (2) No person shall transfer a radiation device for use within Canada unless it is a certified model. 12 (1) The Commission or a designated officer authorized under paragraph 37(2)(a) of the Nuclear Safety and Control Act may certify a model of a radiation device after receiving an application that includes the following information: See response above under introduction to clause 4. Relevant requirements regarding radiation devices at the CRL site are maintained in a database which is addressed by Process , Provide Radiation Protection, as defined in the RTO Management System manual [B-6], section B Relevant requirements regarding radiation devices at the CRL site are maintained in a database which is addressed by Process , Provide Radiation Protection, as defined in the RTO Management System manual [B-6], section B AECL understands the clause and no response is required. AECL understands the clause and application will be made on a case-by-case basis. 12(1) (a) the applicant s name and business address; See form Application for Licensing [B-2]. 12(1) (b) the name and business address of the manufacturer of the device; AECL understands the clause and application will be made on a case-by-case basis. 12(1) (c) the brand name and model number of the device; AECL understands the clause and application will be made on a case-by-case basis.

63 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Substance and Radiation Devices Regulation 12(1) (d) the design of the device and its components, including any standards used in the design; AECL understands the clause and application will be made on a case-by-case basis. 12(1) (e) the intended use of the device; AECL understands the clause and application will be made on a case-by-case basis. 12(1) (f) the name, quantity in becquerels and form of the nuclear substance to be incorporated into the device; 12(1) (g) the method of incorporating the nuclear substance into the device; 12(1) (h) the expected radiation dose rates around the device in all modes of operation, including the method, calculations and measurements used to establish them; 12(1) (i) instructions for the use, transportation and storage of the device; 12(1) (j) instructions for conducting leak tests on the device; 12(1) (k) instructions for dealing with accidents, including fires and spills, in which the device may be involved; AECL understands the clause and application will be made on a case-by-case basis. AECL understands the clause and application will be made on a case-by-case basis. AECL understands the clause and application will be made on a case-by-case basis. AECL understands the clause and application will be made on a case-by-case basis. AECL understands the clause and application will be made on a case-by-case basis. AECL understands the clause and application will be made on a case-by-case basis.

64 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Substance and Radiation Devices Regulation 12(1) (l) a description of the labelling of the device; AECL understands the clause and application will be made on a case-by-case basis. 12(1) (m) the quality assurance program that was followed during the design of the device and that will be followed during production of the device; and 12(1) (n) the recommended inspection and servicing program for the device. AECL understands the clause and application will be made on a case-by-case basis. AECL understands the clause and application will be made on a case-by-case basis.

65 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Packaging and Transport of Nuclear Substances Regulations 3 An application for a licence to transport Category I, II or III nuclear material, as defined in section 1 of the Nuclear Security Regulations, other than a licence to transport while in transit or a licence to transport under special arrangement, shall contain, in addition to the information required by section 3 of the General Nuclear Safety and Control Regulations, the information required by section 5 of the Nuclear Security Regulations. 4 An application for a licence to transport a nuclear substance while in transit shall contain the following information: 4 (a) the name, address and telephone number of the consignor; 4 (b) a description of the nuclear substance, including the name, the chemical and physical form, the activity or in the case of fissile material, the mass of each nuclear substance in a package and the total quantity of the activity or mass in the consignment; This clause is not relevant to the current application for CRL site operating licence renewal. This clause is not relevant to the current application for CRL site operating licence renewal. See response above under introduction to clause 4. See response above under introduction to clause 4. 4 (c) the country of origin of the nuclear substance; See response above under introduction to clause 4. 4 (d) the name and address of each consignee; See response above under introduction to clause 4. 4 (e) the reason for selecting a route through Canada; See response above under introduction to clause 4. 4 (f) the name of every carrier; See response above under introduction to clause 4. 4 (g) the route and schedule; See response above under introduction to clause 4.

66 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Packaging and Transport of Nuclear Substances Regulations 4 (h) the dates, times and locations of arrival into and departure from Canada 4 (i) the date, time and location of any scheduled stop or transhipment in Canada; See response above under introduction to clause 4. See response above under introduction to clause 4. 4 (j) where the nuclear substance is required to be See response above under introduction to clause 4. transported in a package of a certified design or in a package that has been approved as Type B(U)-96, Type C-96 or H(U)-96 by a foreign competent authority in accordance with the applicable process specified in the IAEA Regulations, the number of the certificate or approval applicable to the package; 4 (k) the number of packages that are to be transported; See response above under introduction to clause 4. 4 (l) the types of conveyance to be used during transit; See response above under introduction to clause 4. 4 (m) where a vessel is to be used as a conveyance during See response above under introduction to clause 4. transit, the name of the vessel and its flag state: 4 (m.1) for a special use vessel to be used as a See response above under introduction to clause 4. conveyance during transit, a document issued by the competent authority of the vessel s flag state approving a radiation protection programme; 4 (n) where the nuclear substance is to be transported by sea, the International Maritime Dangerous Goods Code transport schedule number for the nuclear substance; See response above under introduction to clause 4.

67 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Packaging and Transport of Nuclear Substances Regulations 4 (o) the United Nations number for the nuclear substance; See response above under introduction to clause 4. 4 (p) the identification number of the emergency response See response above under introduction to clause 4. assistance plan approved under section 7 of the Transportation of Dangerous Goods Act, 1992 or a reference to the effect that such a plan is not required by that Act, as the case may be; and 4 (q) where the nuclear substance is Category I, II or III nuclear material, as defined in section 1 of the Nuclear Security Regulations, the information required by section 5 of those Regulations. See response above under introduction to clause 4. 5 An application for a licence to package or transport a nuclear substance under special arrangement shall contain, in addition to the information required by section 3 of the General Nuclear Safety and Control Regulations, 5 (a) the information specified in paragraph 825 of the IAEA Regulations; and 5 (b) where the nuclear substance is Category I, II or III nuclear material, as defined in section 1 of the Nuclear Security Regulations, the information required by section 5 of those Regulations. This clause is not relevant to the current application for CRL site operating licence renewal. See response above under introduction to clause 5. See response above under introduction to clause 5.

68 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Packaging and Transport of Nuclear Substances Regulations 7 (1) The Commission or a designated officer authorized under paragraph 37(2)(a) of the Nuclear Safety and Control Act may certify a package design, a design for special form radioactive material or a design for low dispersible radioactive material after receiving an application that includes the following information: 7(1) (a) the information referred to in paragraphs 803, 805(b), 807, 810, and 813 of the IAEA Regulations, as applicable; 7(1) (b) the number of any approval issued by a foreign competent authority in accordance with the applicable process specified in the IAEA Regulations; This clause is not relevant to the current application for CRL site operating licence renewal. See response above under introduction to clause 7. See response above under introduction to clause 7. 7(1) (c) Repealed, SOR/ , s. 9 See response above under introduction to clause 7. 7(1) (d) in respect of a package design, See response above under introduction to clause 7. 7(1)(d) (i) the recommended inspection and servicing See response above under introduction to clause 7. program, and 7(1)(d) (ii) instructions for packaging, transport, See response above under introduction to clause 7. receiving, maintenance, and unpackaging; and 7(1) (e) at the request of the Commission, any other information that is necessary to enable the Commission to determine if the application for certification meets the requirements of these Regulations. See response above under introduction to clause 7.

69 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Packaging and Transport of Nuclear Substances Regulations 7 (2) An applicant shall give the Commission a reasonable opportunity to observe any test that the applicant conducts to demonstrate compliance of a package design, a design for special form radioactive material or a design for low dispersible radioactive material with these Regulations, including reasonable notice of the date and time of the test. 7 (3) The Commission or a designated officer authorized under paragraph 37(2)(a) of the Nuclear Safety and Control Act may recertify a design certified under subsection (1) of the Packaging and Transport of Nuclear Substances Regulations if its technical specifications have not changed and the Commission or designated officer receives an application from the certificate holder no later than 60 days after the expiry date of the certificate. The application shall include the following information: 7(3) (a) a statement confirming that the drawings and procedures previously submitted have not changed or, if they have changed, a copy of the revised drawings and procedures and a statement confirming that the changes are without technical significance and do not affect the safety of the design; See response above under introduction to clause 7. See response above under introduction to clause 7. See response above under introduction to clause 7.

70 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Packaging and Transport of Nuclear Substances Regulations 7(3) (b) a statement confirming that each package has been maintained in compliance with the drawings and procedures previously submitted; 7(3) (c) in respect of a package design, a statement confirming that the instructions previously submitted have not changed; 7(3) (d) unless previously submitted, the model number and drawings of any capsule containing radioactive material; 7(3) (e) in respect of a certified package design, other than one referred to in paragraph (f) of the Packaging and Transport of Nuclear Substances Regulations, a list of the serial numbers of packages manufactured and maintained in accordance with the certified package design; 7(3) (f) in respect of a certified package design that was certified after approval by a foreign competent authority, a list of the serial numbers of all packages currently in use or intended to be used in Canada; 7(3) (g) a list of the known users of the latest certified package design; See response above under introduction to clause 7. See response above under introduction to clause 7. See response above under introduction to clause 7. See response above under introduction to clause 7. See response above under introduction to clause 7. See response above under introduction to clause 7.

71 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Packaging and Transport of Nuclear Substances Regulations 7(3) (h) a summary of the maintenance performed and any See response above under introduction to clause 7. operational or maintenance problems encountered with the package, including the date, nature of the maintenance or problem and any action taken; 7(3) (i) in respect of a design originating in a foreign See response above under introduction to clause 7. country, a copy of each package design approval document or low dispersible radioactive material approval document issued by the foreign competent authority since the last certification; 7(3) (j) a copy of the documents submitted to the foreign See response above under introduction to clause 7. competent authority in order to obtain a package design approval document referred to in paragraph (i) of the Packaging and Transport of Nuclear Substances Regulations; and 7(3) (k) at the request of the Commission, any other information that is necessary to enable the Commission to determine if the application meets the applicable requirements of these Regulations. See response above under introduction to clause 7.

72 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Security Regulations 3 An application for a licence in respect of Category I or II nuclear material, other than a licence to transport, and an application for a licence in respect of a nuclear facility referred to in paragraph 2(b) of the Nuclear Security Regulations shall contain the following information in addition to the information required by section 3 of the Nuclear Substances and Radiation Devices Regulations or sections 3 to 8 of the Class I Nuclear Facilities Regulations, as applicable: 3 (a) a copy of the arrangements referred to in section 35 of the Nuclear Security Regulations; 3 (b) the site plan referred to in section 16 of the Nuclear Security Regulations; 3 (c) a description of the proposed security equipment, systems and procedures; 3 (d) a description of the proposed on-site and off-site communications equipment, systems and procedures; Requirements in respect of Category I or II nuclear material at CRL are addressed by Process , Provide Physical Security, as described in the RTO Management System manual [B-6], section B.8.9. This material is considered as prescribed information for the purposes of the Nuclear Safety and Control Act and no specific details are provided in this unrestricted document. Additional aspects of the management of Category I or II nuclear material at CRL are addressed by Process , Manage Nuclear Materials and Safeguards, and by Process Provide Radiation Protection, as described in the RTO Management System manual [B-6], sections B.8.5 and B.8.12 respectively. See response above under introduction to clause 3. See response above under introduction to clause 3. See response above under introduction to clause 3. See response above under introduction to clause 3.

73 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Security Regulations 3 (e) a description of the proposed structure and See response above under introduction to clause 3. organization of the nuclear security officer service, including the duties, responsibilities and training of nuclear security officers; 3 (f) the proposed plan and procedures to assess and See response above under introduction to clause 3. respond to breaches of security; and 3 (g) the current threat and risk assessment. See response above under introduction to clause 3. 4 An application for a licence in respect of Category III nuclear material, other than a licence to transport, shall contain, in addition to the information required by section 3 of the Nuclear Substances and Radiation Devices Regulations, a description of the measures to be taken to ensure compliance with subsection 7(3) and sections 7.1 and 7.2 of the Nuclear Security Regulations. Requirements in respect of Category III nuclear material at CRL are addressed by Process , Provide Physical Security, as described in the RTO Management System manual [B-6], section B.8.9. This content is considered as prescribed information for the purposes of the Nuclear Safety and Control Act and no specific details are provided in this unrestricted document. Additional aspects of the management of Category III nuclear material at CRL are addressed by Process , Manage Nuclear Materials and Safeguards, and by Process Provide Radiation Protection, as described in the RTO Management System manual [B-6], sections B.8.5 and B.8.12 respectively.

74 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Security Regulations 5 An application for a licence to transport Category I, II or III nuclear material shall contain, in addition to any other information required by sections 3 to 5 of the Packaging and Transport of Nuclear Substances Regulations, a written transportation security plan that includes 5 (a) the name, quantity, radiation level in Gy/h, chemical and physical characteristics and isotopic composition of the nuclear material; 5 (b) a threat assessment consisting of an evaluation of the nature, likelihood and consequences of acts or events that may place prescribed information or nuclear material at risk; Requirements in respect of the transportation of Category I, II or III nuclear material at CRL are addressed by Process , Provide Physical Security, as described in the RTO Management System manual [B-6], section B.8.9. This material is considered as prescribed information for the purposes of the Nuclear Safety and Control Act and no specific details are provided in this unrestricted document. Additional aspects of the transportation of Category I, II or III nuclear material at CRL are addressed by Process , Manage Nuclear Material and Safeguards and Process , Manage Transportation of Radioactive Materials, as described in the RTO Management System manual [B-6], sections B.8.5 and B.8.6 respectively. See response above under introduction to clause 5. See response above under introduction to clause 5. 5 (c) a description of the conveyance; See response above under introduction to clause 5. 5 (d) the proposed security measures; See response above under introduction to clause 5.

75 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Security Regulations 5 (e) the communication arrangements made among the See response above under introduction to clause 5. licensee, the operator of the land vehicle transporting the nuclear material, the recipient of the material and any off-site response force along the route; 5 (f) the arrangements made between the licensee and any See response above under introduction to clause 5. off-site response force along the route; 5 (g) the planned route; and See response above under introduction to clause 5. 5 (h) the alternate route to be used in case of an emergency. See response above under introduction to clause 5. 7(3) Every licensee shall process, use and store Category III nuclear material in Requirements in respect of the storage of Category III nuclear material at CRL are addressed by Process , Provide Physical Security, as described in the RTO Management System manual [B-6], section B.8.9. This content is considered as prescribed information for the purposes of the Nuclear Safety and Control Act and no specific details are provided in this unrestricted document. Additional aspects of the management of Category III nuclear material at CRL are addressed by Process , Manage Nuclear Materials and Safeguards, and by Process Provide Radiation Protection, as described in the RTO Management System manual [B-6], sections B.8.5 and B.8.12 respectively. 7(3) (a) a protected area; See response above under introduction to clause 7(3).

76 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Security Regulations 7(3) (b) an area that is under the direct visual surveillance of the licensee; or 7(3) (c) an area to which access is controlled by the licensee and that is designed and constructed to prevent persons from gaining unauthorized access to the Category III nuclear material by using hand-held tools. 7.1 (1) Subject to subsection (2), if a licensee processes, uses or stores Category III nuclear material in an area referred to in paragraph 7(3)(c), the licensee shall ensure that the area is equipped with devices that See response above under introduction to clause 7(3). See response above under introduction to clause 7(3). Requirements in respect of Category III nuclear material at CRL are addressed by Process , Provide Physical Security, as described in the RTO Management System manual [B-6], section B.8.9. This content is considered as prescribed information for the purposes of the Nuclear Safety and Control Act and no specific details are provided in this unrestricted document. Additional aspects of the management of Category III nuclear material at CRL are addressed by Process , Manage Nuclear Materials and Safeguards, and by Process Provide Radiation Protection, as described in the RTO Management System manual [B-6], sections B.8.5 and B.8.12 respectively. 7.1(1) (a) detect any intrusion into it; See response above under introduction to clause (1) (b) detect any unauthorized removal of Category III See response above under introduction to clause 7.1. nuclear material; 7.1(1) (c) detect any tampering that may cause any of the devices to malfunction or cease to function; and See response above under introduction to clause 7.1.

77 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Security Regulations 7.1(1) (d) when an event referred to in paragraph (a), (b) or (c) is detected, set off a continuous alarm signal that is both audible and visible to a person in the service of the licensee or of an alarm monitoring service under contract to the licensee. 7.1 (2) A licensee need not comply with subsection (1) if it takes physical protection measures in respect of the area that provide the same level of protection as the devices referred to in that subsection. 7.2 (1) Every licensee shall make or cause to be made written arrangements with an off-site response force that is capable of making an effective intervention at an area where Category III nuclear material is processed, used or stored. 7.2 (2) The arrangements shall include provisions for (a) annual familiarization visits by members of the off-site response force to the area where the Category III nuclear material is processed, used or stored; and 7.2(2) (b) the joint development of a contingency plan by the licensee and the off-site response force to facilitate the force making an effective intervention. See response above under introduction to clause 7.1. See response above under introduction to clause 7.1. Requirements in respect of an off-site response force at CRL are addressed by Process , Provide Physical Security, as described in the RTO Management System manual [B-6], section B.8.9. This content is considered as prescribed information for the purposes of the Nuclear Safety and Control Act and no specific details are provided in this unrestricted document. See response above under introduction to clause 7.2. See response above under introduction to clause 7.2.

78 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Security Regulations 7.2 (3) If a licensee does not have alarm monitoring capability, the alarm monitoring service under contract to the licensee shall notify the licensee and the off-site response force, immediately on receipt of an alarm signal from the area where the Category III nuclear material is processed, used or stored. 16 Every licensee shall maintain a site plan that indicates the location and includes a description of the following, if applicable: 16 (a) the perimeter of the lands on which a high-security site is located; See response above under introduction to clause 7.2. Requirements in respect of a site plan of CRL are addressed by Process , Provide Physical Security, as described in the RTO Management System manual [B-6], section B.8.9. This content is considered as prescribed information for the purposes of the Nuclear Safety and Control Act and no specific details are provided in this unrestricted document. See response above under introduction to clause (b) the barrier enclosing every protected area; See response above under introduction to clause (c) the protected areas; See response above under introduction to clause (d) the unobstructed areas that meet the requirements set See response above under introduction to clause 16. out in section 10; 16 (e) the structure or barrier enclosing every inner area; See response above under introduction to clause (f) the inner areas; and See response above under introduction to clause (g) the vital areas. See response above under introduction to clause 16.

79 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Security Regulations 35 (1) Every licensee shall make or cause to be made written arrangements with an off-site response force to provide for the protection of a facility at which it carries on licensed activities. 35 (2) The arrangements shall include provisions (a) to ensure that there is capability at all times for immediate communication among the security monitoring room, the on-site nuclear response force and the off-site response force; 35 (b) to ensure that the off-site response force can support the on-site nuclear response force in making an effective intervention when requested to do so by the licensee; 35 (c) for the installation of a two-way radio referred to in subparagraph 15(2)(c)(i) and an alarm device referred to in subparagraph 15(2)(c)(ii); 35 (d) for annual familiarization visits to the facility by members of the off-site response force; and Requirements in respect of an off-site response force at CRL are addressed by Process , Provide Physical Security, as described in the RTO Management System manual [B-6], section B.8.9. This content is considered as prescribed information for the purposes of the Nuclear Safety and Control Act and no specific details are provided in this unrestricted document. See response above under introduction to clause 35. See response above under introduction to clause 35. See response above under introduction to clause 35. See response above under introduction to clause 35.

80 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Security Regulations 35 (e) for consultation between the licensee and the See response above under introduction to clause 35. off-site response force regarding the arrangements, the resources and the equipment available to the licensee and the off-site response force, and any other matter relating to the security of the facility. 41 An application for a licence in respect of a nuclear facility shall contain, in addition to the information required by sections 3 to 8 of the Class I Nuclear Facilities Regulations, a description of the physical protection measures to be taken to ensure compliance with sections 42 to 48. See response above under introduction to clause 35.

81 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Non-Proliferation Import and Export Control Regulations 3 An application for a licence to import or export a controlled nuclear substance, controlled nuclear equipment or controlled nuclear information shall contain the following information: This section is not relevant to the current licensing application. Import will be considered on a case-by-case basis and export is covered by a separate licence. 3 (a) the applicant s name, address and telephone number; See response above under introduction to clause 3. (b) a description of the substance, equipment or See response above under introduction to clause 3. information, including its quantity and the number of the paragraph of the schedule in which it is referred to; 3 (c) the name and address of the supplier; See response above under introduction to clause 3. 3 (d) the country of origin of the substance, equipment or See response above under introduction to clause 3. information; 3 (e) the name, address and, where the application is for a See response above under introduction to clause 3. licence to import, telephone number of each consignee; 3 (f) the intended end-use of the substance, equipment or See response above under introduction to clause 3. information by the final consignee and the intended end-use location; 3 (g) the number of any licence to possess the substance, equipment or information; and See response above under introduction to clause 3.

82 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED Attachment B: Background Material for 2011 CRL Licence Renewal Section Requirement AECL Response Nuclear Non-Proliferation Import and Export Control Regulations 3 (h) where the application is in respect of a controlled substance that is Category I, II or III nuclear material, as defined in section 1 of the Nuclear Security Regulations, the measures that will be taken to facilitate Canada s compliance with the Convention on the Physical Protection of Nuclear Material, INFCIRC/274/Rev.1. See response above under introduction to clause 3. References: [B-1] E. Drumhiller, Letter to M.A. Leblanc, Chalk River Laboratories (CRL), Application for Operating Licence Renewal 2011, CRL ACNO L, 2010 September 30. [B-2] CNSC Form, Application for Licensing, (Rev July). [B-3] Hon. H. Dhaliwal, Letter to Ms. L. Keen, Untitled, 2003 December 11. [B-4] CNSC, Record of Proceedings, Including Reasons for Decision Application for the Renewal of the Chalk River Laboratories Nuclear Research and Test Establishment Operating Licence. Hearing dates: 2006 April 26 and 2006 June 28. [B-5] Sites and Facilities Governing Documentation Index, GDI-002, Revision 0, 2010 September. [B-6] Management System, Manual MAN-001, Revision 0, 2010 September. [B-7] Action Levels for Chalk River Laboratories, CRL REPT-002, Revision 1, 2009 September. [B-8] AECL Management Manual, CW MAN-002, Revision 2, 2010 June. [B-9] Organization to Support CRL Operations, CRL ORG-001, Revision 0, 2010 September. [B-10] Management System Contact and Responsibility List, , Revision 0, 2010 September. [B-11] CRL Site Characteristics, NSN-RQASD-035, Revision 4, 2004 January.

83 M. Leblanc September 30 CRL-ACNO L UNRESTRICTED [B-12] J.-C. Amrouni, Letter with enclosure to B.D. Howden, CRL Deed, JCA , 2000 May 02. [B-13] The Management System Requirements for Nuclear Power Plants, CSA N [B-14] Policy, Employee Health and Safety, , Revision 3, 2010 June. [B-15] Management System Governing Documentation Index, GDI-001, Revision 0, 2010 September. [B-16] Policy, Environment, , Revision 2, 2010 March. [B-17] Comprehensive Preliminary Decommissioning Plan for AECL s Chalk River Laboratories, CPDP PDP-002, Revision 0, 2005 March. [B-18] CRL Annual Safety Review for 2009, CRL ASR-2009, Revision 0, 2010 April. [B-19] Environmental Monitoring in 2009 at Chalk River Laboratories, CRL ASR-2009, Revision 0, 2010 June. [B-20] Leak Testing of Sealed Sources, CW PRO-207, Revision 0, 2009 November 16. [B-21] BRF SOP 6.7 Gamma Beam 150C Safety Testing and Maintenance, B PRO-032, Revision 0, 2009 April 01.

84 1+1 Canadian Nuclear Commission canadienne Safety Commission de surete nucleaire Send two copies to: Application for Licensing Demande d'autorisation de permis Envoyer deux exemplaires a: Canadian Nuclear Safety Commission (CNSC) Research and Production Facilities Division P.O. Box 1046, Station B Ottawa, Ontario Canada KIP 5S9 Telephone: (613) Fax: (613) Commission canadienne de surete nucleaire (CCSN) Division des installations de recherche et de production C.P. 1046, Succursale B Ottawa (Ontario) Canada KIP 5S9 Telephone: (613) TeIecopieur: (613) ~ Application TypelType de demande Issuance I Amendment I Delivrance Class IA or IB I Categorie IA ou IB Modification Licence to prepare site / Permis de preparation de l'emplacement o Licence to construct / Permis de construction [2J Licence to operate / Permis d'exploitation Licence to decommission / Permis de declassement o Licence to abandon / Permis d'abandon o Class II I Categorie II o Licence to construct / Permis de construction [2J Licence to operate / Permis d'exploitation o Licence to decommission / Permis de declassement Licence to service / Permis d'entretien o o ~ Current Licence or Approval Number (if applicable) Numero du permis ou de l'approbation actuel (selon Ie cas) NRTEOL-1.07/2011 l2..j CNSC File Number (if applicable) Numero de dossier de la CCSN (selon les cas) INSTITUTION/ORGANISME 4.1 NamelNom Atomic Energy of Canada Limited 4.2 Address/Adresse.:::2.:::25~1-",S'l'P""e""ak,"",m=an=-=D,,-,r,",-iv-,-,e,,-- _ CityNille Mississauga Province -,=O~n""ta""n-",'0"-- _ Postal Code/Code postal L5K IB2 4.3 Evidence of current legal status and composition of the Board of Directors included (for new applicants only). Preuve du statutjuridique courant et composition du Conseil d'administration ci-jointes (pour nouveaux demandeurs seulement). ~ Facility/lnstallation (Please check appropriate box.neuiliez cocher Ie case appropriee.) Particle Accelerator (non-medical) / Accelerateur de particules (non-medical) o Type (specify/preciser) _ o Non Power Reactor/reacteur de faible puissance o Energy/energie _ o Nuclear Substance Processing Facility/ Installation de traitement de substances nucleaires o ManufacturerlFabricant andiet N. (model/modele): o Irradiator / Irradiateur o Type _ [2J Nuclear Research and Test Establishment! Etablissement de recherche et d'essais nucleaires _ (specify/preciser) o Other (specify)/autre (preciser): _ o ManufacturerlFabricant andiet N. (model/modele): _

85 5.2 Building or Room NumberlNumero de I'edifice au de la piece N/A 5.3 Name of ManagerlNom du chef E. (Hank) Drumhiller Title/Titre Vice-President Operations. Chief Nuclear Officer & Site Licence Holder 5.4 Address (if different than 4.2)/Adresse (Autre que dans 4.2) Chalk River Laboratories CityNille Chalk River Province Ontario Postal Code/Code postal KOJ 110 ~ Support Technical DocumentslDocuments techniques connexes Documentation enclosed with application as per Attachments A and B of letter from E. (Hank) Drumhiller to M. Leblanc. Chalk River Laboratories (CRL) Application for Operating Licence Renewal CRL-ACNO-1O-0048-L September 30. Specify the parts of the Safety Report and/or any other documents supplied with the application. (if applicable) Preciser les parties du rapport de surete et/ou tout autres documents fournis avec la demande. (selon Ie cas) ~ CNSC ExemptionlExemption de la CCSN Is any part of this application subject to a request for exemption from the CNSC policy on access to licensing information? Dne partie de la presente demande fait-elle l'objet d'une demande d' exemption ala CCSN sur l'acces du public a I'information relative a la delivrance des permis? Yes/Oui 0 NolNon l'2j If yes, attach details of request for exemption.ldans l'affirmative, veuillez annexer les details de la demandes d'exemption. ~ Contact Person!Agent de liaison Person to contact on technical information and licensing matters. La personne avec qui communiquer a propos du permis au pour obtenir des renseignements techniques. 8.1 NamelNom Dave Cox 8.2 TitlelTitre Director - Safety Engineering and Licensing 8.3 Address/Adresse Chalk River Laboratories (if different than 4.2/ Autre que dans 4.2) CityNille Chalk River Province Ontario Postal Code/Code postal KOJ Telephone/Telephone extension FaxlTelecopieur ~ Signing AuthoritylFonde de pouvoir The person authorized by the institution, Board of Governors, or other such bodies to sign applications to the CNSC for licences and authorizations related to the facility./ La personne autorisee par l'organisme, Conseil d' administration, au autre personne a signer les demandes soumises a la CCSN et autorisations relatives a I'installation. 9.1 NamelNom E. (Hank) Drumhiller 9.2 TitlelTitre Vice-President Operations. Chief Nuclear Officer & Site Licence Holder 9.3 Address/Adresse Chalk River Laboratories (if different than 4.2/Autre que dans 4.2) CityNille Chalk River Province Ontario Postal Code/Code postal KOJ Telephone/Telephone extension FaxITelecopieur ~ Official LanguagelLangue officielle In which official language do you wish us to communicate with you? English!Anglais l'2j Dans quelle langue officielle desirez-vous que nous communiquions avec vous? French/Franc;ais 0 ~ Application submitted byldemande soumise par Date IO/c9/30 J~ f 'I Signature (Signing Authority/Fonde de pouyoir)

86 Governing Documentation Index MANAGEMENT SYSTEM GOVERNING DOCUMENTATION INDEX GDI-001 Revision 0 Prepared by Rédigé par Beauchamp Stephen - Section Head, Engineering Programs & Reviewed by Standards Vérifié par Van Drunen Christina - Manager, Engineering Programs & Approved by Standards Approuvé par Cox David S - Director - Safety Engineering & Licensing 2010/09/30 AECL - OFFICIAL USE ONLY Atomic Energy of Canada Limited 2251 Speakman Drive Mississauga, Ontario Canada L5K 1B2 2010/09/30 À L'USAGE EXCLUSIF D'EACL Énergie Atomique du Canada Limitée 2251 rue Speakman Mississauga (Ontario) Canada L5K 1B2

87 Information Use AECL - OFFICIAL USE ONLY Governing Documentation Index GDI-001 Page i Always refer to myaecl for latest and OFFICIAL version. ( ) MANAGEMENT SYSTEM GOVERNING DOCUMENTATION INDEX TABLE OF CONTENTS SECTION PAGE 1. SCOPE PURPOSE DEFINITIONS INDEX External Documents CNSC Licences and Certificates Other Permits, Licences and Certificates Codes, Regulations and Standards Corporate Policies and Manuals Governing Documents Process , Understand Markets and Customers Process , Define Vision, Strategy and Corporate Plan Process , Develop and Design Products, Services or Projects Process , Market and Sell Products and Services Process , Produce, Build, Modify and Deliver Products, Services or Projects Process , Provide After-sales Customer Support Process , Develop and Maintain Nuclear Technology Process , Manage Facilities, Nuclear Laboratories, Materials and associated Liabilities Process , Manage Environmental Protection Process , Develop and Manage Human Resources Process , Manage Information and Associated Technology Process , Manage Financial Resources Process , Manage External Relationships Process , Improve Organizational Performance and Manage Change REFERENCES...23 Prepared by: R.G. Lavoie Date: 2010/09/30 Reviewed by: C. Van Drunen Date: 2010/09/30 Approved by: R. Lesco Date: 2010/09/ GDI /09/30 Atomic Energy of Canada Limited

88 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page ii TABLE OF CONTENTS SECTION PAGE APPENDICES Appendix A Compliance Matrices...24 A.1 Cross Reference Table to CAN/CSA N Standard, Management system requirements for nuclear power plants...24 A.2 Cross Reference Table to ISO-9001:2008 Standard, Quality management systems Requirements GDI /09/30

89 Information Use AECL - OFFICIAL USE ONLY Governing Documentation Index GDI-001 Page 1 Always refer to myaecl for latest and OFFICIAL version. ( ) MANAGEMENT SYSTEM GOVERNING DOCUMENTATION INDEX 1. SCOPE This document provides an index to governing documents for Research and Technology Operations (RTO) in support of the Management System [1]. This document consists primarily of external requirements and company policies, manuals and procedures issued for general use. They include mostly upper level documents such as Overview documents, Manuals and process/program Governing Documentation Index (GDI) documents, and some lower level procedures. For the latest revision of documents listed in the Index section and a more comprehensive list of governing documents, refer to TRAK or the Procedural Applet on myaecl. For the contact or subject matter expert of the processes, refer to the Contact and Responsibility List [2]. Comments or out-of-date documents listed in here should be communicated to the Management System Specialist, who maintains this document. 2. PURPOSE This document ensures that employees in RTO have a list of management system governing documentation issued for general use. 3. DEFINITIONS For terms and abbreviations refer to the individual documents listed in the Index, or the Acronyms, Abbreviations, and Definitions of Terms web site on myaecl. ( 4. INDEX The section covers: External documents in Section 4.1; Corporate policies and manuals in Section 4.2; and Governing documents issued for general use, grouped under the business processes, in Section GDI /09/30

90 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page External Documents CNSC Licences and Certificates Number Title / Description Rev Date Comment NRTEOL-01.07/2011 Atomic Energy of Canada Limited Nuclear Research and Testing Establishment Operating Licence, Chalk River Laboratories Jun Expiry Date: 2011 Oct 31 NRTEDL-08.01/2018 NPROL-62.03/2011 Nuclear Research and Test Establishment Decommissioning Licence, Whiteshell Laboratories Non-Power Reactor Operating Licence (Includes MAPLE 1 and MAPLE 2 Reactors, and the New Processing Facility) Apr Expiry Date: 2018 Dec Mar Expiry Date: 2011 Oct Dosimetry Service Licence 2010 May Expiry Date: 2011 May 31 EL-01.01/2011 Export Licence, Chalk River Laboratories 2007 Mar Expiry Date: 2011 July Nuclear Substance and Radiation Devices Licence, Port Hope 2007 Nov Expiry Date: 2011 Sep Nuclear Substance and Radiation Devices Licence, LaPrade 2010 Jul Expiry Date: 2014 Oct Nuclear Substance and Radiation Devices Licence, Low Level Waste Management Office (X-ray Fluorescence Analysis) WFOL Waste Management Facilities Operating Licence, Douglas Point WFOL Waste Management Facilities Operating Licence, Gentilly-1 WFOL Waste Management Facilities Operating Licence, Nuclear Power Demonstration (NPD, Rolphton) WNSL-W /2011 Waste Nuclear Substance Licence, Pine Street Extension (Port Hope) WNSL-W /2016 Waste Nuclear Substance Licence, Low Level Waste Management Office (Historic Waste) WNSL-W Waste Nuclear Substance Licence, Port Hope Radioactive Waste Management Project WNSL-W /2014 Waste Nuclear Substance Licence, Port Hope Long-Term Low-Level Radioactive Waste Management Project (Welcome Waste Management Facility) C Class II Prescribed Equipment Certificate - Texas Nuclear Neutron Generator 150-1H 1-C002.A/2011 Class II Prescribed Equipment Certificate - BRF Irradiator 2006 May Expiry Date: 2011 Apr Aug Amendment No Oct Indefinite 1999 Oct Amendment No Oct Expiry Date: 2011 December Nov Expiry Date: 2016 Nov Oct Indefinite 2009 Oct Expiry Date: 2014 Dec Jan Expiry Date: 2010 Nov Dec Expiry Date: 2011 Dec GDI /09/30

91 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 3 Number Title / Description Rev Date Comment Various CNSC certificates for transport packages used by AECL for shipping off-site. (Information include certificate number, expiry, ownership and manufacturer) List maintained by the RAM Transportation Program in CW GDI Other Permits, Licences and Certificates Number Title / Description Rev Date Comment CERT ISO 14001:2004 Environmental Management System Certification for AECL Chalk River Laboratories and Whiteshell Laboratories 2010 Jun Expires 2013 Jun 24 CERT FHR-PER to FHR-PER TSSA QA.84 TSSA QA.230 TSSA QA.379 TSSA QA ISO 9001:2008 Quality Management System Certification for AECL Head Office, Chalk River Laboratories, and Low-Level Radioactive Waste Management Office Environment Canada Permits to charge fire-extinguishing systems at various locations at CRL Manufacture of pressure vessels at CRL and field sites controlled by CRL in accordance with ASME Boiler and Pressure Vessel Code, Section VIII, Division 1 and CSA Standard B51, Boiler, Pressure Vessel and Pressure Piping Code Repair of ASME Section I, IV, & VIII, Div.1, pressure relief valves using original equipment manufactures at CRL only in accordance with CSA Standard B51, Boiler, Pressure Vessel and Pressure Piping Code. Construction of Class 1, 2, 3, Piping Systems at CRL only in accordance with CSA Standard N285.0, General Requirements for Pressure Retaining Systems and Components in CANDU Nuclear Power Plants. Repair and alteration of boilers, pressure vessels, piping and Category A, B, C, D, E, F & H type fittings at CRL and for repairs and alterations at field sites controlled by CRL in accordance with CSA Standard B51, Pressure Vessel and Pressure Piping Code Nov Expires 2012 Nov Jul Expires 2011 Jul Jan Expires 2013 Feb May Expires 2012 May Jan Expires 2011 Dec Jan Expires 2013 Feb GDI /09/30

92 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 4 Number Title / Description Rev Date Comment TSSA QA Fabrication and assembly of power piping at CRL and fabrication, assembly and erection of power piping at fiel sites controlled by CRL in accordance with CSA Standards B51, Boiler, Pressure Vessel and Pressure Piping Code and ASME B31.1 Power Piping 2010 Jan Expires 2013 Feb 19 TSSA QA TSSA QA TSSA QA TSSA QA Fabrication and assembly of process piping at CRL and fabrication, assembly and erection of process piping at field sites controlled by CRL in accordance with CSA Standards B51, Boiler, Pressure Vessel and Pressure Piping Code and ASME B31.3 Process Piping. Fabrication of Class 1, 2, 3 & 4 Welded and Non-welded Supports; With and Without design Responsibility: at CRL Only. In Accordance with CSA standards N285, General Requirements for Pressure Retaining Systems and Components in CANDU Nuclear Power Plants. Fabrication of Class 1, 2, 3 & 4 Welded and Non-welded Category A, B, C, D, E, F & H type Fittings only, with and without Design Responsibility at CRL only in accordance with CSA standards N285, General Requirements for Pressure Retaining Systems and Components in CANDU Nuclear Power Plants. Fabrication of welded and non-welded Category A, B, C, D, E & H type fittings only at CRL in accordance with CSA Standards B51, Boiler, Pressure Vessel and Pressure Piping Code 2010 Jan Expires 2013 Feb Jan Expires 2011 Dec Jan Expires 2011 Dec 21 MB Quality Control Certification (for WL) Expiry extended to 2010 Nov 30 MB Quality Control Certification (for WL) Expiry extended to 2010 Nov 30 General Association of Professional Engineers of Ontario Certificate of Authorization granted to AECL A 2701 Canadian Association for Laboratory Accreditation Inc. (CALA) Certificate of Accreditation to ISO/IEC 17025:2005 for AECL, Whiteshell Laboratories. A Ontario Ministry of the Environment, Provincial Certificate of Approval Waste Disposal Site (at CRL) Certificate of Sewage Works. Issued by the Ministry of the Environment (for CRL) 1987 Aug Annual renewal required Sep Expires 2012 Sep Mar No expiry date 1977 Dec No expiry date GDI /09/30

93 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 5 Number Title / Description Rev Date Comment TSSA R-1415 Ontario Certificate of Registration of a 2005 Apr No Expiry Date Plan, at CRL, Bldg Ontario Ministry of Transportation - Motor For CRL Vehicle Inspection Station Licence C Propane Conversion License. For CRL Ontario Ministry of Transportation - Commercial Vehicle Operator Registration (CVOR) Certificate Stationary Engineer Certificates for the Power Plan Chief Engineer, Shift Engineers and Operators (at CRL) Licences for Elevators and Lifting Devices Issued by TSSA, posted on the applicable equipment (at CRL) For CRL Issued annually Codes, Regulations and Standards This section is limited to external documents primarily in licences issued by the CNSC and includes the main process in place to meet the requirements. For more references to codes, regulations and standards, refer to the applicable process or program documents (e.g., Overview document or GDI document). Title / Description Business Process CAN/CSA-N : Overall Quality Assurance Program Requirements for Nuclear Power Plants (1992) CAN3-N : Procurement Quality Assurance for Nuclear Power Plants (2000) CAN3-N : Design Quality Assurance for Nuclear Power Plants (2000) CAN3-N : Construction Quality Assurance for Nuclear Power Plants (1999) CAN/CSA-N286.4-M86: Commissioning Quality Assurance for Nuclear Power Plants (1986) N : Operations Quality Assurance for Nuclear Power Plants (1995) Comment N : Decommissioning Quality Assurance for Nuclear Power Plants (1998) N (R2003): Quality Assurance for Analytical, Scientific and Design Computer Programs for Nuclear Power Plants Management System Requirements for Nuclear Power Plants, CSA N (2005) Quality Management Systems Requirements, ISO Environmental Management System, ISO GDI /09/30

94 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 6 Title / Description Business Process CSA Z299 Series, Quality Assurance Program, Category 1, 2, 3, and 4. Various Comment Nuclear Safety and Control Act and Regulations General Nuclear Safety and Control Regulations Radiation Protection Regulations Class I Nuclear Facilities Regulations Class II Nuclear Facilities Regulations Nuclear Substances and Radiation Devices Regulations Packaging and Transport of Nuclear Substances Regulations Nuclear Security Regulations Nuclear Non-Proliferation Import and Export Control Regulations CNSC Cost Recovery Fees Regulations Regulatory Document S-99, Reporting Requirements for Operating Nuclear Power Plants Radiation Emitting Devices Act and Regulations GS-R-2, IAEA Preparedness and Response for a Nuclear or Radiological Emergency, Safety Requirements (2002) General Requirements for Pressure-Retaining Systems and Components in CANDU Nuclear Power Plants, CSA Standards N285.0 (2008) Boiler, Pressure Vessel, and Pressure Piping Code, B51 (2007) Treaty on the Non Proliferation of Nuclear Weapons / Safeguards Nuclear Liability Act and Regulations Series of ANSI/ANS-8.x Standards on Criticality Safety Standard for Facilities Handling Radioactive Materials, NFPA-801 (2008) Fire Protection for CANDU Nuclear Power Plants, CAN/CSA-N293 (2007) Preparedness and Response for a Nuclear or Radiological Emergency, Safety Requirements, IAEA GS-R-2 (2002) Canadian Guidelines for Intervention during a Nuclear Emergency, Health Canada H46-2/03-326E (2003) International Atomic Energy Agency Safety Standard NS-R-4, Safety of Nuclear Research Reactors, 2005 June Nuclear Response Force Standard, S Nuclear Security Officer, Physical and Psychological Fitness, RD National Building Code of Canada (2005) National Fire Code of Canada (2005) GDI /09/30

95 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page Corporate Policies and Manuals Number Title / Description Rev Date Comment Policies PEOPLE Apr SECURITY Mar ENVIRONMENT Jan QUALITY Apr DISCLOSURE Sep EMPLOYEE HEALTH AND SAFETY Jun CODE OF ETHICS AND BUSINESS CONDUCT Manuals Mar CW MAN-002 AECL MANAGEMENT MANUAL Jun QAM-010 OVERALL QUALITY ASSURANCE MANUAL Sep 4.3 Governing Documents Most documents in this section have been assigned the appropriate process number; however, there are some documents that have not been numbered to the related process, or to the appropriate process. The number of these documents will be addressed when next revised Process , Understand Markets and Customers For supporting governing documents, contact the Office of the Vice-President, Commercial or the Marketing and Business Development department in the Commercial Operations division of AECL Process , Define Vision, Strategy and Corporate Plan For additional supporting governing documents, contact the Financial and Business Services department. Number Title / Description Rev Date Comment OV-001 RESEARCH & TECHNOLOGY Aug OPERATIONS PLANNING AND REPORTING PLA-072 NUCLEAR LABORATORIES MANAGEMENT PLAN SUMMARY Jul GDI /09/30

96 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page Process , Develop and Design Products, Services or Projects For supporting governing documents, contact the appropriate department in the Commercial Operations division of AECL. For design, engineering and project processes in RTO, refer to Process , Provide Facilities and Support to Existing Facilities Process , Market and Sell Products and Services For supporting governing documents, contact the Office of the Vice-President, Commercial or the Marketing and Business Development department in the Commercial Operations division of AECL Process , Produce, Build, Modify and Deliver Products, Services or Projects For RTO, this process covers construction, commissioning and procurement activities only. Project management is covered in process , Provide Project Management, and design engineering in process , Provide Design and Engineering. Number Title / Description Rev Date Comment Perform Procurement and Materials Management QAM-011 COMPANY-WIDE PROCUREMENT Mar QUALITY ASSURANCE MANUAL CW REQ-103 PROCUREMENT Feb CW PRO-612 PROCUREMENT OF GOODS AND Nov SERVICES FROM EXTERNAL VENDORS USING ORACLE IPROCUREMENT CW PRO-611 PROCUREMENT OF SERVICES Oct PROVIDED BY A NON-EMPLOYEE. USING ORACLE IPROCUREMENT CW PRO-188 PROCUREMENT OF NUCLEAR Feb MATERIALS OV-001 PROJECT PROCUREMENT PROCESS Jan PRO-007 CONDUCT OF PROCUREMENT Jul ENGINEERING OV-002 RTO CONTRACT ADMINISTRATION Jun Manage Fabrication / Manufacturing CW QAM-105 COMPANY - WIDE CONSTRUCTION QUALITY ASSURANCE MANUAL Apr PRO-001 CONSTRUCTION D1 Under preparation Manage Commissioning / Testing CW QAM-106 COMPANY WIDE COMMISSIONING QUALITY ASSURANCE MANUAL Jul GDI /09/30

97 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 9 Number Title / Description Rev Date Comment PRO-001 COMMISSIONING Apr This procedure references CW commissioning procedures Process , Provide After-sales Customer Support For supporting governing documents, contact the Office of the Vice-President, Commercial or the Marketing and Business Development or Operations department in the Commercial Operations division of AECL Process , Develop and Maintain Nuclear Technology This business process consists of processes and activities associated with managing the technology to support our products and services. The process includes evaluating and improving current technology; identifying, developing and demonstrating new technology; documenting current learning for future use; managing technical resources, both physical and human; and managing the technology portfolio. Number Title / Description Rev Date Comment Plan Technology Development Activities CW PRO-291 PREPARATION OF TEST PLANS FOR R&D CW PRO-340 PROPOSAL AND CONTRACT REVIEW FOR R&D Develop Technology Sep Apr CW QAM-101 COMPANY WIDE RESEARCH AND Jan DEVELOPMENT QUALITY ASSURANCE MANUAL CW PRO-254 CONTROLLING ITEMS ASSOCIATED Apr WITH R & D WORK PACKAGES CW PRO-383 COMPLETION REVIEW FOR R&D Feb Develop Analytical, Scientific and Design Software CW QAM-102 _VOL1 CW QAM-102 _VOL Maintain and Secure Technology COMPANY WIDE ANALYTICAL, SCIENTIFIC AND DESIGN COMPUTER PROGRAMS - REQUIREMENTS COMPANY WIDE ANALYTICAL, SCIENTIFIC AND DESIGN COMPUTER PROGRAMS Mar Apr Manage Intellectual Property CW OV-101 INTELLECTUAL PROPERTY OPERATIONS Mar GDI /09/30

98 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 10 Number Title / Description Rev Date Comment CW PRO-128 TECHNOLOGY TRANSFER Apr CW PRO-126 TRADE MARKS Jan CW PRO-125 PATENTS Jan Process , Manage Facilities, Nuclear Laboratories, Materials and associated Liabilities Number Title / Description Rev Date Comment TOR-002 NUCLEAR PERFORMANCE Oct Under revision ASSURANCE REVIEW BOARD CRL COP-001 NUCLEAR PERFORMANCE ASSURANCE REVIEW Apr Provide Facilities and Support to Existing Facilities Provide Project Management CW OV-103 PROJECT MANAGEMENT Aug GDI-001 PROJECT MANAGEMENT DOCUMENTATION INDEX Provide Design and Engineering D Sep In preparation CW QAM-103 COMPANY-WIDE DESIGN QUALITY Apr ASSURANCE MANUAL CW PRO-600 DESIGN AUTHORITY FUNCTION May QAP-001 RTO ENGINEERING QUALITY Jul ASSURANCE PLAN PRO-004 DESIGN DOCUMENTS Mar PRO-006 TECHNICAL OPERABILITY Jan EVALUATION PRO-007 CONDUCT OF PROCUREMENT Jul ENGINEERING PRO-001 ENGINEERING CHANGE CONTROL Sep PRO-002 FIELD CHANGE CONTROL Feb PRO-003 CONDUCT OF DESIGN ENGINEERING Mar REQ-002 NUCLEAR FACILITY VENTILATION SYSTEM DESIGN REQ-001 DESIGN OF TEMPORARY EXHAUST VENTILATION SYSTEMS Configuration Management Tools May Nov PRO-003 DOCUMENT BASELINE CONTROL GDI /09/30

99 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 11 Number Title / Description Rev Date Comment PRO-001 CONFIGURATION MANAGEMENT Dec WALKDOWNS PRO-004 DESIGN BASELINE RECOVERY Jan TOR-001 CONFIGURATION MANAGEMENT OVERSIGHT Management of Pressure Boundary System TOR-001 PRESSURE BOUNDARY WORKING GROUP TERMS OF REFERENCE CRL QAM-111 MANUFACTURE, INSTALLATION, REPAIR, ALTERATION, REPLACEMENT AND MODIFICATION OF PRESSURE RETAINING COMPONENTS TO CSA B51, CSA B52 AND ASME SECTION I, IV, VIII DIV. 1, B31.1, B31.3 AND B31.5 CODES CRL QAM-110 REPAIR/SERVICE OF PRESSURE RELIEF VALVES TO ASME SECTIONS I, IV, VIII - DIVISION 1 AND CSA B51/B52 AT AECL CHALK RIVER LABORATORIES, CHALK RIVER, ONTARIO, CANADA, K0J 1J0 CRL QAM-109 CONSTRUCTION AND MAINTENANCE OF CLASS 1/2/3 NUCLEAR PIPING SYSTEMS, NON-STANDARD FITTINGS, COMPONENTS & NF PIPING SUPPORTS TO CSA N285.0 STANDARD AT CHALK RIVER LABORATORIES RC WL ENGINEERING QUALITY CONTROL MANUAL - DESIGN AND CONSTRUCTION OF PRESSURE RETAINING COMPONENTS AND SYSTEMS TO CSA STANDARD B51 WLCS MAN-003 WL Engineering Relief Valve Testing and Repair Quality Manual Operate and Maintain Facilities and Nuclear Laboratories Sep Feb May Apr Apr Being updated New number is WL QAM May CW QAM-112 CRL REQ-104 WL PRO-212 NUCLEAR LABORATORIES, NUCLEAR OPERATIONS QUALITY ASSURANCE MANUAL PRIME TENANTS AND BUILDING CONTACTS RESPONSIBILITY FOR FACILITIES AND THE SAFETY OF OPERATIONS AT THE WHITESHELL LABORATORIES Mar May Jan GDI /09/30

100 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 12 Number Title / Description Rev Date Comment PRO-005 WORK PLAN Feb PRO-006 SYSTEM WALKDOWNS AND Apr WALKDOWN REPORTS PRO-007 SYSTEM HEALTH PROGRAM Apr PRO-004 TROUBLESHOOTING FACILTY May EQUIPMENT CRL PRO-334 CLASSIFICATION OF NUCLEAR Nov FACILITIES AND RADIONUCLIDE LABORATORIES PRO-008 READINESS FOR SERVICE Feb CRL PRO-255 FOREIGN MATERIAL EXCLUSION Apr Work Management PRO GDI Operate Sites CRL WORK MANAGEMENT PROCESS OVERVIEW WORK MANAGEMENT AND CONTROL GOVERNING DOCUMENT INDEX Mar Jun CRL PRO-353 FACILITY MANAGEMENT - OFFICE Mar SPACE AND FURNITURE CRL PRO-592 ROOM LABELLING Apr Operate Facilities PRO-002 ORDER TO OPERATE Sep PRO-003 PREPARATION OF OPERATING MANUALS CRL TOR-111 REACTOR IRRADIATIONS COMMITTEE Provide Maintenance Sep Jul CRL OV-116 MAINTENANCE Jun CRL REQ-190 MAINTENANCE CONDUCT May CRL REQ-177 PREVENTATIVE MAINTENANCE Oct CRL PRO-402 CORRECTIVE MAINTENANCE Sep CRL PRO-401 MAINTENANCE PLANNING Jul CRL PRO-404 CALIBRATION OF SYSTEM INSTRUMENTATION Jun GDI /09/30

101 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 13 Number Title / Description Rev Date Comment CRL PRO-403 CRL- PREVENTIVE MAINTENANCE Jan PROGRAM CRL PRO-400 MAINTENANCE PROCEDURES Apr CRL PRO-232 CHALK RIVER PREVENTIVE May MAINTENANCE DEFERRAL PROCESS CRL PRO-399 GENERAL MAINTENANCE Jul CRL PRO-405 PERIODIC INSPECTION Jul CRL PRO-608 MATERIAL CONTROL FOR ASME Dec SECTION III WORK CRL PRO-532 PREVENTIVE MAINTENANCE TASK Mar MANAGEMENT CRL PRO-339 WORK PACKAGE PREPARATION FOR Mar MAINTENANCE AND CONSTRUCTION ACTIVITIES CRL PRO-609 ROUTE SHEET FOR ASME SECTION Oct III WORK CRL PRO-438 WORK PLAN AND CHECKLIST FOR Feb STEEL STRUCTURES CRL PRO-407 REPLACEMENT ITEM Sep MANAGEMENT CRL PRO-406 MEASURING AND TEST EQUIPMENT Jun CRL PRO-418 MAINTENANCE PLAN PRODUCTION Jul CRL PRO-411 MASTER EQUIPMENT LIST Jul MANAGEMENT WL PRO-617 GENERAL MAINTENANCE 0 WL PRO-618 MAINTENANCE PLANNING 0 WL PRO-619 CORRECTIVE MAINTENANCE 0 WL REQ-216 PREVENTIVE MAINTENANCE 0 WL PRO-620 CALIBRATION OF SYSTEM 0 INSTRUMENTATION WL PRO-622 MEASURE & TEST EQUIPMENT 0 WL PRO-623 REPLACEMENT ITEM MANAGEMENT Provide Manufacturing and other Support Decommission Sites and Facilities QAM-016 COMPANY-WIDE DECOMMISSIONING QUALITY ASSURANCE MANUAL Nov GDI /09/30

102 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 14 Number Title / Description Rev Date Comment Manage and Maintain Offices and Buildings Manage Materials CW REQ-169 IDENTIFICATION AND Sep TRACEABILITY AT CONSTRUCTION AND COMMISSIONING SITES CW PRO-123 EXPORT PERMITS AND LICENSES Dec CW PRO-241 EXPORT PERMITS AND LICENSES Nov USING EPLIS CW GL-131 GREEN PROCUREMENT Oct CRL PRO-116 TRANSPORT OFF-SITE - CRL May CRL PRO-114 TAG AND STORE - TEMPORARY Nov STORAGE OF NON-SURPLUS COMMODITIES CRL PRO-115 CENTRAL STORES INVENTORY Sep CRL PRO-122 POST-ORDER EVALUATION OF May CONTRACTORS CRL PRO-117 RECEIVING Mar Manage Nuclear Materials and Safeguards CW OV-137 NUCLEAR MATERIALS AND SAFEGUARDS MANAGEMENT CW REQ-119 NUCLEAR MATERIALS AND SAFEGUARDS MANAGEMENT CW GDI-107 NUCLEAR MATERIALS AND SAFEGUARDS MANAGEMENT GOVERNING DOCUMENTATION INDEX AND DEFINITIONS Manage Transportation of Radioactive Material Dec Apr Apr CW OV-138 RADIOACTIVE MATERIAL (RAM) Oct TRANSPORTATION PROGRAM CW REQ-203 RADIOACTIVE MATERIAL Apr TRANSPORTATION REQUIREMENTS CW GDI-106 RADIOACTIVE MATERIAL Apr TRANSPORTATION DOCUMENTATION INDEX AND DEFINITIONS CW PRO-614 RADIOACTIVE MATERIAL Jun TRANSPORTATION PROCESS CW PRO-616 SHIPMENT OR RECEIPT OF RADIOACTIVE MATERIAL May Manage non-nuclear materials and Manage Services GDI /09/30

103 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 15 Number Title / Description Rev Date Comment Refer to Process , Perform Procurement and Materials Management Provide Nuclear Criticality Safety Control OV-001 NUCLEAR CRITICALITY SAFETY Apr REQ GDI Manage Wastes NUCLEAR CRITICALITY SAFETY REQUIREMENTS NUCLEAR CRITICALITY SAFETY DOCUMENTATION INDEX AND DEFINITIONS Aug May CW OV-129 WASTE MANAGEMENT PROGRAM OVERVIEW CW GDI-108 WASTE MANAGEMENT PROGRAM DOCUMENTATION INDEX AND DEFINITIONS Manage Operational Risks and Liabilities Aug Feb Provide Physical Security OV-001 PHYSICAL SECURITY Jun GDI-001 PHYSICAL SECURITY PROGRAM INDEX AND DEFINITIONS Provide Fire Protection Dec OV-001 FIRE PROTECTION PROGRAM Feb GDI-001 FIRE PROTECTION PROGRAM INDEX AND DEFINITIONS Provide Emergency Preparedness Mar CW OV-143 EMERGENCY PREPAREDNESS D Feb In preparation CW GDI-109 EMERGENCY PREPAREDNESS PROGRAM CW REQ-219 EMERGENCY PREPAREDNESS PROGRAM REQUIREMENTS Provide Radiation Protection RC AECL RESEARCH'S RADIATION PROTECTION REQUIREMENTS CW GDI-103 RADIATION PROTECTION DOCUMENTATION, DEFINITIONS, QUANTITIES AND UNITS Provide Operating Experience Feb D Feb In preparation Oct Oct CW OV-125 OPERATING EXPERIENCE (OPEX) PROGRAM Oct GDI /09/30

104 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 16 Number Title / Description Rev Date Comment CW PRO-469 OPERATING EXPERIENCE (OPEX) Jan PRO-003 PROCESSING OF INTERNAL & Dec EXTERNAL OPERATING EXPERIENCE CW PRO-300 OBSERVATION AND COACHING Apr Provide Licensing Services CW PRO-246 MANAGING CANADIAN NUCLEAR Apr SAFETY COMMISSION CORRESPONDENCE AND REGULATORY COMMITMENTS CW PRO-159 LICENSING OF DECOMMISSIONING Jan FACILITIES CW PRO-167 LICENSING AND SAFETY FOR NEW Mar AND MODIFIED FACILITIES CRL PRO-343 REPORTING TO THE CNSC Apr REQ-002 REQUIREMENTS DOCUMENT FOR CNSC INTERACTIONS GL GUIDELINE FOR CNSC COMMISSION MEETING/HEARING LOGISTICS GL AECL PROTOCOL FOR COMMUNICATING WITH CNSC STAFF Provide Safety Analysis and Operational Safety Assessment May Mar Mar CW PRO-190 GRADED HAZARD REVIEW OF May PROCEDURES AND WORK PLANS WL GL JOB SCOPE AND SAFETY ANALYSIS Feb CW PRO-236 HAZARD AND OPERABILITY (HAZOP) STUDIES CRL PRO-143 OSA FACILITY SAFETY INSPECTIONS CRL PRO-144 SAFETY ASSESSMENT AND CHANGE CATEGORY VERIFICATION OF DESIGN AND OPERATIONAL CHANGES IN NUCLEAR FACILITIES Provide Dosimetry Services Jan Feb Jan DSP QAM-001 DOSIMETRY SERVICES QA MANUAL Nov DSP GDI-001 DOSIMETRY SERVICES PROGRAM DOCUMENTATION INDEX Manage Physical Liabilities (Radiological and Chemical) Sep GDI /09/30

105 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page Process , Manage Environmental Protection This business process consists of processes and activities associated with the protection of the environment for operations at AECL s Canadian sites as well as for provision of products and services provided to customers. Number Title / Description Rev Date Comment Provide Environmental Protection Program for Canadian Sites CW OV-113 CW GDI-101 ENVIRONMENTAL MANAGEMENT SYSTEM FOR AECL SITES IN CANADA ENVIRONMENTAL PROTECTION PROGRAM DOCUMENTATION Mar Apr Process , Develop and Manage Human Resources Number Title / Description Rev Date Comment CW REQ-166 PRIVACY STATEMENT Mar CW PRO-529 INVESTIGATION OF DISCLOSURES May CW PRO-217 CW GL PRO PRO Manage Staffing DISCLOSURE OF INFORMATION CONCERNING WRONGDOING PROTECTION OF PERSONAL INFORMATION PROCEDURE FOR APPOINTING FACILITY AUTHORITIES PROCEDURE FOR APPOINTING FACILITY MANAGERS May Mar Jun Jun CW TOR-119 EMPLOYMENT EQUITY Dec COMMITTEES CW PRO-510 WORKPLACE ACCOMMODATION Apr CW PRO-327 APPOINTMENT OF ENGINEER/RESEARCHER EMERITUS CW PRO-225 ACCOUNTABILITY STATEMENTS AND POSITION DESCRIPTIONS PRO-001 RESEARCH & TECHNOLOGY OPERATIONS (RTO) STAFF HIRING OI-001 STAFFING IN THE NUCLEAR LABORATORIES BUSINESS UNIT (NLBU) Train and Develop Employees May Dec Dec Apr CW MAN-001 AECL SYSTEMATIC APPROACH TO TRAINING (SAT) Nov GDI /09/30

106 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 18 Number Title / Description Rev Date Comment CRL MAN-102 CRL APPRENTICESHIP MANUAL Mar CRL PRO-590 NEW EMPLOYEE ORIENTATION Sep CW PRO-344 ASSESSMENT AND IDENTIFICATION May OF PERSONNEL QUALIFICATIONS AND TRAINING NEEDS CW PRO-498 EMPLOYEE TRAINING - APPROVING, May ATTENDING AND RECORDING _2 TUITION REIMBURSEMENT Aug PRO-002 PREPARATION OF SYSTEM TRAINING MANUALS Assess and Reward Employee Performance CW PRO-335 PERFORMANCE PLANNING AND REVIEW FORMS FOR UNIONIZED EMPLOYEES CW PRO-213 MATERNITY AND PARENTAL LEAVE PROCEDURE Ensure Employee Safety & Well-being Sep Mar Aug CW TOR-118 AECL HEALTH AND SAFETY POLICY Jan COMMITTEE CW MAN-001 AECL OCCUPATIONAL HEALTH AND May SAFETY PROGRAM MANUAL CW GDI-110 OCCUPATIONAL SAFETY AND Jun HEALTH PROGRAM CW REQ-168 SMOKING Oct CW REQ-152 DRUG AND ALCOHOL Sep CW PRO-610 PROTECTIVE FOOTWEAR Feb CW PRO-574 PREVENTING VIOLENCE IN THE Sep WORKPLACE CW PRO-561 WORKING ALONE Mar CW PRO-380 FIRST AID PROGRAM May CW PRO-379 RETURN TO WORK PROGRAM Sep CW PRO-378 WORKER'S COMPENSATION May CW PRO-377 WORKPLACE INSPECTIONS May WL PRO-484 HOUSEKEEPING ACTIVITIES IN WL NUCLEAR FACILITIES Mar GDI /09/30

107 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 19 Number Title / Description Rev Date Comment Manage Employee Security CW PRO-237 PERSONNEL SECURITY Jul CW OV-122 EMPLOYEE SECURITY Jul CW PRO-636 PROCESSES ASSOCIATED WITH Apr EMPLOYEE SECURITY AND RELATED ACTIVITIES CW GL-120 SECURITY SELF-PROTECTION Mar GUIDELINE CW PRO-530 REPORTING OF SUSPECTED May MATERIAL MATTERS CW PRO-422 THREAT AND RISK ASSESSMENT Jul PROCEDURE CW PRO-349 CAMERA USE AT AECL SITES Mar Process , Manage Information and Associated Technology Number Title / Description Rev Date Comment Design, Implement and Maintain Systems for Software, Hardware and Network Systems CW PRO-211 BACKUP AND RECOVERY OF DATA Jun CW REQ-188 USE OF MOBILE WIRELESS DEVICES Mar CW PRO-129 USE OF NETWORK AND COMPUTER SYSTEMS Design, Implement and Maintain Information Systems May CW MAN-001 myaecl MANUAL AND STYLE Dec GUIDE FOR USERS AND ADMINISTRATORS CW PRO-131 USE OF ELECTRONIC MESSAGING May CW PRO-130 USE OF THE INTERNET May TOR-001 NLBU TRAK STEERING COMMITTEE Nov NLBU replaced by RTO Manage Information Assets CW MAN-001 AECL DOCUMENT NUMBERING Jun SYSTEM - GENERAL PRINCIPLES CW REQ-187 DOCUMENT CONTROL May CW PRO-412 RECORDS MANAGEMENT Mar CW REQ-176 REQUIREMENTS FOR RECORDS TO BE RECOGNIZED AS ORIGINALS Jun GDI /09/30

108 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 20 Number Title / Description Rev Date Comment CW PRO-415 PROCESS FOR NUMBERING Oct RECORDS CW PRO-414 RECORDS RETENTION AND May DISPOSITION CW PRO-183 OFF-LINE STORAGE OF ELECTRONIC Sep DATA CW MAN-001 OVERVIEW OF TRAK ELECTRONIC Jan DOCUMENT MANAGEMENT SYSTEM CW PRO-161 PRODUCTION AND CONTROL OF Sep AECL DOCUMENTS USING TRAK CW OI-102 PRODUCTION AND RELEASE OF Nov DRAWINGS USING TRAK CW PRO-158 DOCUMENT REVIEW AND Apr COMMENT CW OI-148 MANAGEMENT OF Mar DOCUMENTATION LIENS CW OI-124 REVIEW OF TEST PROCEDURES AND Mar REPORTS CW MAN-002 HOW TO CREATE FORMAL Apr DOCUMENTS USING THE AECL TEMPLATE (WORD 2007) CW GL-108 ACRONYMS, ABBREVIATIONS AND Jan DEFINITIONS OF TERMS CW GL-102 DATE FORMAT Jan Provide Security of IT Infrastructure and of Information Assets CW REQ-178 ACCESS CONTROL FOR Aug APPLICATIONS / INFORMATION COLLECTIONS CW PRO-109 PROTECTION OF INFORMATION Dec CW OI-101 CHANGING THE SECURITY IDENTIFIER ON AECL DOCUMENTATION Oct Process , Manage Financial Resources Number Title / Description Rev Date Comment CW REQ-106 AUTHORIZATION Nov CW REQ-103 PROCUREMENT Feb CW REQ-105 BUDGET TRANSFER May CW PRO-604 ACQUISITION OF IT RELATED Dec PRODUCTS AND SERVICES CW PRO-120 TRAVEL Mar GDI /09/30

109 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 21 Number Title / Description Rev Date Comment CW REQ-174 TRAVEL - BOARD OF DIRECTORS Mar AND EXECUTIVES CW PRO-119 CORPORATE CHARGE CARD AND Jan BUSINESS EXPENSES CW PRO-118 ORACLE TIME AND LABOUR Feb CW REQ-338 INVENTORIES Aug CW REQ-100 RESTRICTED TRANSACTIONS AND May AUTHORIZATION CW PRO-337 ACCOUNTS PAYABLE Aug CW PRO-223 WARRANTIES AND CONTINGENCIES Jun CW PRO-135 PROPERTY, PLANT & EQUIPMENT Jun AND INTANGIBLE ASSETS CW PRO-132 SALE OF MOVEABLE ASSETS May CW PRO OI ACQUISITION OF IT RELATED PRODUCTS AND SERVICES REQUEST FOR AUTHORIZATION (RFA) PROCESS Aug Dec Process , Manage External Relationships For other supporting governing documents, contact the appropriate department in the Commercial Operations division of AECL, or AECL Corporate. Number Title / Description Rev Date Comment CRL REPT-001 PUBLIC INFORMATION PROGRAM Apr FOR AECL CHALK RIVER LABORATORIES CRL FOR THE PROPOSED LICENCE PERIOD OF 2006 AUGUST 01 TO 2011 OCTOBER PRO-001 SITE & COMMUNITY AFFAIRS RTO Mar COMMUNITY INVESTMENT PROCEDURE CW PRO-566 COMPETITION Jun CW PRO-565 PREVENTING CORRUPTION IN INTERNATIONAL BUSINESS Jun Process , Improve Organizational Performance and Manage Change Number Title / Description Rev Date Comment and Safety Culture and Human Performance CW MAN-001 SAFETY CULTURE & HUMAN PERFORMANCE Oct GDI /09/30

110 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 22 Number Title / Description Rev Date Comment CW PRO-504 OPERATIONAL DECISION-MAKING Dec CW OV-118 EVENT FREE TOOLS - OVERVIEW Sep CW PRO-274 EVENT FREE TOOL - SELF CHECKING Sep CW PRO-275 EVENT FREE TOOL - VERIFICATION Sep CW PRO-276 EVENT FREE TOOL - CONSERVATIVE Sep DECISION-MAKING CW PRO-277 EVENT FREE TOOLS - PRE-JOB Dec BRIEFING/POST-JOB REVIEW CW PRO-278 EVENT FREE TOOL Dec COMMUNICATION CW PRO-279 EVENT FREE TOOL - PROCEDURE Apr USE AND ADHERENCE CW PRO-280 EVENT FREE TOOL - SAFE Sep PRACTICES PRO-001 EVENT FREE DAY RESET (EFDR) Feb PLA-001 RTO IMPROVEMENT PLAN - VOYAGEUR PHASE II Maintain and Improve Overall Management System Apr CW PRO-108 DELEGATION OF AUTHORITY Apr CW PRO-100 PROCEDURAL DOCUMENTS Jan CREATION AND MANAGEMENT CW GL-100 PREPARING PROCEDURAL Aug DOCUMENTS PRO-002 ORGANIZATIONAL CHANGE CONTROL PROCESS Apr Prescribe Quality Requirements and Improve Business Processes CW PRO-442 QUALITY ASSURANCE MANUALS Oct AND PLANS CW PRO-420 DIRECTIVE TO STOP WORK Jun CW PRO-229 SELECTION OF QUALITY PROGRAM Sep REQUIREMENTS CW OV-110 COMPANY BUSINESS PROCESSES Mar CW PRO-178 CRL COP TOR-001 DEVELOPING AND MANAGING COMPANY BUSINESS PROCESSES NUCLEAR PERFORMANCE ASSURANCE REVIEW IMPACT REVIEW BOARD TERMS OF REFERENCE Jun Apr Apr GDI /09/30

111 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 23 Number Title / Description Rev Date Comment Ensure Compliance with Requirements CW PRO-392 IMPROVEMENT ACTION (IMPACT) Nov PROCESS CW TOR-122 IMPROVEMENT ACTION (IMPACT) Aug MANAGEMENT REVIEW MEETING (MRM) AND MANAGEMENT SCREENING TEAM (MST) TERMS OF REFERENCE CW PRO-506 PREVENTIVE ACTION May CW PRO-427 PROGRAM REVIEWS Jul PRO-001 NUCLEAR OVERSIGHT AUDITS Apr Based on CW PRO- 227 CW PRO-228 QUALIFICATION OF QUALITY AND Feb ENVIRONMENTAL AUDITORS CW OI SUPPLIER QUALITY PROGRAM Sep AUDITS OI SELF ASSESSMENT Jan Based on CW PRO OI ROOT AND APPARENT CAUSE ASSESSMENT WITHIN RESEARCH AND TECHNOLOGY OPERATIONS Perform Independent Reviews of HSE CW TOR-133 SAFETY REVIEW COMMITTEE May Jun Based on CW PRO- 166 CW REQ-129 INDEPENDENT HSE REVIEW OF NEW FACILITIES CW REQ-130 INDEPENDENT HSE REVIEW OF OPERATING FACILITIES CW REQ-131 INDEPENDENT HSE REVIEW OF THE DECOMMISSIONING OF BUILDINGS, FACILITIES AND SITES SRC-R-7 NUCLEAR CRITICALITY SAFETY PANEL - TERMS OF REFERENCE SRC-R-5 AECL REQUIREMENTS FOR NUCLEAR CRITICALITY SAFETY Conduct Internal Audits and Report on Findings Mar Mar Mar Sep Sep 5. REFERENCES [1] MAN-001, Management System Manual. [2] , Management System Contact and Responsibility List GDI /09/30

112 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 24 Appendix A Compliance Matrices The tables in this Appendix identify the sections in the Management System Manual (MSM), MAN-001 [1], where the requirements are addressed. Note that processes are described in Appendix B of the MSM, and the supporting documents for the processes are listed in this document. A.1 Cross Reference Table to CAN/CSA N Standard, Management system requirements for nuclear power plants N Section No. and Title MSM Section No. and Title 2 Management system 9 Governing Documentation documents 3 Management statement of 2 Management Commitment commitment 4 Management assessment of effectiveness 10 Management, Assessment and Improvement 5 Management system - Generic requirements 5.1 The business is defined, planned and controlled 5 B.2 Organization Overview Process , Define Vision, Strategy and Corporate Plan 5.2 The organization is defined and understood 7 B.14.2 Responsibilities and Organization Process , Maintain and Improve Overall Management System Process , Manage Staffing Process , Train and Develop Employees Process , Manage Staffing Process , Train and Develop Employees Process , Manage Employee Communications Process , Human Performance 5.3 Personnel are competent at the work they do B.10.1 B Personnel know what is B.10.1 expected of them B.10.2 B.10.4 B Work is planned Various 5.6 Experience is sought, B.8.13 Process , Provide Operating Experience shared and used 5.7 Information is provided in B.11 Process , Manage Information and Associated time to the people who Technology need it 5.8 The performance of work is controlled 5.9 The preparation and distribution of documents are controlled Various B.11.1 Process , Manage Information Assets GDI /09/30

113 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 25 N Section No. and Title MSM Section No. and Title 5.10 Work is verified to confirm Various that it is correct 5.11 Problems are identified and resolved B.8.13 Process , Provide Operating Experience (ImpAct process) 5.12 Changes are controlled Various 5.13 Records are maintained B.11.1 Process , Manage Information Assets 5.14 Assessments are performed 10.2 B.14.4 Assessments Process , Ensure Compliance with Requirements 6 Specific requirements 6.1 Design B.8.1 Process , Provide Design and Engineering 6.2 Safety analysis B.8.5 Process , Provide Nuclear Criticality Safety General Control Safety analysis control B.8.15 Process , Provide Safety Analysis and Operational Safety Assessment Safety report 6.3 Safe operating envelope 6.4 Purchasing and material management B.5.1 Process , Perform Procurement and Materials Management 6.5 Identification and labelling of systems and components B.8.2 B.8.3 Process , Operate and Maintain Facilities and Nuclear Laboratories 6.6 Security B.8.9 Process , Provide Physical Security 6.7 Construction and B.5.2 Process , Manage Construction / Installation installation 6.8 Commissioning B.5.3 Process , Manage Commissioning/Testing 6.9 Turnover B.5.3 Process , Manage Commissioning/Testing 6.10 Completion assurance B.5.3 Process , Manage Commissioning/Testing 6.11 Operating the plant B.8.2 Process , Operate Facilities 6.12 Oral communications B.10.4 B.14.1 Process , Manage Employee Communications Process , Human Performance 6.13 Plant status control B.8.2 Process , Operate Facilities 6.14 Operator surveillance B.8.2 Process , Operate Facilities 6.15 Surveillance testing B.8.2 Process , Operate Facilities 6.16 Operating procedures B.8.2 Process , Operate Facilities 6.17 Emergency procedures B.8.2 Process , Operate Facilities 6.18 Infrequently preformed B.8.2 Process , Operate Facilities operations 6.19 Maintenance B.8.3 Process , Provide Maintenance 6.20 Calibration of measuring B.8.3 Process , Provide Maintenance and monitoring devices 6.21 Periodic inspection B.8.3 Process , Provide Maintenance 6.22 System health monitoring B.8.3 Process , Provide Maintenance GDI /09/30

114 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 26 N Section No. and Title MSM Section No. and Title 6.23 Chemistry control B.8.2 Process , Operate Facilities 6.24 Radiation protection B.8.12 Process , Provide Radiation Protection 6.25 Fire protection B.8.10 Process , Provide Fire Protection 6.26 Emergency preparedness B.8.11 Process , Provide Emergency Preparedness 6.27 Workplace safety B.10.3 Process , Ensure Employee Safety and Well being 6.28 Hazardous waste B , Manage Wastes management 6.29 Effluent control B.9.1 Process , Provide Environmental Protection Program 6.30 Decommissioning B.8.4 Process , Decommission Sites and Facilities Annexes A Supplementary requirements for design B.8.1 Process , Provide Design and Engineering B C D E F Supplementary requirements for purchasing and material management Supplementary requirements for construction and installation Supplementary requirements for commissioning Supplementary requirements for decommissioning Supplementary requirements for verification of work B.5.1 B.5.2 B.5.3 B.8.4 B.8.2 B.8.3 Process , Perform Procurement and Materials Management Process , Manage Construction / Installation Process , Manage Commissioning/Testing Process , Decommission Sites and Facilities Process , Operate and Maintain Facilities and Nuclear Laboratories GDI /09/30

115 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 27 A.2 Cross Reference Table to ISO-9001:2008 Standard, Quality management systems Requirements ISO-9001:2008 Section No. and Title 1 Scope 1.1 Scope 1.1 General 1.2 Applications 2 Normative References 1.2 Purpose 3 Terms and Definitions 1.3 Definitions 4 Quality Management System 4.1 General Requirements 1.1 Scope 4.2 Documentation Requirements General Quality manual 1.1 B.14.2 MSM Section No. and Title Scope Process , Maintain and Improve Overall Management System Control of Documents B.11.1 Process , Manage Information Assets Control of Records B.11.1 Process , Manage Information Assets 5 Management Responsibility 5.1 Management Commitment 2 Management Commitment 5.2 Customer Focus 8 Business Process - processes 01 to Quality Policy - Policy Quality 5.4 Planning Quality Objectives Quality Management System Planning 5.5 Responsibility, Authority, and Communication Responsibility and Authority Management Representative Internal Communications 5.6 Management Review General Review Input Review Output 6 Resource Management 6.1 Provision of Resources 6.2 Human Resources General Competence, B.2 Process , Define Vision, Strategy and Corporate Plan B.14.2 B B.14.4 Process , Maintain and Improve Overall Management System Process , Manage Employee Communications Measurement, Assessment And Improvement Process , Ensure Compliance with Requirements B.10 Process , Develop and Manage Human Resources GDI /09/30

116 Information Use ISO-9001:2008 Section No. and Title Awareness and Training 6.3 Infrastructure 6.4 Work Environment 7 Product Realization 7.1 Planning of Product Realization 7.2 Customer related processes Determination of requirements related to the product Review of requirements related to the product Customer communication 7.3 Design and development Design and Development Planning Design and development inputs Design and development outputs Design and development review Design and development verification Design and development validation Control of design and development changes 7.4 Purchasing Purchasing Process Purchasing Information Verification of Purchased Products 7.5 Production and Service provision Control of Production and service provision Validation of AECL - OFFICIAL USE ONLY GDI-001 Page 28 MSM Section No. and Title B.3 Process , Develop and Design Products, Services or Projects B.6 Process , Provide After sales Customer Support B.3 Process , Develop and Design Products, Services or Projects, B.8.1 B.5.1 and Process , Provide Design and Engineering Process , Perform Procurement and Materials Management B.5 Process , Produce, Build, Modify and Deliver Products, Services or Projects GDI /09/30

117 Information Use AECL - OFFICIAL USE ONLY GDI-001 Page 29 ISO-9001:2008 Section No. and Title processes for Production and Service Provision Identification and Traceability Customer Property Preservation of product 7.6 Control of Monitoring and Measuring Devices 8 Measurements, Analysis and Improvement 8.1 General 8.2 Monitoring and Measurement Customer Satisfaction Internal Audits Monitoring and Measurement of Processes Monitoring and Measurement of Products 8.3 Control of Nonconforming Product B.8.3 MSM Section No. and Title Process , Provide Maintenance B.14 Process , Improve Organizational Performance and Manage Change B.8.13 Process , Provide Operating Experience 8.4 Analysis of Data B.8.13 Process , Provide Operating Experience 8.5 Improvement B.14 Process , Improve Organizational Performance Continual Improvement and Manage Change Corrective Action Preventive Action GDI /09/30

118 Revision History Liste de révisions CW FM-168 AECL - OFFICIAL USE ONLY À USAGE EXCLUSIF - EACL Page 1 of / de 1 Ref. Procedure CW PRO-161 Document No. / Numéro de document: GDI 001 Document Details / Détails sur le document Title Titre Doc. Collection ID ID de la collection de doc. SI Répertoire du sujet Section Total no. of pages N bre total de pages MANAGEMENT SYSTEM GOVERNING DOCUMENTATION INDEX 32 Serial No. N o de série For Release Information, refer to the Document Transmittal Sheet accompanying this document. / Pour des renseignements portant sur la diffusion, consultez la feuille de transmission de documents ci-jointe. Revision History / Liste de révisions No./N o Revision / Révision Date (yyyy/mm/dd) Details of Rev. / Détails de la rév. Prepared/Revised by Rédigé/Examiné par Reviewed by Examiné par Approved by Approuvé par D1 2010/07/30 Issued for Review and Comment. R.G. Lavoie H. Andersen (for B. Sanderson) D. Lemire J.L. Grenier T. Arthur S. Lawton C. Van Drunen S. Beauchamp K. Smith C. Clavel /09/30 Issued as Approved for Use. R.G. Lavoie C. Van Drunen R. Lesco dsfpdfscs GDI /09/30

119 Governing Documentation Index SITES AND FACILITIES GOVERNING DOCUMENTATION INDEX GDI-002 Revision 0 Prepared by Rédigé par Lavoie Robert - Management System Specialist Reviewed by Vérifié par Van Drunen Christina - Manager, Engineering Programs & Approved by Standards Approuvé par Cox David S - Director - Safety Lesco Randy - GM, ENG. & Engineering & Licensing CHIEF NUC. ENGINEER 2010/09/23 AECL - OFFICIAL USE ONLY Atomic Energy of Canada Limited 2251 Speakman Drive Mississauga, Ontario Canada L5K 1B2 2010/09/23 À L'USAGE EXCLUSIF D'EACL Énergie Atomique du Canada Limitée 2251 rue Speakman Mississauga (Ontario) Canada L5K 1B2

120 Information Use AECL - OFFICIAL USE ONLY Governing Documentation Index GDI-002 Page i Always refer to myaecl for latest and OFFICIAL version. ( ) SITES AND FACILITIES GOVERNING DOCUMENTATION INDEX TABLE OF CONTENTS SECTION PAGE 1. SCOPE PURPOSE DEFINITIONS INDEX Chalk River Laboratories Class I Nuclear Facilities Class II Nuclear Facilities Class A Radioisotope Laboratories Class B Radioisotope Laboratories Class C Radioisotope Laboratories Permanently Shutdown Facilities Other Facilities Whiteshell Laboratories Nuclear Facilities Class B Radioisotope Laboratories Class C Radioisotope Laboratories Permanently Shutdown Facilities Other Facilities and Laboratories REFERENCES...21 Prepared by: R.G. Lavoie Date: 2010/09/23 Reviewed by: C. Van Drunen Date: 2010/09/23 Approved by: R. Lesco Date: 2010/09/ GDI /09/23 Atomic Energy of Canada Limited

121 Information Use AECL - OFFICIAL USE ONLY Governing Documentation Index GDI-002 Page 1 Always refer to myaecl for latest and OFFICIAL version. ( ) SITES AND FACILITIES GOVERNING DOCUMENTATION INDEX 1. SCOPE This document provides an index to governing documents for sites, facilities and laboratories managed and operated by Research and Technology Operations (RTO) in support of the Management System [1]. This document consists of the main governing documents for individual facilities and laboratories at CRL and WL. Sites and facilities at other locations will be added in a future revision. For an index to external requirements and company policies, manuals and procedures issued for general use refer to the Management System Governing Documentation Index (GDI) [2]. For the latest revision of documents listed in the Index section and a more comprehensive list of governing documents, refer to TRAK or the Procedural Applet on myaecl. For the managers responsible and/or contacts of individual facilities and laboratories, refer to the Contact and Responsibility List [2]. Comments or out-of-date documents listed in here should be communicated to the Management System Specialist, who maintains this document. 2. PURPOSE This document ensures that management responsible for sites, facilities and laboratories in RTO have a list of governing documents. 3. DEFINITIONS For terms and abbreviations refer to the individual documents listed in the Index, or the Acronyms, Abbreviations, and Definitions of Terms web site on myaecl ( 4. INDEX The section covers the index to documents for: Facilities and laboratories at CRL, in Section 4.1; and Facilities and laboratories at WL, in Section GDI /09/23

122 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page Chalk River Laboratories Class I Nuclear Facilities Facility Owner / Applicable Document(s) Description Number / Title Rev Date NRU Reactor Operations NRU FA-001, FACILITY AUTHORIZATION FOR THE Jun OPERATION OF THE NRU REACTOR AT THE CHALK RIVER LABORATORIES NRU GDI-001, NRU FACILITY GOVERNING DOCUMENTATION INDEX Aug The NRU Reactor comprises several buildings; the main one is Building 150, which houses the reactor, rod bays, and experimental facilities. NRU can be used for a wide variety of irradiations, including: fuels and materials testing, fuel testing under accident conditions, testing of fusion blanket materials, small-sample irradiations, experiments in neutron scattering, and isotope production. The reactor operates at power levels up to 130 megawatts thermal and it is heavy water moderated, light water reflected, and heavy water cooled. The reactor is designed to be fuelled at power. The core consists of an aluminium cylinder approximately 3.7 m in diameter and 3.5 m high. It is made up of 227 vertical lattice sites arranged in a hexagonal array with a pitch of 19.7 cm. Control rods and enriched uranium fuel rods occupy about half of the lattice sites; most of the remaining sites are used for low temperature/low pressure experiments and irradiations. Two-high pressure/high temperature loops supply coolant to three reactor test sections. A number of beam hole facilities are also available. Nuclear Fuel Fabrication Facility (NFFF), Building 405 Nuclear Fuel Fabrication Facility (NFFF), Buildings 429A & 429B Operations AECL-FA-19, FACILITY AUTHORIZATION FOR THE OPERATION OF THE NUCLEAR FUEL FABRICATION FACILITY BUILDING 405 AT THE CHALK RIVER LABORATORIES NFFF COP-001, NFFF CONDUCT OF OPERATIONS MANUAL - QUALITY ASSURANCE PLAN The NFFF, Building 405 produces nuclear fuel products for internal and external customers Sep Jun Operations AECL-FA-02, FACILITY AUTHORIZATION FOR THE OPERATION Sep OF THE NUCLEAR FUEL FABRICATION BUILDING 429A AND 429B FACILITY AT THE CHALK RIVER LABORATORIES. NFFF COP-001, NFFF CONDUCT OF OPERATIONS MANUAL - QUALITY ASSURANCE PLAN Jun NFFF Building 429A is used to receive, store, and process low enriched uranium based cores and to manufacture Molybdenum-99 (Mo-99) targets from uranium-aluminum based billets. Building 429B is used to cast uranium-aluminum based billets GDI /09/23

123 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page 3 Facility Owner / Description Recycle Fuel Fabrication Laboratories (RFFL) Heavy Water Upgrading Plant ZED-2 Reactor Research & Development Applicable Document(s) Number / Title Rev Date RFFL FA-001, FACILITY AUTHORIZATION FOR THE Feb OPERATION OF THE RECYCLE FUEL FABRICATION LABORATORIES AT THE CHALK RIVER LABORATORIES RFFL COP-001, RECYCLE FUEL FABRICATION Jul LABORATORIES CONDUCT OF OPERATIONS MANUAL The RFFL, located in the south end of Building 375, consists of several laboratories. The main fuel fabrication laboratory houses three interconnected lines of negative-pressure ventilated gloveboxes and fumehoods, to allow the fabrication of sintered pellets of mixed-oxide fuel, which are then clad and sealed into CANDU type fuel elements. Operations AECL-FA-04, FACILITY AUTHORIZATION FOR THE OPERATION Sep OF THE HEAVY-WATER UPGRADING PLANT AT THE CHALK RIVER LABORATORIES. NFO COP-001 (HWUP-SSS-2) Upgrading operations in the Heavy Water Upgrading Plant ceased permanently in 1998 August. The facility ceased to be occupied on a regular basis; it was placed in a Safe Shutdown State. It is being monitored by security and radiation protection personnel, or by facility supervision on a daily basis. Periodic drum shipments of downgraded heavy water are made from the shipping dock area. Research & Development ZED FA-001, FACILITY AUTHORIZATION FOR THE Jan OPERATION OF THE ZED-2 REACTOR AT THE CHALK RIVER LABORATORIES ZED COP-001, ZED-2 CONDUCT OF OPERATIONS Jul The ZED-2 Reactor, located in Building 145, is a versatile, heavy-water moderated, zero energy (less than 200 watts) critical facility that can be used for a variety of experiments. It is used mainly for reactor physics measurements on various fuel types with several coolants over a range of lattice pitches. The reactor can also be used for measurements on mockups of reactivity control devices and fuel channels of both power and research reactors. A heavy-water region in which neutrons are well thermalized can be assembled and used for neutron detector calibration and thermal neutron cross section measurement. Universal Cells Operations AECL-FA-06, FACILITY AUTHORIZATION FOR THE OPERATION Sep OF THE BUILDING 234 UNIVERSAL CELLS AT THE CHALK RIVER LABORATORIES. NFO COP-001, NUCLEAR FACILITIES OPERATION CONDUCT OF OPERATIONS MANUAL Dec The Universal Cells are located in Building 234 and contains three cells. Cell 1 is used for the processing of Co 60 from the NRU Reactor and the examination of highly radioactive materials. Cells 2 and 3 are used for the examination of irradiated fuel and metallurgical samples and some approved experiments GDI /09/23

124 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page 4 Facility Owner / Applicable Document(s) Description Number / Title Rev Date Operations Feb Molybdenum-99 Production Facility Tritium Laboratory MPF FA-001, FACILITY AUTHORIZATION FOR THE OPERATION OF THE MOLYBDENUM-99 PRODUCTION FACILITY AT THE CHALK RIVER LABORATORIES MPF GDI-001, MO-99 PRODUCTION FACILITY Jan GOVERNING DOCUMENTATION INDEX The Molybdenum-99 (Mo-99) Production Facility (MPF) is comprised of a portion of Buildings 225, 225A, 229, 206 and 203. The Mo-99 Cell is located in Building 225, and the off-gas delay system components are housed in Building 225A. The Fissile Solution Storage Tank and associated equipment are located in Building 229. Building 206 is the Mo-99 Cell ventilation fan house and Building 203 is the 61 m stack. In the Mo-99 production process, irradiated uranium targets are dissolved in nitric acid and the Mo-99 is recovered from the fission-product solution. Xenon-133 is recovered as a by-product of this process. The fission-product solution is a waste product that is transferred to Fissile Solution Storage Tank for storage as liquid waste, or mixed with cement and stored as solid waste in tile holes in Waste Management Area B. Research & Development AECL-FA-15, FACILITY AUTHORIZATION FOR THE OPERATION OF THE TRITIUM FACILITY AT THE CHALK RIVER LABORATORIES TF COP-001, TRITIUM FACILITY CONDUCT OF OPERATION MANUAL TF RLP-001, CLASS A RADIOISOTOPE LABORATORY PROTOCOL FOR THE TRITIUM FACILITY - BUILDING 250, FIRST FLOOR ROOM 45, SECOND FLOOR ROOMS 242, 244, 248, 250 AND 250A May May 2009 Jun The Tritium Laboratory (also referred to as the Tritium Facility) is a Class A Radioisotope Laboratory located in Rooms 242, 244, 245, 248, 250 and 250A in Building 250. The laboratory is used almost exclusively for work with tritium in various chemical forms; the most common are tritium gas, usually stored as a metal tritide, and tritiated water. A key component of the laboratory is the inert-atmosphere, positive-pressure glovebox located in Room 245, which is used for handling very large quantities of elemental tritium. The Tritium Laboratory serves as the primary facility for conducting research and development activities associated with heavy-water management and tritium control in CANDU reactors. In addition, tritium is dispensed under contract to Ontario Power Generation for their customers GDI /09/23

125 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page 5 Facility Owner / Description Waste Treatment Centre and Associated Facilities D&WM Applicable Document(s) Number / Title Rev Date AECL-FA-16, FACILITY AUTHORIZATION FOR THE OPERATION Nov OF THE WASTE TREATMENT CENTRE AND ASSOCIATED FACILITIES AT THE CHALK RIVER LABORATORIES. WMO COP-001, CONDUCT OF OPERATIONS WASTE Apr MANAGEMENT OPERATIONS TABLE OF CONTENTS The Waste Treatment Centre (WTC) is located in Building 570 and receives radioactive liquids and solids from Controlled Area 2 of CRL. The WTC also manages liquids containing high levels of radioactivity stored in stainless steel tanks. Fuels and Materials Cells Operations AECL-FA-17, FACILITY AUTHORIZATION FOR THE OPERATION OF THE FUELS AND MATERIALS CELLS AT THE CHALK RIVER LABORATORIES Sep The Fuels & Materials Cells facility, located in Building 375, is used primarily for the destructive examination or thermal mechanical testing of irradiated fuels and materials. It comprises of numerous cells, remote optical microscopes, an in-cell storage block, a shielded Scanning Electron Microscope, and several fume hoods. Also included in the facility are a horizontal storage facility for the temporary storage of irradiated material (particularly fissile) a vertical in-ground storage facility limited to non-fissile material, a storage block for temporary storage of low-level irradiated non-fissile material, an active waste drainage system, a ventilation system, a shipping/receiving area, manipulator, and active equipment storage rooms. Waste Management Areas D&WM WMA FA-001, FACILITY AUTHORIZATION FOR THE Feb OPERATION OF THE WASTE MANAGEMENT AREAS AT THE CHALK RIVER LABORATORIES WMO COP-001, CONDUCT OF OPERATIONS WASTE Apr MANAGEMENT OPERATIONS TABLE OF CONTENTS The Waste Management Areas (WMAs) comprise a number of fenced-in areas used for storage of a variety of solid radioactive wastes ranging in activity from very low levels up to that of irradiated nuclear fuel. These wastes originate from the operation of CRL and from off-site, such as isotope manufacturers, hospitals, and universities. Some areas of the WMAs continue to accept wastes (WMAs B, C, D, and H ), others are no longer operational (WMAs A, E, and F ), and WMA G is in the process of being reactivated. Combined Electrolysis Catalytic Exchange Upgrade and Detritiation Test Facility Research & Development AECL-FA-20, FACILITY AUTHORIZATION FOR THE OPERATION OF THE COMBINED ELECTROLYSIS CATALYTIC EXCHANGE UPGRADE AND DETRITIATION (CECEUD) TEST FACILITY AT THE CHALK RIVER LABORATORIES CECEUD COP-001, CECEUD FACILITY CONDUCT OF OPERATIONS MANUAL Dec Feb GDI /09/23

126 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page 6 Facility Owner / Description Class II Nuclear Facilities Applicable Document(s) Number / Title Rev Date The Combined Electrolysis Catalytic & Exchange Upgrading/Detritiation (CECEUD) Test Facility is located in Building 215. The facility consists of a process building and a service building, joined by a link building, and includes the combined electrolysis and catalytic exchange process and associated equipment and services. Some of the original, unused Tritium Extraction Plant equipment is incorporated into the combined electrolysis and catalytic exchange process. The heavy water upgrading and detritiation processes involve the electrolytic separation of water into oxygen and the hydrogen isotopes, and the catalytic transfer of hydrogen isotopes between heavy-water feedstock and the deuterium/tritium gas produced by the electrolytic cell. Facility Owner / Description Health Physics Neutron Generator Research & Development Applicable Document(s) Number / Title Rev Date HPNG FA-001, FACILITY AUTHORIZATION FOR THE Feb OPERATION OF THE HEALTH PHYSICS NEUTRON GENERATOR AT THE CHALK RIVER LABORATORIES Gamma Beam 150C Irradiation Facility Gamma Beam Irradiator Model GC60 The Health Physics Neutron Generator is located in Building 513. It is a high voltage accelerator, designed to accelerate 1 ma of deuterium ions through a maximum potential drop of 150 kv. It produces nominal 14 MeV or 2.7 MeV neutrons, by the 2H(t,n) 4He or 2H(d,n)3He reactions, when the deuteron beam strikes a target containing either tritium or deuterium. It was put into service in The designed maximum outputs are about 5 x MeV neutrons and 5 x MeV neutrons. Research & Development GBF FA-001, FACILITY AUTHORIZATION FOR THE OPERATION OF THE GAMMABEAM 150C FACILITY AT THE CHALK RIVER LABORATORIES Aug The Gamma Beam 150C (GB 150C), manufactured by Nordion International Inc., is a gamma irradiator used for the irradiating live biological (animals) specimens and cell cultures for research. GB 150C is located in Room O103 and its controls in Room O102 of Building 524. Research & Development FA-001, FACILITY AUTHORIZATION FOR THE OPERATION OF THE GC60 GAMMA IRRADIATOR AT THE CHALK RIVER LABORATORIES Aug The GC60 is a gamma beam irradiator used for the calibration of gamma survey meters. It is also used for exposure of dosimeters and irradiating dosimetric material. The GC60 irradiator is located in Room 175 and its controls are in Room 195 of Building GDI /09/23

127 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page Class A Radioisotope Laboratories Laboratory Owner / Applicable Document(s) Description Number / Title Rev Date Tritium Facility Jun Research & Development TF RLP-001, LABORATORY PROTOCOL FOR THE TRITIUM FACILITY BUILDING 250, FIRST FLOOR ROOM 45, SECOND FLOOR ROOMS 242, 244, 248, 250 AND 250A Bldg. 250, Rooms 242, 244, 245, 248, 250, 250A The laboratories are used for conducting R&D activities associated with heavywater management and tritium control in the CANDU reactor environment. In addition, tritium is dispensed under contract to Ontario Power Generation for their customers Class B Radioisotope Laboratories Laboratory Owner / Applicable Document(s) Description Number / Title Rev Date May Molten-Fuel-Moderator-In teraction Laboratory Radiation Growth Laboratory Control/Loop Laboratories Iodine Preparation Laboratory Research & Development B RLP-001, MOLTEN-FUEL-MODERATOR-INTERACTION LABORATORY, BLD. 137 Bldg. 137, Rooms 117 and 119 The laboratory is used for experimentation to determine the dominant mechanism of interaction between ejected molten fuel and the moderator under CANDU accident conditions. Research & Development NRU RLP-001, THE IRRADIATION CREEP AND GROWTH LABORATORY, BUILDING 150, ROOM 201-B, 2ND BASEMENT Jun Bldg. 150, Room 201B The laboratory is used for assembly and disassembly of irradiation growth holders and open monitors, examination of creep specimens and creep insert accessories. Operations NRU RLP-001, CLASS B - RLP FOR CONTROL/LOOP May LABORATORIES, B150, ROOMS 219, 322 & 326. Bldg. 150, Rooms 219, 322 and 326 The laboratories are used for assay of samples from NRU and other test loops for routine analytical chemistry requirements. Programs & Nuclear Oversight B RLP-002, CLASS B IODINE PREPARATION LABORATORY, B226, MAIN FLOOR, ROOM Mar Bldg. 226, Room 113 The Iodine Preparation Laboratory is used for receiving and unpacking of radioactive shipments of Iodine-131, preparing I-131 (as NaI) challenge aerosols which are used to test charcoal filters in-situ, and assembling/disassembling monitoring sample cartridges GDI /09/23

128 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page 8 Laboratory Owner / Description TIMS Sample Preparation Laboratory Gammacell Laboratory Active Wet Chemistry Laboratory Chromatography Laboratory Containment Chemistry Laboratory Research & Development Applicable Document(s) Number / Title Rev Date RLP-ACB-10, CLASS C RLP FOR THE TIMS SAMPLE Aug PREPARATION LABORATORY, BUILDING 107, ROOM 56, FLOOR 1 Bldg. 320, Room 212 TIMS Sample Preparation Laboratory (Replaces work done in Class C Lab in B107, Rm 56, 62 - Physical & General Chemistry Laboratory). Note B RLP-003, Class B Radioisotope Laboratory for TIMS Sample Preparation Laboratory, Building 320, Room 212, Floor 2, is in review and comment. Research & Development B RLP-001, CLASS B RADIOISOTOPE LABORATORY PROTOCOL FOR THE CONTAINMENT CHEMISTRY LABORATORY B320 ROOM 333 AND IODINE-131 TRACER STUDIES IN THE GAMMACELL LABORATORY B320 ROOM Jan Bldg. 320, Room 334 The laboratory is used for irradiation of solutions and solids to determine the effects of radiation on fission product behaviour. Research & Development B RLP-005, CLASS B FOR ACTIVE WET CHEMISTRY LABORATORY, BUILDING 320, FLOOR 3, ROOM Sep Bldg. 320, Room 324 The laboratory is used for handling of radioactive and inactive samples using general wet chemistry procedures. Research & Development B RLP-002, CLASS B RADIOISOTOPE LABORATORY PROTOCOL FOR THE CHROMATOGRAPHY LABORATORY; BUILDING 320, FLOOR 3, ROOMS 317, 318/319 AND Nov Bldg. 320, Rooms 317, 318, 319 and 320 The laboratories are used for analysis of radioactive liquid samples using chromatographic techniques. Research & Development B RLP-001, CLASS B RADIOISOTOPE LABORATORY PROTOCOL FOR THE CONTAINMENT CHEMISTRY LABORATORY B320 ROOM 333 AND IODINE-131 TRACER STUDIES IN THE GAMMACELL LABORATORY B320 ROOM Jan Bldg. 320, Room 333 The laboratory is used for studies on the behaviour of radioiodines in the reactor environment. ICP-MS Laboratory Research & Development B RLP-005, CLASS B THE ICP-MS LABORATORY; BUILDING 330, FLOOR 3, ROOMS 316 AND Nov Bldg. 330, Rooms 316 and 318 The laboratories are used for development of chemical and radiochemical procedures for sample analysis using the Inductively Coupled Plasma Mass Spectrometer (ICP-MS) GDI /09/23

129 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page 9 Laboratory Owner / Description Radiochemistry Laboratories Radiochemistry Laboratory Neutron Activation Analysis (NAA) and Radiochemistry Laboratory Research & Development Applicable Document(s) Number / Title Rev Date B RLP-002, CLASS B RADIOCHEMICAL ANALYSIS Sept LABORATORY; BUILDING 330, FLOOR 3, ROOM 325 AND 328 Bldg. 330, Rooms 325 and 328 The laboratories are used for development of radiochemical procedures for sample preparation and analysis, and for preparation of Radionuclide Metrology Standard Sources. Research & Development B RLP-001, RADIOCHEMICAL ANALYSIS LABORATORY, BUILDING 330,FLOOR 3, ROOM Nov Bldg. 330, Room 326 The laboratory is used for development and application of chemical and radiochemical methods and procedures for sample preparation and analysis. Research & Development B RLP-004, CLASS B RADIOISOTOPE LABORATORY PROTOCOL FOR NAA LABORATORY BUILDING 330, ROOM 321, FLOOR Jul Bldg. 330, Room 321 The laboratory is used for Routine sample preparation and radiochemical analysis of samples. Hydrogen and Deuterium Analysis Laboratories SIMS and Radioactive Specimen Preparation Laboratories Coulometric Titration Laboratory Advanced CANDU Fuel Development Laboratories Research & Development B RLP-006, CLASS B THE HYDROGEN AND DEUTERIUM ANALYSIS LABORATORIES; BUILDING 330, FLOOR 3, ROOM 326A AND May Bldg. 330, Rooms 326A and 327 The laboratories are used for analysis of hydrogen and deuterium in zirconium alloy samples by Hot Vacuum Extraction Mass Spectrometry. Research & Development B RLP-002, CLASS B FOR THE SIMS, SEM AND RADIOACTIVE SPECIMEN PREPARATION LABORATORIES; BUILDING 375, FLOOR 1, ROOMS 157, 159 & Sep Bldg. 375, Rooms 153, 157, 157A, 159 and 161 The laboratories are used for surface and near-surface characterization of solid materials by Secondary Ion Mass Spectrometry (SIMS). Research & Development B RLP-001, CLASS B RADIOISOTOPE LABORATORY PROTOCOL FOR COULOMETRIC TITRATION LABORATORY, BUILDING 375, ROOM Feb Bldg. 375, Rooms 253, 257 and 257A The laboratories are used for coulometric titration of irradiated and non-irradiated UO2 samples. Research & Development B RLP-002, CLASS B RADIOISOTOPE LABORATORY PROTOCOL CERAMICS LABORATORY, BLD. 375, LAB 43 Bldg. 375, Room 43 The laboratory is used for experimental powder and pellet fuel fabrication Jan GDI /09/23

130 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page 10 Laboratory Owner / Applicable Document(s) Description Number / Title Rev Date Jul Research Reactor Fuel Development Laboratories Imaging-XPS Laboratory Advanced CANDU Fuel Development Laboratories, B375 Rm Research & Development B RLP-003, RADIOISOTOPE LABORATORY PROTOCOL FOR RESEARCH REACTOR FUEL DEVELOPMENT LABORATORIES Bldg. 375, Rooms 38, 40, 50 and 162 The laboratories are used for powder metallurgy process development. Research & Development B RLP-001, CLASS B RADIOISOTOPE LABORATORY PROTOCOL FOR THE IMAGING-XPS LABORATORY: BUILDING 375, FLOOR 1, ROOM Oct Bldg. 375, Room 160 The laboratory is used for surface characterization of solid materials by X-ray photoelectron spectroscopy (XPS), scanning Auger microscopy (SAM), and scanning electron microscopy (SEM). Research & Development B RLP-001, CLASS B RADIOISOTOPE LABORATORY PROTOCOL - ADVANCED CANDU FUEL DEVELOPMENT LABORATORIES BLDG. 375, FLOOR 2, ROOMS Aug Bldg. 375, Rooms 258 and The laboratories are used for experimental powder and pellet fuel fabrication. Waste Processing Technology Development Laboratory Research & Development B RLP-001, WASTE PROCESSING TECHNOLOGY DEVELOPMENT LABORATORY, BUILDING May Bldg 467, Rooms 101, 102, 106, 106A and 110 The laboratories are used for development of technologies to remove contaminants from environmental and waste oil samples Class C Radioisotope Laboratories Laboratory Owner / Applicable Document(s) Description Number / Title Rev Date H3 Loop Research & Development B RLP-001, B250, R111,111A, H3 LOOP D1 Rev. D1 is in review and comment Bldg. 250, Rooms 111 and 111A The laboratories are used for experimentation using radioactive tracers in H3 Loop GDI /09/23

131 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page 11 Laboratory Owner / Description Corrosion and Activity Transports Tests Activity Transport Loop Facility CAN-DECON Decontamination Test Loops Coupons for Corrosion Test Research & Development Applicable Document(s) Number / Title Rev Date B RLP-001, CLASS C RADIOISOTOPE LABORATORY Apr PROTOCOL FOR BUILDING 250, ROOM 210, FLOOR 2: CORROSION AND ACTIVITY TRANSPORT Bldg. 250, Room 210 The laboratory is used for handling of radioactive samples produced during activity transport and corrosion experiments. Handling of reactor artifacts. Research & Development B RLP-001, CLASS C RADIOISOTOPE LABORATORY PROTOCOL FOR HEAT EXCHANGER TECHNOLOGY BRANCH LABORATORY 112, BUILDING 250, ROOM 112, FLOOR 1 D Jun Bldg. 250, Rooms 213 and 215 The laboratories are used for transport loop testing and analysis of loop samples; Inside surfaces of loop piping and components; Wire mesh (H5 Loop source CR-233), metal coupons, and reactor artefacts. Research & Development B RLP-004, RADIOLOGICAL LABORATORY PROTOCOL FOR CLASS C LAB B250 ROOM 221 DECONTAMINATION TEST LOOPS May Bldg. 250, Room 221 The laboratory is used for preparation of radioactive decontamination reactor-artefact coupons used in decontamination tests in CAN-DECON Test Loops. Research & Development B RLP-004, RADIOLOGICAL LABORATORY PROTOCOL FOR CLASS C LAB B250 ROOM 110 CORROSION COUPONS LAB May Bldg. 250, Room 110 The laboratory is used for preparation of coupons for use in decontamination experiments. Chemical Cleaning Laboratory Geochemistry Laboratory Heat Exchanger Technology Branch Laboratory Research & Development B RLP-003, RADIOLOGICAL LAB PROTOCOL FOR B250 ROOM 415/417 CHEMICAL CLEANING LABORATORY May Bldg. 250, Rooms 415 and 417 The laboratories are used for analysis of iron-removal cleaning solvents and their effects on corrosion coupons. Research & Development B RLP-001, CLASS C RADIOISOTOPE LABORATORY PROTOCOL FOR B250 ROOM 116 WASTE PROCESSING TECHNOLOGY Aug B250, Room 116 The laboratory is used for processing, preparation and analysis of environmental samples using gamma spectroscopy, gas chromatography, reverse osmosis and micro-filtration. Research & Development B RLP-001, CLASS C RADIOISOTOPE LABORATORY PROTOCOL FOR HEAT EXCHANGER TECHNOLOGY BRANCH LABORATORY 112, BUILDING 250, ROOM 112, FLOOR 1 D Jun GDI /09/23

132 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page 12 Laboratory Owner / Description Shipping & Receiving Room/Laboratory Applicable Document(s) Number / Title Rev Date Bldg. 250, Room 112 The laboratory is used for preparation and analysis of samples from the low temperature fouling loop and the H-3 loop using wet chemistry techniques. Research & Development RLP-HXP-01,BUILDING 250 RADIOACTIVE MATERIAL SHIPPING AND RECEIVING ROOM Aug Bldg. 250, Room 114 The laboratory is used for shipping and receiving of active samples to and from B250. Fuel Fabrication Development Laboratory Laser Laboratory Solubility Studies Laboratory ICP-AES Laboratory Heat Treatment and Homogenization Laboratory Research & Development B RLP-001, ADVANCED CANDU FUEL DEVELOPMENT LABORATORY, BUILDING 300 LAB Feb Bldg. 300, Room The laboratory is used for the development and testing of fabrication processes, and for fabrication and characterization of prototype fuels in support of Advanced CANDU and other fuel programs. Research & Development B RLP-001, RADIOISOTOPE LABORATORY PROTOCOL FOR BUILDING 300B D1 Rev. D1 in review and comment Bldg. 300, Rooms 133 and 134 The laboratories are used for welding of creep capsules, fuel elements, and other zirconium components. Research & Development B RLP-006, CLASS C RADIOISOTOPE LABORATORY PROTOCOL, BUILDING 320, FLOOR 3, ROOM Aug Bldg. 320, Room 326 The laboratory is used for solubility studies of radioactive and inactive samples using general wet chemistry procedures. Research & Development B RLP-001, RADIOISOTOPE LABORATORY PROTOCOL FOR ICP-AES LABORATORYBUILDING 320, FLOOR 3 ROOMS 309, 309A AND May Bldg. 320, Rooms 309, 309A and 312 The laboratories are used for analysis of radioactive and inactive samples by Inductively Coupled Plasma Atomic Emission Spectrometry (ICP-AES). Research & RWP-002, RADIATION WORK PROCEDURES FOR Dec Development HEAT TREATMENT AND HOMOGENIZATION LABORATORY (ROOMS 117, 118A, 118B, AND 120B OF BUILDING 375) Bldg. 375, Rooms 117, 118A, 118B and 120B The laboratories are used for heat treatment. Metallographic Services Laboratory Research & Development B RLP-002, CLASS C RADIOISOTOPE LABORATORY PROTOCOL FOR METALLOGRAPHIC SERVICES LABORATORY BUILDING 375, ROOM 125/127, FLOOR1 D Mar GDI /09/23

133 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page 13 Laboratory Owner / Description Surface Science Laboratory Fission Product Release Group Laboratory Invertebrate testing and cell tritium effects Laboratory, Applicable Document(s) Number / Title Rev Date Bldg. 375, Rooms 125, 125A, 127 and 127A The laboratories are used for preparation of metallographic samples for optical microscopic examination. Research & Development B RLP-001, B380, ROOMS 114,116,117 AND 120, THE SURFACE SCIENCE LABORATORY Oct Bldg. 380, Rooms 114, 116, 117 and 120 The laboratories are used for scanning auger microscopy and scanning electron microscopy for characterization of corrosion and degradation phenomena of solid materials. Research & Development B RLP-001, RADIOLOGICAL LAB PROTOCOL FOR B469 ROOM 105, 125 AND 126B Jun Bldg. 469, Rooms 105, 125 and 126B The laboratory is used for assembly and testing of experimental equipment used in hot cell tests. Research & Development B RLP-001, B513, ROOM 25 AND 27- INVERTEBRATE TESTING AND CELL TRITIUM EFFECTS Bldg. 513, Rooms 25 and 27 The laboratories are used for invertebrate testing and cellular testing Feb Bioassay Laboratories Environmental Technologies Branch Radiochemistry Laboratory Tritium Monitor/ Technique Development Laboratory Biological Research Facility Laboratory Research & Development B RLP-001, RADIOISOTOPE LABORATORY PROTOCOL FOR BIOASSAY LABORATORIES - R115,219, Dec Bldg. 513, Rooms 115, 219, 219A, 263 and 266 The laboratories are used for chemical analysis of bioassay samples. Research & Development ETB-RLP-03, CLASS C RADIOISOTOPE LABORATORY FOR THE ENVIRONMENTAL TECHNOLOGIES BRANCH RADIOCHEMISTRY LAB, BLDG. 513B, RM Oct Bldg. 513, Room 153 The laboratory is used for preparation and radioanalysis of environmental samples using wet chemical operations. Research & Development B RLP-001, TRITIUM MONITOR/TECHNIQUE DEVELOPMENT LAB, BUILDING 513, ROOM Jun Bldg. 513, Room The laboratory is used primarily for the development and testing of tritium (and other low-energy beta particle/x-ray monitors such as 14 C and 55 Fe), development of new measurement techniques, and routine tritium instrument calibrations. Research & Development B RLP-001, RADIOLOGICAL LABORATORY PROTOCOL FOR CLASS C LAB B524 BIOLOGICAL RESEARCH FACILITY Feb GDI /09/23

134 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page 14 Laboratory Owner / Applicable Document(s) Description Number / Title Rev Date Bldg. 524, Rooms 101, , 177 and 179 The laboratories are used for exposure of animals/animal-derived tissues to carcinogenic, biohazardous and radioactive materials. Pressure Tube Sampling Tool (PTST) Facility Laboratory Research & Development B RLP-001, CLASS C RADIOLOGICAL LABORATORY PROTOCOL FOR B610 REACTOR TOOLING REFURBISHMENT AND CALIBRATION Feb Bldg. 610, Rooms 103, 105 and 121 The laboratories are used for refurbishment and calibration of radioactive pressure tube sampling tubing Permanently Shutdown Facilities Facility Owner / Description NRX Reactor and Fuel Bays D&WM Applicable Document(s) Number / Title Rev Date NRX PLN-002, NRX Reactor Facility Storage With Surveillance Feb Plan PDP-004, Preliminary Decommissioning Plan: NRX Oct Reactor and Building 100 Decommissioning Plan RC-2593, Building 204 A/B Fuel Rod Storage Bays, Chalk River Mar Laboratories: Detailed Decommissioning Plan Pool Test Reactor D&WM PTR , Pool Test Reactor Phase 1 Decommissioning Monitoring, Testing and Surveillance Program 1998 Jul RC-1861, Pool Test Reactor Conceptual Decommissioning Plan Jun Plutonium Recovery Laboratory D&WM B PLN-001, Plutonium Recovery Laboratory (Building 220) Storage With Surveillance Plan RC-2229, The Plutonium Recovery Laboratory, CRL Building 220, Preliminary Decommissioning Plan Apr Apr Plutonium Tower D&WM RC-2392, The Plutonium Tower, CRL Building 223, Preliminary Decommissioning Plan Apr GDI /09/23

135 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page 15 Facility Owner / Applicable Document(s) Description Number / Title Rev Date Waste Water Evaporator D&WM RC-2395, The Waste Water Evaporator CRL Building 228: Preliminary Decommissioning Plan Apr Other Facilities Facility Owner / Applicable Document(s) Description Number / Title Rev Date MAPLE 1 and 2 Reactors Operations OLC-001, MAPLE Reactors Operations Limits and Conditions May MAPLE 1 and MAPLE 2 reactors are is an extended shutdown state. New Processing Facility Operations OLC-001, NPF Operational Limits and Conditions Apr The New Processing Facility (NPF) is in an extended shutdown state. 4.2 Whiteshell Laboratories Nuclear Facilities Facility Owner / Applicable Document(s) Description Number / Title Rev Date D&WM Jul Concrete Canister Storage Facility AECL-FA-22, FACILITY AUTHORIZATION FOR THE OPERATION OF THE CONCRETE CANISTER STORAGE FACILITY AT THE WHITESHELL LABORATORIES The WL Concrete Canister Storage Facility (CCSF), is adjacent to the WL Waste Management Area and has been used at WL since 1975 to store irradiated fuel GDI /09/23

136 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page 16 Facility Owner / Applicable Document(s) Description Number / Title Rev Date D&WM Jul Active-Liquid Waste Treatment Centre AECL-FA-25, FACILITY AUTHORIZATION FOR THE OPERATION OF THE ACTIVE-LIQUID WASTE TREATMENT CENTRE WHITESHELL LABORATORIES. The Active Liquid Waste Treatment Centre (ALWTC) at WL is is housed in Building 200 and routinely receives active liquids from Buildings 100, 300, 411 and occasionally from the Waste Management Area (via tanker truck). Shielded Facilities D&WM AECL-FA-26, FACILITY AUTHORIZATION FOR THE OPERATION OF THE SHIELDED FACILITIES AT THE WHITESHELL LABORATORIES Jul The Shielded Facilities (SF), which includes the Hot Cell Facility (HCF) and the Immobilized Fuel Test Facility (IFTF), is located in the Research & Development Building (Building 300). The HCF provides facilities for remote handling services for decommissioning work involving radioactive material. The IFTF is currently being decommissioned. Waste Management Area D&WM AECL-FA-28, FACILITY AUTHORIZATION FOR THE OPERATION OF THE WASTE MANAGEMENT AREA WHITESHELL LABORATORIES Jul The Waste Management Area (WMA) provides processing and storage facilities for radioactive wastes, including low level wastes (LLW), medium level waste (MLW), high level liquid waste (HLLW) and small volumes of active liquids and hazardous industrial chemicals. These wastes originate from the operation of WL experimental facilities. The WMA continues to accept operational and decommissioning waste GDI /09/23

137 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page Class B Radioisotope Laboratories Location / Site Owner / Applicable Document(s) Description Number / Title Rev Date D&WM Jun Inorganic Preparation Laboratory Inorganic Spectrochemistry Laboratory. Radiochemistry Laboratory WL /RLP For WL Analytical Science Laboratory Complex Bldg. 300, Rooms and The laboratory is used for chemical processing of solid and liquid samples: dilution, digestion, dissolution, filtering, weighing, drying, etc. The physical nature of the material analyzed is quite varied, ranging from aqueous solutions, to vegetation and soil, to waste tank sludges and concrete. D&WM WL /RLP For WL Analytical Science Laboratory Jun Complex Bldg. 300, Rooms and The laboratory is used for instrumental analysis of liquid samples by Flame Atomic Absorption (FAA), Inductively Coupled Plasma Atomic Emission Spectroscopy (ICP), Mercury analysis (Hg), and Ion Chromatography (IC) (as former 2-119/139). The physical nature of materials analyzed is quite varied, ranging from aqueous solutions, through vegetation and soil, to waste tank sludges and concrete. D&WM WL RLP-001/Radioisotope Laboratory Protocol for Class B Oct Radiochemistry Laboratory Bldg. 100, Room The laboratory is primarily used for radiochemical separations and sample preparation for nuclear measurement techniques, such as: alpha spectrometry, gamma spectrometry and liquid scintillation counting. The laboratory receives, handles and performs radiochemical separations and analyses on samples containing low to medium levels of radioactivity. This includes material originating from decommissioning activities and continuing waste management operations. The laboratory also handles environmental monitoring samples that contain too high a level of activity to be safely handled by the WL Environmental Monitoring Section. The physical nature of the material analyzed is quite varied, ranging from aqueous solutions, to vegetation and soil, to waste tank sludge and concrete Class C Radioisotope Laboratories Laboratory Owner / Applicable Document(s) Description Number / Title Rev Date Inorganic Analysis Lab. D&WM WL /RLP For WL Analytical Science Laboratory Complex Jun Bldg. 300, Rooms and The laboratory is used for chemical processing of solid and liquid samples: dissolution, distillation, dilution, digestion, filtering, weighing, drying, etc. The physical nature of the material handled is quite varied, ranging from aqueous solutions, through vegetation and soil, to sediments and sludges, to samples of unknown composition GDI /09/23

138 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page 18 Laboratory Owner / Applicable Document(s) Description Number / Title Rev Date D&WM Jun Organic Preparation and Analysis Lab Environmental Monitoring Lab WL /RLP For WL Analytical Science Laboratory Complex Bldg. 300, Rooms and The laboratory is used for sample preparation and instrumental analysis of solid, liquid, and gaseous samples, using chromatographic techniques including GC, GC/MS, etc.). The physical nature of the material analyzed is quite varied, ranging from aqueous solutions, through soil, to microbiology test broths. Programs & Nuclear Oversight RLP-C&RP-EM-01/ CLASS C Radioisotope Laboratory Protocol Radioisotope Laboratory Apr Bldg. 100, Room The laboratory is used for receiving, handling and performing radioanalysis of environmental level and low-level radioactive samples. Environmental samples are primarily in the form of water, fish or animals, vegetation and soil. Low-level radioactive samples include radioactive standards from stock solutions received from external radionuclide suppliers and small volumes of low-level radioactive waste samples from nuclear operations at WL. The majority of radioactivity handling involves the dilution, preparation and radioanalysis of liquid waste samples originating from the low-level liquid waste holding tanks in the Building 200 Active Liquid Waste Treatment Center. It is the radioactivity of the latter that require the Class C classification Permanently Shutdown Facilities Facility Owner / Applicable Document(s) Description Number / Title Rev Date WR-1 Reactor D&WM RC 1291,The Monitoring and Surveillance Plan for the WR-1 Deferment Period Mar WR-1 Reactor was permanently shutdown in 1985, defuelled, and partially decommissioned. A deferment period was started following the completion of the Phase 1 Decommissioning in During the deferment period, the facility is, and will continue to be, monitored and maintained as defined by the Monitoring and Surveillance Plan for the WR-1 Deferment Period GDI /09/23

139 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page Other Facilities and Laboratories Facility Owner / Applicable Document(s) Description Number / Title Rev Date B402 Gamma Irradiator Programs & Nuclear Oversight DSPWL PRO-013/TLD Calibrator Procedures RadP-WL OI-002/Sheperd Model 181 Gamma Calibration Operation Feb 2007 Sep Bldg. 402, Room B-02. Houses a 20 Ci (740 GBq) Cs-137 Shepherd Model 81 Gamma Calibrator that is used to perform gamma calibrations of TLDs, gamma dose rate meters and personal alarming dosimeters. B412 Radiography Room D&WM RC /Radiography Operating and Emergency Procedures WLD OP-002/100 Curie Cobalt-60 Source Projector Safe Operating and Emergency Procedure Nov 2010 May Bldg. 412, Room The room is used to perform radiography on components using a 100 Ci (3.7 TBq) Ir-192 exposure device. Used to store the Ir-192 device when not in use. Also used to store a Sentinel/QSA Global Inc. Model 680B-OP Projector with 100 Ci (3.7 TBq) Cobalt-60 ( 60 Co) source assembly Model Number A being used for gamma axial density profiling of the WL-WMA standpipes. Both exposure devices are operated by AECL-WL qualified radiographers. RD-14M Loop Neutron Scatterometer The Environmental Monitoring/ASB Joint Radiochemical Counting Lab Radiation Work Procedure Research & Development RD-14M Heated Channel Neutron Scatterometer system Description and Operation Mar Bldg. 300, RD-14M Facility - Measures transient void fraction measurements in an RD-14M heated section under simulated LOCA conditions. Programs & Nuclear Oversight / D&WM RWP-B100 R658/WL Environmental Monitoriing/Analytical Science Counting Lab Radiation Work Procedure Apr Bldg. 100, Room The laboratory is used for receiving, handling and performing radioanalysis of environmental level and low-level radioactive samples. Environmental samples are primarily in the form of water, fish or animals, vegetation and soil. Low-level radioactive samples include radioactive standards from stock solutions received from external radionuclide suppliers and small volumes of low level radioactive waste samples from nuclear operations at WL. Low-level radioactive swipes and samples are also counting for site RP staff. The Analytical Science Branch receives, handles and performs radioanalysis of radioactive samples in various forms such as mixed radioactive tank waste, sludges, radioactive tracer test solutions, contaminated soils, sediments, filters and swipes. The only handling of radioactivity in this laboratory involves loading of samples for radiochemical counting GDI /09/23

140 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page 20 Facility Owner / Applicable Document(s) Description Number / Title Rev Date RadP-WL OI-001/Radiation Source Handling Sep Radiation and Industrial Safety Instrumentation Shop Programs & Nuclear Oversight Bldg. 100, Room The shop is used for calibrating and maintaining radiation protection and industrial hygiene survey and monitoring equipment used in the field by WL radiation and industrial safety staff and authorized WL personnel. WL XRD Laboratory D&WM EB&AB /Whiteshell Laboratory X-Ray Diffraction Laboratory Oct Radiation Safety Manual Bldg. 300, Room B A rotaflex RU-200 X-ray Diffraction (XRD) Unit manufactured by Rigaku is operated in the XRD Laboratory. The XRD Unit is a highly specialized analytical unit that utilizes analytical X-rays to determine chemical composition and crystal structure of materials. XRD analyses are performed on various materials required by site researchers and commercial customers. WL Laundry and Decontamination ` Programs & Nuclear Oversight RADP-WL OI-002, DECONTAMINATION CENTRE - DECONTAMINATION SECTION Apr Bldg 411 This facility is used for performing decontamination of articles in a controlled environment using various techniques GDI /09/23

141 Information Use AECL - OFFICIAL USE ONLY GDI-002 Page REFERENCES [1] MAN-001, Management System Manual. [2] GDI-001, Management System Governing Documentation Index. [3] , Management System Contact and Responsibility List GDI /09/23

142 Revision History Liste de révisions CW FM-168 AECL - OFFICIAL USE ONLY À USAGE EXCLUSIF - EACL Page 1 of / de 1 Ref. Procedure CW PRO-161 Document No. / Numéro de document: GDI 002 Document Details / Détails sur le document Title Titre Doc. Collection ID ID de la collection de doc. SI Répertoire du sujet Section Total no. of pages N bre total de pages SITES AND FACILITIES GOVERNING DOCUMENTATION INDEX 23 Serial No. N o de série For Release Information, refer to the Document Transmittal Sheet accompanying this document. / Pour des renseignements portant sur la diffusion, consultez la feuille de transmission de documents ci-jointe. Revision History / Liste de révisions No./N o Revision / Révision Date (yyyy/mm/dd) Details of Rev. / Détails de la rév. Prepared/Revised by Rédigé/Examiné par Reviewed by Examiné par Approved by Approuvé par D1 2010/07/13 Issued for Review and Comment. R.G. Lavoie H. Andersen (for B. Sanderson) D. Lemire J.L. Grenier T. Arthur S. Lawton C. Van Drunen S. Beauchamp K. Smith C. Clavel /09/23 Issued as Approved for Use. R.G. Lavoie C. Van Drunen R. Lesco dsfpdfscs GDI /09/23

143 Manual MANAGEMENT SYSTEM MAN-001 Revision 0 Prepared by Rédigé par Beauchamp Stephen - Section Head, Engineering Programs & Reviewed by Standards Vérifié par Cox David S - Director - Safety Van Drunen Christina - Manager, Engineering & Licensing Engineering Programs & Approved by Standards Approuvé par Kupferschmidt William C(Bill) Delegated SVP, Research & Technology Operations 2010/09/23 AECL - OFFICIAL USE ONLY Atomic Energy of Canada Limited 2251 Speakman Drive Mississauga, Ontario Canada L5K 1B2 2010/09/23 À L'USAGE EXCLUSIF D'EACL Énergie Atomique du Canada Limitée 2251 rue Speakman Mississauga (Ontario) Canada L5K 1B2

144 Manual Management System Research & Technology Operations MAN-001 Revision September AECL - OFFICIAL USE ONLY This document and the information contained in it is the property of Atomic Energy of Canada Limited (AECL). No use, disclosure, exploitation or transfer of any information contained herein is permitted in the absence of an agreement with AECL, and the document may not be released without the written consent of AECL. Atomic Energy of Canada Limited septembre 2010 À USAGE EXCLUSIF - EACL Le présent document et l information qu il contient sont la propriété d Énergie atomique du Canada limitée (EACL). Le présent document ne peut être transmis sans l autorisation écrite d EACL et les renseignements qu il contient ne peuvent être utilisés, ni divulgués, ni exploités ni communiqués sans entente à cet effet avec EACL. Énergie atomique du Canada limitée MAN /09/23

145 Revision History Liste de révisions AECL - OFFICIAL USE ONLY À USAGE EXCLUSIF - EACL Page 1 of /de 1 CW FM-168 Document Details / Détails sur le document Title Titre Ref. Procedure CW PRO-161 Document No. / Numéro de document: MAN 001 Doc. Collection ID ID de la collection de doc. SI Répertoire du sujet Section Total no. of pages N bre total de pages Management System 64 Serial No. N o de série For Release Information, refer to the Document Transmittal Sheet accompanying this document. / Pour des renseignements portant sur la diffusion, consultez la feuille de transmission de documents ci-jointe. Revision History / Liste de révisions Revision / Révision No./N o Date (yyyy/mm/dd) Details of Rev. / Détails de la rév. Prepared by Rédigé par Reviewed by Examiné par D1 2010/07/30 Issued for Review and Comment. R.G. Lavoie H. Andersen (for B. Sanderson) D. Lemire B. Zadarko J.L. Grenier T. Arthur S. Lawton C. Van Drunen S. Beauchamp K. Smith C. Clavel /09/23 Issued as Approved for Use. R.G. Lavoie C. Van Drunen R. Lesco Approved by Approuvé par W. Kupferschmidt dsfpdfscs MAN /09/23

146 TABLE OF CONTENTS AECL - OFFICIAL USE ONLY MAN-001 Page i SECTION PAGE 1. INTRODUCTION Scope Purpose Definitions MANAGEMENT COMMITMENT SAFETY Safety Culture Safety Principles Safety Management Philosophy Basis of Safety Operational Safety MANAGEMENT PRINCIPLES Quality Management Principles Management System Principles The Business is Defined, Planned, and Controlled The Organization is Defined and Understood Personnel are Competent at the Work They Do Personnel Know What is Expected of Them Work is Planned Experience is Sought, Shared and Used Information is Provided in Time to the People Who Need It The Performance of Work is Controlled The Preparation and Distribution of Documents are Controlled Work Is Verified to Confirm that it is Correct Problems are Identified and Resolved Changes are Controlled Records are Maintained Assessments are Performed ORGANIZATION OVERVIEW Description Vision and Mission Statement Management Model Business Planning Performance Management and Reporting Partners, Customers and other Stakeholders MAN /09/23

147 TABLE OF CONTENTS AECL - OFFICIAL USE ONLY MAN-001 Page ii SECTION PAGE Research and Development Partners and Customers Emergency Preparedness Partners World Association of Nuclear Operators (WANO) and Institute of Nuclear Power Operations (INPO) Other Customers Other Partners and Stakeholders NUCLEAR OPERATIONS General Class I and Class II Facilities Radioisotope Laboratories RESPONSIBILITIES AND ORGANIZATION Organization Structure Nuclear Leadership Team (NLT) Senior Vice-President Vice-President and General Manager, Operations and Chief Nuclear Officer General Manager, Isotope Supply Reliability Program Vice-President and General Manager, Decommissioning and Waste Management Vice-President and General Manager, Research & Development Principal Scientist Vice-President, Commercial General Manager, Finance and Business Services General Manager, Programs and Nuclear Oversight, and Chief Regulatory Officer General Manager, Engineering and Chief Nuclear Engineer RTO General Counsel Manager, Human Resources General Responsibilities Vice-Presidents and General Managers Management Employees Site Licence Holders Process and Program Management Facility Management Senior Quality Representatives and Supporting Staff Committees Operational Safety Oversight Committee (OSOC) Performance Oversight Committee (POC) MAN /09/23

148 TABLE OF CONTENTS AECL - OFFICIAL USE ONLY MAN-001 Page iii SECTION PAGE Business Operations Strategy (BOS) Committee Project Performance Oversight Committee (PPOC) ImpAct Review Board (IRB) Health, Safety, Security and Environment Business Performance Council (HSSE BPC) Environmental Panel (EP) Site Safety and Health Committees Nuclear Performance Assurance Review Board (NPARB) Safety Review Committee (SRC) BUSINESS PROCESS Graded Approach in Processes Compliance with Requirements GOVERNING DOCUMENTATION General Level 1, Corporate Plan and Management System Manuals Levels 2, 3 and Planning Documents Process Documents Records Local Governing Documentation Operating Nuclear Facilities Radioisotope Laboratories Departments MEASUREMENT, ASSESSMENT AND IMPROVEMENT Measurements Event Free Day Reset Scorecard Measures Assessments Self-Assessments Audits Program and Process Reviews External Assessments Other Assessments and Management Oversight Improvements REFERENCES MAN /09/23

149 TABLE OF CONTENTS AECL - OFFICIAL USE ONLY MAN-001 Page iv SECTION PAGE FIGURES Figure 1-1 Management System Documentation Figure 1-2 Management System Elements Figure 5-1 Overview of RTO in Management Plan Figure 7-1 Organization Structure Figure 8-1 Business Process Model Figure 9-1 Management System Governing Documentation Hierarchy APPENDICES Appendix A Principles...A-1 A.1 Safety Principles...A-1 A.2 Quality Management Principles...A-2 A.3 Customer Focus...A-2 A.4 Leadership...A-2 A.5 Involvement of People...A-3 A.6 Process Approach...A-3 A.7 System Approach to Management...A-3 A.8 Continual Improvement...A-4 A.9 Factual Approach to Decision Making...A-4 A.10 Mutually Beneficial Supplier Relationships...A-4 Appendix B Business Processes...B-1 B.1 Process , Understand Markets and Customers...B-1 B.2 Process , Define Vision, Strategy and Corporate Plan...B-1 B.3 Process , Develop and Design Products, Services or Projects...B-2 B.4 Process , Market and Sell Products and Services...B-2 B.5 Process , Produce, Build, Modify and Deliver Products, Services or Projects...B-2 B.5.1 Process , Perform Procurement and Materials Management...B-3 B.5.2 Process , Manage Construction and Installation...B-3 B.5.3 Process , Manage Commissioning and Testing...B-3 B.6 Process , Provide After-Sales Customer Support...B-3 B.7 Process , Develop and Maintain Nuclear Technology...B-4 B.8 Process , Manage Facilities, Nuclear Laboratories, Materials and associated Liabilities...B-4 B.8.1 Process , Provide Design and Engineering...B-5 B.8.2 Process , Operate Facilities...B-5 B.8.3 Process , Provide Maintenance...B-5 B.8.4 Process , Decommission Sites and Facilities...B-5 B.8.5 Process , Manage Nuclear Materials and Safeguards...B MAN /09/23

150 AECL - OFFICIAL USE ONLY MAN-001 Page v TABLE OF CONTENTS SECTION PAGE B.8.6 Process , Manage Transportation of Radioactive Materials...B-6 B.8.7 Process , Provide Nuclear Criticality Safety Control...B-6 B.8.8 Process , Manage Wastes...B-6 B.8.9 Process , Provide Physical Security...B-6 B.8.10 Process , Provide Fire Protection...B-7 B.8.11 Process , Provide Emergency Preparedness...B-7 B.8.12 Process , Provide Radiation Protection...B-7 B.8.13 Process , Provide Operating Experience...B-7 B.8.14 Process , Provide Licensing Services...B-7 B.8.15 Process , Provide Safety Analysis and Operational Safety Assessment...B-8 B.9 Process , Manage Environmental Protection...B-8 B.9.1 Process , Provide Environmental Protection Program...B-8 B.10 Process , Develop and Manage Human Resources...B-8 B.10.1 Process , Manage Staffing...B-9 B.10.2 Process , Train and Develop Employees...B-9 B.10.3 Process , Ensure Employee Safety and Well-being...B-9 B.10.4 Process , Manage Employee Communications...B-9 B.11 Process , Manage Information and Associated Technology...B-9 B.11.1 Process , Manage Information Assets...B-10 B.12 Process , Manage Financial Resources...B-10 B.13 Process , Manage External Relationships...B-10 B.13.1 Process , Manage Community Relationships...B-11 B.13.2 Process , Manage External Communications...B-11 B.14 Process , Improve Organizational Performance and Manage Change...B-11 B.14.1 Process , Safety Culture, and Process , Human Performance...B-12 B.14.2 Process , Maintain and Improve Overall Management System...B-12 B.14.3 Process , Prescribe Quality Requirements and Improve Business Processes...B-12 B.14.4 Process , Ensure Compliance with Requirements...B MAN /09/23

151 AECL - OFFICIAL USE ONLY MAN-001 Page INTRODUCTION 1.1 Scope This document describes the management system in place for the Research and Technology Operations (RTO) division of Atomic Energy of Canada Limited (AECL). The management system governs the activities carried out in support of business, scientific, engineering, technical, operational, liability and compliance management, and applies at all locations managed by the organization. The document includes the following: Management commitment, described in Section 2; Safety culture and safety management, described in Section 3; Management principles, described in Section 4; Organization overview, described in Section 5; Nuclear operations, described in Section 6; Responsibilities and organization, described in Section 7; Business process and supporting programs, described in Section 8; Governing documentation structure, described in Section 9; and Measurement, assessment and improvement activities, described in Section 10. The document supplements the AECL Management Manual (AMM) [1], which describes AECL, its overall management system, policies and associated responsibilities, primarily at the executive level. This document includes information from the AMM where deemed necessary to describe the management system for RTO. NOTE: When the Commercial Operations division of AECL is separated from the Nuclear Laboratories (RTO) division, the AMM and this document will be consolidated and updated as required. This document has the following supporting documents: A Governing Documents Index (GDI) document listing external requirements, company policies and manuals, and governing documents to support business processes issued for general use within the organization [2]; A GDI document listing the main governing documents for sites and facilities managed and operated by RTO [3]; and A Contact and Responsibility List listing the names of individuals responsible for the departments, facilities, laboratories and supporting processes and programs [4]. Figure 1-1 provides the relationship between this document and the four documents referenced above MAN /09/23

152 AECL - OFFICIAL USE ONLY MAN-001 Page 1-2 AECL Management Manual [1] Describe Management System RTO Management System Manual GDI-001 [2] External and Internal Governing Documents GDI-002 [3] Sites, Facilities and Laboratories Governing Documents Contact and Responsibility List [4] Supporting Documents Licenses, permits standards, regulations, process & program documents, planning documents Site, facility and laboratory specific governing documents Senior management and contacts for committees, process & programs, facilities, laboratories, projects Figure 1-1 Management System Documentation If there are conflicts or inconsistencies between this document and its supporting GDIs and provisions in the AMM [1], or any of the QA Manuals previously issued to support CAN/CSA N286 series of standards (N286.0 through N286.6), seek clarification from the General Manager, Engineering or his/her designate on management system matters. 1.2 Purpose The primary objective of the management system is to manage the set of interrelated or interacting system elements for establishing policies and objectives and enabling the objectives to be achieved in an efficient and effective way. The management system integrates all elements of the organization into one coherent system to enable all of the organization s objectives to be achieved. These elements include the structure, resources and processes. The management system integrates safety, health, environmental, security, quality, economic and other elements required to ensure the protection of people, the environment, and company assets. It is also to manage and improve business processes used to integrate common requirements, and to satisfy the requirements of stakeholders and applicable regulations and management system MAN /09/23

153 AECL - OFFICIAL USE ONLY MAN-001 Page 1-3 standards, including CAN/CSA-ISO 9001:08 (ISO 9001:2008) Quality management systems Requirements [5] and ISO 9000:2005, Quality management systems Fundamentals and vocabulary. Progression towards implementation of an Integrated Management System (IMS) is needed to support AECL s application to the Canadian Nuclear Safety Commission (CNSC) for a licence renewal for the Chalk River Laboratories (CRL) in November Hence, the management system defined herein is also designed to meet the requirements of CSA N286-05, Management system requirements for nuclear power plants [6], which replaces CSA N286.0 and the associated CSA Standards N286.1 through N286.6, and will further evolve to an IMS. Reference [2] includes appendices with cross-reference tables showing the processes in place to meet requirements of N and other applicable management system standards. The Senior Vice-President is responsible for the overall implementation and continuous improvement of the management system, while: The site licence holders are responsible for the implementation of the management system at their respective site, as described in Section 7.3.4; and The General Manager, Engineering is responsible for the development and maintenance of the management system documentation. Figure 1-2 provides an overall view of the management system elements described herein. It includes references to sections in the AMM, sections in this manual, and sections in the GDI document. 1.3 Definitions Except where otherwise defined, this document relies on word meanings as found in common dictionaries. For terms and abbreviations refer to the individual documents listed in the GDIs (References [3] and [4]) or the Acronyms, Abbreviations, and Definitions of Terms web site on myaecl ( MAN /09/23

154 AECL - OFFICIAL USE ONLY MAN-001 Page 1-4 Our Mandate - Customer & Stakeholders [AMM Section 2.2 and 2.5] Our Safety Culture and Safety Management MSM Section 3 Our Management Principles MSM Section 4 Our Policies AMM Section 2.4 Our Vision & Mission Statement MSM Section 5.2 Where We Work AMM Section 2.7 Isotope Production Our Three Core Missions Research Development & Innovation MSM Section 5.3 Environmental Management Nuclear Operations MSM Section 6 What We Comply With MSM Section 8.2 & GDI Section 4.1 How We Are Organized AMM Section 3 MSM Section 7 What We Do MSM Section 5 How We Work - Our Business Processes MSM Section 8 & GDI Sections 4.2 and 4.3 Our Documentation Framework MSM Section 9 How We Improve - Measurements and Assessments MSM Section 10 Legend: AMM = AECL Management Manual (CW MAN-002 Rev. 2) MSM = Management System Manual ( MAN-001 ) GDI = Governing Documentation Index document ( GDI-001 ) Figure 1-2 Management System Elements MAN /09/23

155 AECL - OFFICIAL USE ONLY MAN-OOl Page MANAGEMENTCO~TMENT As the leadership team for RTO we are committed to the development, implementation and continuous improvement of the management system described in this manual; and will seek the same commitment of our staff. We comply with the organization's policies while continuously improving the underlying processes to support our operation. We also accept our respective responsibilities listed herein. Earnest (Hank) Drumhiller Vice-President & General Manager, Operations and Chief Nuclear Officer Date Richard Didsbury (Actin ) Vice-President & General Manager, Research and Development 2010 S "' (J1-2~ Date I \ "7""- / (12-,<: 1 ~u;.<:.,jm:..l...l..j.lkrj.=-=p...c.i.l:u:::l...loo.c, Joan Miller Vice-President & General Manager, Waste Management and Decommissioning ~ fl~'t. 201 lc General Manager, En. eering and Chief Nuclear' I eer 2)0/0 $:pl;( if Date Date lt y- Andrew White General Manager, Programs and Nuclear Oversight and Chief Regulatory Officer ~~ ~ Steven Halpenny General Manager, Finance and Business Services J.0\O ~ J.;).. Date Date Richard Cote / Vice-President, 06mmercial. ~ }era sh~ ixd-- Manager, Human Resources : JCio 5:ephd3 Date ~~~~~~~~_ 2~/ J ~43 ~l~~~-- - Stephen Bushby General Manager, Isoto e Reliability Program Date Doug McImyre RTO General Cou ~? t L.'-I( 2c ( () Date ~~ ' :::. '. :C--..!./I.!,; ',~~~=~~_ ~C>/ i>4"" l'.<s Date 14.'i MAN OOl 2010/(~JIlr.

156 AECL - OFFICIAL USE ONLY MAN-001 Page SAFETY 3.1 Safety Culture RTO is committed to building a strong safety culture and working towards an event free work environment. A human performance program (See Process , Human Performance, described in Appendix B, Section B.14.1) has been developed to provide tools and best practices to reduce human error and thereby reduce events. The ultimate goal is to reduce the likelihood of error and to create defences that will prevent the remaining errors from causing events. The successful implementation of this program will increase situational awareness throughout the organization and decrease human error. This will result in positive control of work and enhanced safety for employees, the general public, the work site, and the environment. The human performance program activities are integrated with, and support, other safety-related programs to ensure safety risk is controlled to as low as reasonably achievable. Externally, the experience with the program is shared with our nuclear partners to further improve human performance best practices across the industry Safety Principles RTO has adopted the safety principles defined by WANO GL , Principles for a Strong Nuclear Safety Culture [7]. The principles describe the essential attributes of a healthy safety culture, with the goal of creating a framework for open discussion and continuing evolution of safety culture throughout the nuclear industry. These principles influence the assumptions, experiences, behaviours, beliefs, and norms used by the organization in defining the work to be done at a specific facility and how it is to be done. Managers and staff are expected to compare these principles with their day-to-day activities and practices and to use any differences as a basis for improvement. The eight principles, listed below, are explained in Appendix A, Section A.1, while their attributes are covered in [7]. 1. Everyone is personally responsible for nuclear safety. 2. Leaders demonstrate commitment to safety. 3. Trust permeates the organization. 4. Decision-making reflects safety first. 5. Nuclear technology is recognized as special and unique. 6. A questioning attitude is cultivated. 7. Organizational learning is embraced. 8. Nuclear safety undergoes constant examination MAN /09/23

157 AECL - OFFICIAL USE ONLY MAN-001 Page Safety Management Philosophy RTO is a complex organization that undertakes a wide variety of work. In carrying out this work, safety is put as the highest priority. In establishing this priority, it is recognized that safety in the organization covers a broad range of areas where the health and well-being of workers or visitors as well as that of the wider general public and/or the environment could be threatened. The general approach taken is to ensure that RTO sites and facilities are safe by design and that they are safe during all stages of operation it is important to recognize, that any aspect of site operation can have consequences in other areas of the site that must be understood and effectively managed; this is especially the case for critical elements of site infra-structure Basis of Safety In the context of the development, production and use of nuclear energy and the production, possession and use of nuclear substances, prescribed equipment, and prescribed information, safe means the prevention of unreasonable risk to the environment and to the health and safety of persons, associated with that development, production, possession, or use Operational Safety Safe operation is achieved by following a number of key programs and processes each with a focus on a specific safety area. They include the following processes 1 : , Manage Nuclear Materials and Safeguards, described in Section B.8.5; , Manage Transportation of Radioactive Materials, described in Section B.8.6; , Provide Nuclear Criticality Safety Control, described in Section B.8.7; , Manage Waste, described in Section B.8.8; , Provide Physical Security, described in Section B.8.9; , Provide Fire Protection, described in Section B.8.10; , Provide Emergency Preparedness, described in Section B.8.11; , Provide Radiation Protection, described in Section B.8.12; , Provide Operating Experience, described in Section B.8.13; , Provide Safety Analysis and Operational Safety Assessment, described in Section B.8.15; , Manage Environmental Protection, described in Section B.9; and , Ensure Employee Safety and Well-being, described in Section B Business process is described in Section 8, and process overview descriptions are covered in Appendix B MAN /09/23

158 AECL - OFFICIAL USE ONLY MAN-001 Page 3-3 Other supporting processes such as maintenance and work planning are carried out within the overall safe operating envelope at the sites. In addition to program-specific measures, monitoring of safety performance in the operational area is achieved through the concept of events and the associated record of Event Free Days, described in Section , Event Free Day Reset MAN /09/23

159 AECL - OFFICIAL USE ONLY MAN-001 Page MANAGEMENT PRINCIPLES 4.1 Quality Management Principles Quality management principles are those defined under ISO 9000 Quality Systems standard, and cover the following: Customer Focus; Leadership; Involvement of People; Process Approach; System Approach to Management; Continual Improvement; Factual Approach to Decision Making; and Mutually Beneficial Supplier Relationships. These principles are further described in Appendix A, Section A Management System Principles Management system principles are those defined under CSA N [6]. These principles together with the required supporting actions, and the documentation that describes them support the management system The Business is Defined, Planned, and Controlled This principle applies to all aspects of the business and is fundamental to the achievement of required results at the planning level. It covers the company s core missions (defined in Section 5.3) and associated financial objectives, customers, strategic actions and enablers. This principle is primarily addressed by Process , Define Vision, Strategy and Corporate Plan, described in Appendix B, Section B The Organization is Defined and Understood This principle is covered as part of the management system. The Management System Manual (this document) and the AMM [1] define the organizational roles and responsibilities at executive and senior management levels. Other governing documents, including facility authorization documents, overview documents and plans cover detailed responsibilities and interfaces. This principle is primarily addressed by Process , Maintain and Improve Overall Management System, described in Appendix B, Section B MAN /09/23

160 AECL - OFFICIAL USE ONLY MAN-001 Page Personnel are Competent at the Work They Do This principle applies to all employees and is addressed through a defined hiring process, clear definition of responsibilities and accountabilities, and training programs. Where required, the training uses a systematic approach and is developed by those who understand the work. This principle is primarily addressed by Processes , Manage Staffing, and Train and Develop Employees, described in Appendix B, Sections B.10.1 and B.10.2 respectively Personnel Know What is Expected of Them Individuals know what is expected of them and how well they performed against expectation via a number of channels, including job descriptions, internal communication, procedures, training, pre-job and post-job briefings, and performance reviews. This principle is addressed by numerous business processes, including Processes , Manage Staffing; , Train and Develop Employees; , Manage Employee Communications; and Human Performance, described in Appendix B, Sections B.10.1, B.10.2, B.10.4 and B.14.1 respectively Work is Planned This principle applies to all work. Its application varies with the risks associated with the work and is achieved through various planning methodologies from long term activities to shop floor work executions defined in work requests. This principle is addressed by most business processes, activities and systems such as: corporate and operational planning, work requests and authorization, work packages and work management. The main process covering this principle is Process , Work Management Experience is Sought, Shared and Used This principle covers all processes and is addressed from operating experience within AECL and from the industry. An event reporting system called ImpAct (Improvement Action) is used to capture issues, unplanned events, internal and external lessons learned and supporting actions. Management at all levels are involved in reviewing captured information and ensuring staff are informed. Other means of sharing information include discussions at staff meetings and myaecl (the company s Intranet). This principle is primarily addressed by Process , Provide Operating Experience, described in Appendix B, Section B Information is Provided in Time to the People Who Need It Information is needed and used for every process and exists in visible and audible forms. Ensuring that people who need information get it is accomplished through various means, including procedures and work instructions; signage such as warnings; drawings; plans; and various information systems accessed through computers MAN /09/23

161 AECL - OFFICIAL USE ONLY MAN-001 Page 4-3 The information for defined activities is usually defined in governing documents such as procedures and work plans and is also discussed in pre-job briefings. This principle is addressed by all business processes, in particular their supporting procedural documents. The primary one that ensures information is managed is Process , Manage Information and Associated Technology, described in Appendix B, Section B The Performance of Work is Controlled Work control is addressed through procedures and plans covering the various stages of controls: initiation, planning and scheduling, execution and close out. The performance of work is controlled when the person doing the work has been authorized to do so, is competent in the work being performed, trained and uses the right procedure and methodology. Performance is also assured by implementing third-party review and monitoring, in areas such as radiation protection via radiation surveyors, and in quality via quality control inspectors. This principle is addressed by most processes The Preparation and Distribution of Documents are Controlled This principle covers documents to support most processes where unique identification of documents is required, format is defined, and control is needed for formal review, approval and distribution. A document management system called TRAK is in place to provide a framework for managing the required controls for documentation. This principle is primarily addressed by Process , Manage Information Assets, described in Appendix B, Section B Work Is Verified to Confirm that it is Correct This principle is applied to prevent errors going undetected by confirming that work meets requirement. The level of verification and the independence of the verifier depend on the complexity of the work and its potential risks (e.g., impact on safety, budget and schedule). It includes verification of documents, verification of design, verification of planned instructions for activities to be performed, and verification of records demonstrating the acceptability of results. Verification includes self-checking, co-worker verification, or subject matter expert verification, a conformity test or an inspection performed by an independent internal or external group (e.g., quality surveillance or quality control inspector). This principle is addressed by many processes Problems are Identified and Resolved This principle applies to all work. Staff are encouraged and expected to identify problems, regardless of significance. Problems are captured through the ImpAct system. The process includes the use of cause analysis methodologies and capturing and monitoring of actions, including corrective action with effectiveness reviews MAN /09/23

162 AECL - OFFICIAL USE ONLY MAN-001 Page 4-4 This principle is primarily addressed by Process , Provide Operating Experience, described in Appendix B, Section B Changes are Controlled This principle applies to numerous processes, in particular where there is a need to limit risks and costs. Change requests get reviewed and those of more complex or high risk go through a formal process that includes justification, review, approval and confirmation of effectiveness. Change control processes cover changes to operational plans, business processes, organization, engineering (design or physical systems), projects, plant status, documentation, radiation protection measures and computer codes to name a few. This principle is addressed by many processes Records are Maintained This principle applies to numerous processes where there is a requirement to demonstrate work completed, record unplanned events, record discussions and decisions, and record how requirements have been met. Various storage media are used where retrievability is assured. The retention time varies, with some records kept permanently, in particular those records needed to support decommissioning of nuclear facilities. The process in place includes the use of a record management system called TRAK and other information management systems housed on computer servers, subject to business recovery plans. Procedures are used to define the information to be kept as records, including the responsibility for filing the record with the document control group. This principle is primarily addressed by Process , Manage Information Assets, described in Appendix B, Section B Assessments are Performed This principle applies to all processes. It includes management reviews, self-assessments, independent assessments and third-party inspections, assessments and audits. Assessments cover compliance and/or performance. This principle is addressed by numerous business processes, including Process , Ensure Compliance with Requirements; Process , Perform Independent Reviews of HSE; and Process , Conduct Internal Audits and Report on Findings, described in Appendix B, Section B MAN /09/23

163 AECL - OFFICIAL USE ONLY MAN-001 Page ORGANIZATION OVERVIEW 5.1 Description RTO is a science and technology (S&T) organization that operates as part of AECL, a federal Crown corporation. The principle RTO site is Chalk River Laboratories (CRL), Canada s largest federal lab. The integrated laboratory site at Chalk River is home to the unique Canadian infrastructure that supports the company s core missions. The organization employs approximately 3,000 3 people including 700 scientists and engineers. Four hundred staff are based at five other locations in Canada including Whiteshell Laboratory (WL) in Manitoba, and in the Port Hope offices. CRL has two operating research reactors and four other reactors in a variety of shutdown conditions. In addition, the site includes facilities for handling radioactive material, supporting scientific activities across the range of physics, chemistry, biology and engineering disciplines, and also includes unique storage facilities for radioactive materials and waste. The WL site is currently being decommissioned. It does have some operating facilities, shutdown facilities, facilities at various stages of decommissioning and also still maintains some R&D programs. To enable the S&T activities there is a substantial base of people, processes, programs and infrastructure that ensures safety, security and environmental protection are maintained at consistently high levels. 5.2 Vision and Mission Statement The vision for RTO is to be a global partner in nuclear innovation. The mission statement for RTO is to employ our strengths in people and facilities to advance nuclear science and technology for the benefit of Canada. 5.3 Management Model The model used to develop the management plan is shown in Figure 5.1. The plan provides strategic direction for the organization. There are three core missions for delivering social, environmental and economic benefits to Canadians. These missions are: Research Development and Innovation; Isotope Production; and Environmental Management. They are carried out by staff across the organization, many of whom support more than one mission in the course of their daily work. In addition, the organization needs to operate efficiently and effectively. The success of RTO is dependent on the success of the three core missions and of laboratory operations as follows: 2 3 Information in this section is derived from the Nuclear Laboratories Management Plan, PLA-072 [8]. Number of employees at the time the document was prepared MAN /09/23

164 AECL - OFFICIAL USE ONLY MAN-001 Page Research Development and Innovation: RTO has unique capabilities in people and nuclear facilities that allow discovery research which is strongly oriented towards the commercialization of ideas that will benefit Canadian industry. 2. Isotope Production: RTO has unique capabilities for the production of a range of isotopes used for medical and industrial purposes. Isotopes are the raw materials that sustain two Canadian companies (MDS Medical and Best Medical International). 3. Environmental Management: RTO has a key national role in the management of legacy issues in Canada that involve radioactive material, as well as managing the environmental impact associated with operations. 4. Operations: RTO must operate efficiently, effectively and safely. The core missions are not organizational groups within RTO (as defined in Section 7). While the leadership of the missions is provided by the Research & Development, Commercial and Decommissioning & Waste Management organizational groups, the core missions rely on the successful integration of all the groups within RTO for their success. 5.4 Business Planning Figure 5-1 Overview of RTO in Management Plan The management plan, reference [8], was prepared in support of the corporate plan and includes strategy maps developed for the following: MAN /09/23

165 AECL - OFFICIAL USE ONLY MAN-001 Page 5-3 The three core missions: Research Development & Innovation, Isotope Production and Environmental Management; Operations; and The support groups: Programs and Nuclear Oversight (PNO), Engineering, and business support from Finance and Business Services (FBS) and Human Resources (HR). The management plan captures the interdependencies of the core missions, operations and support groups. It identifies the strategic actions each part of the organization needs to take, the enabling factors required for success as well as responsible leads for those enablers. 5.5 Performance Management and Reporting Performance management and reporting is carried out to gather information about the company s progress to date versus planned targets and to facilitate management decision-making throughout the year. In addition to internal reports, Board of Directors Report and Minister s Report for NRCan are also prepared. 5.6 Partners, Customers and other Stakeholders Research and Development Partners and Customers There are a number of partners and customers supporting the Research, Development and Innovation mission. They include the following: CANDU Owners Group (COG). The partnership includes participation in joint projects and programs of common interest to COG members, and supplier of R&D services to COG. University Network of Excellence in Nuclear Engineering (UNENE). The partnership includes supporting educational programs in nuclear science and engineering and funding and guiding collaborative research projects and funding industrial chairs at various universities jointly with other UNENE partners. Generation IV International Forum (GIF). The partnership includes carrying out R&D funded by NRCan in support of Canada s obligation to GIF, leveraging the internal R&D with NRCan-funded program, representing Canada on GIF committees and working groups, and providing in-kind support to universities participating in programs funded by NRCan/NSERC (Natural Sciences and Engineering Research Council of Canada). Various universities. The partnership includes funding and supporting collaborative research and providing funding and in-kind support for the sponsored chairs and research projects. Partners include Ecole Polytechnique, University of Western Ontario, University of Ontario Institute of Technology, University of Toronto, University of Waterloo, University of Alberta and Carleton University. International Research Organizations and Universities. The partnership includes collaborative research, information exchange and in some cases, funding for use of facilities. Partners include Chinese universities, Korea Atomic Research Institute, US Department of MAN /09/23

166 AECL - OFFICIAL USE ONLY MAN-001 Page 5-4 Energy, International Nuclear Energy Research Initiative and the International Atomic Energy Agency. Department of National Defence. The partnership includes carrying out R&D funded under the Chemical, Biological, Radiological-Nuclear Explosive (CNBE) Research and Technology Initiative (CRTI) aimed at mitigating terrorist attacks Emergency Preparedness Partners Partners supporting emergency preparedness efforts include the following: Federal, provincial, and municipal nuclear emergency organizations; and Local and regional response agencies. Emergency preparedness staff collaborates with off-site agencies through the following: Participating in nuclear emergency planning committees; Maintaining human and material resources to operate off-site emergency centres; Maintaining off-site communications with local and regional response agencies; Participating in the chemical, biological, radiological, nuclear emergency planning and exercise meetings; and Participating in local emergency worker training World Association of Nuclear Operators (WANO) and Institute of Nuclear Power Operations (INPO) AECL is currently on a trial membership with WANO, which provides the following: Access to industry standards, expertise and technical support; Training, seminars and workshops; Web site information, guidelines, and operating experience information; and Networking with industry peers. AECL also has a trial membership in the INPO International Participants Program Other Customers Customers of the organization s products and services include: MDS Nordion for isotopes produced at NRU; Waste generators, such as hospitals and universities, whose radioactive waste is sent to CRL for disposal; Nuclear Waste Management Organization (NWMO) for research associated with long-term management of Canada's used nuclear fuel; SLOWPOKE Research Reactor community; and MAN /09/23

167 AECL - OFFICIAL USE ONLY MAN-001 Page 5-5 CANDU power utilities (including Ontario Power Generator, Bruce Power and Point Lepreau Nuclear Generating Station) and non-candu power utilities via AECL s Commercial Operations division Other Partners and Stakeholders Other partners include the following: The International Nuclear Information System (INIS), a branch of IAEA. The CRL Library has been the INIS Centre for Canada since 1971, a role designated by the Government of Canada. Port Hope Area Initiative (PHAI) in Port Hope, Ontario. The Government of Canada has assumed responsibility for the cleanup and long-term safe management of historic low-level radioactive waste in Port Hope. A project office, with AECL as project proponent, has been established for the community-initiated environmental remediation project. The project goal is the cleanup and safe local long-term management of the waste that resulted from radium and uranium refining done in Port Hope from the 1930s to the 1960s. National Research Council (NRC). The partnership with NRC involves providing access to neutron beam from the NRU reactor for neutron scattering experiments performed by NRC and the universities for material characterization. NRC experimental facilities are an important resource for AECL s R&D for materials investigations MAN /09/23

168 AECL - OFFICIAL USE ONLY MAN-001 Page NUCLEAR OPERATIONS 6.1 General RTO is engaged in a broad range of nuclear-related activities at its various sites and operates facilities that include nuclear reactors, nuclear fuel fabrication facilities, radioactive waste storage facilities as well as specialized radioisotope laboratories. The performance and effectiveness of nuclear facilities and the implementation of supporting processes/programs is assessed by the Nuclear Performance Assurance Review Board, described in Section Class I and Class II Facilities All Class I and Class II facilities are listed in site licences and are operated in accordance with formal documentation, including a safety analysis report and a Facility Authorization document. The operating limits and conditions within which a facility must be operated are presented in the individual Facility Authorization. Facility staff are required to operate the facility in accordance with the approved Facility Authorization, and to meet the requirements of safety set out in any listed safety analysis report. Company and site governing documents, supplemented by facility-specific documentation, describe the processes used to achieve safety objectives. Safe and reliable performance objectives in nuclear facility operations exist from the time of the conceptual design, through to construction and operation. Assurance is required that components, systems and subsystems in facilities are capable of performing their required functions in a reliable manner. The rigour of the various testing programs is dependent on the potential consequences of failure of the components, systems and subsystems. For example, the testing program for many facilities is included in standard operating procedures. However, in other facilities, such as reactors, a separate intensive program of trip-and-alarm and equipment tests is in place. Results of these tests are closely monitored and are subject to external (to the facility) review. All testing is carried out according to approved procedures. Test frequencies are selected to satisfy regulatory and internal requirements. Annual safety reviews for each facility, are carried out and compiled into a report, as one of the requirements of the site operating licence, and to assist the SRC in its annual review of nuclear facilities operations. Events, faults, and modifications significant to facility operation are reported, as are radiation doses to personnel and any radioactive and hazardous substance releases to the environment. 6.3 Radioisotope Laboratories All uses of unsealed radioactive materials that occur outside the nuclear facilities listed in the site licences are conducted in radioisotope laboratories that are classified as basic, intermediate and high. These laboratories are classified on the International Atomic Energy Agency hazard-graded scale of A, B and C that take into account the nature of the operations performed and the relative toxicity of the radionuclides handled in the laboratories. Individual Radioisotope Laboratory Protocols for each laboratory document the design elements of the physical characteristics of the laboratories against regulatory guidelines. In addition, the individual MAN /09/23

169 AECL - OFFICIAL USE ONLY MAN-001 Page 6-2 radioisotope laboratory protocol specifies the laboratory operating limits and identifies the basis for maintaining safe operations within each laboratory MAN /09/23

170 AECL - OFFICIAL USE ONLY MAN-001 Page RESPONSIBILITIES AND ORGANIZATION This section covers the following: The organization structure, outlined in Section 7.1; The Nuclear Leadership Team and the specific responsibilities of its members, described in Section 7.2; The general responsibilities of senior management, management and employees, including responsibilities of some key roles, described in Section 7.3; and The committees within the organization, described in Section 7.4. Additional and specific responsibilities are covered in governing documentation, including policies, manuals, procedural documents, plans, as well as position descriptions and accountability statements. Changes to the structure and to responsibilities are subject to an organizational change control process. 7.1 Organization Structure The organizational structure of RTO is shown in Figure 7-1. Senior Vice-President RTO General Counsel Principal Scientist Vice-President and General Manager Research & Development Vice-President and General Manager Decommissioning & Waste Management Vice-President and General Manager Operations and Chief Nuclear Officer Vice-President Commercial General Manager Programs and Nuclear Oversight and Chief Regulatory Officer General Manager Engineering and Chief Nuclear Engineer Manager Human Resources General Manager Finance & Business Services Figure 7-1 Organization Structure MAN /09/23

171 AECL - OFFICIAL USE ONLY MAN-001 Page Nuclear Leadership Team (NLT) The NLT provides oversight of operations including activities conducted in support of isotope productions, research and decommissioning. Members of the team are listed below with their responsibilities. Section describes the general responsibilities common to these positions Senior Vice-President The Senior Vice-President leads RTO with responsibility for nuclear technology and obligations, reactor design technology, advanced technology development as well as overall business operation and the supporting management system Vice-President and General Manager, Operations and Chief Nuclear Officer The Vice-President and General Manager, Operations and Chief Nuclear Officer (CNO), is responsible for the following: The safe conduct of licensed activities at CRL including the safe and effective operation of the Class I nuclear facilities (National Research Universal (NRU) reactor, Dedicated Isotope Facilities, Molybdenum-99 Production Facility, Nuclear Fuel Fabrication Facility (Buildings 429A/B and 405), Universal Cells, Fuels and Materials Cells and Heavy Water Upgrading Plant) and non-nuclear facilities under his control; Operational and maintenance processes and performance, including work management and control; Developing, implementing, and maintaining a sustainable staffing strategy for the facilities/isotope production stream; and Isotope supply and the Isotope Supply Reliability Program. The CNO is designated site licence holder for CRL, and in addition to the responsibility of the site licence holder in Section 7.3.4, is responsible for the following: Authorizing, where required, changes to programs and processes that support the site licences where such changes affect safe or compliant operation at more than one site; and Representing AECL at CNSC meetings on matters relating to organization-wide licensing matters General Manager, Isotope Supply Reliability Program The General Manager, Isotope Supply Reliability Program resides in Operations and is responsible for the execution of several projects and initiatives focussed on maintaining a reliable supply of isotopes using existing facilities and processes Vice-President and General Manager, Decommissioning and Waste Management The Vice-President and General Manager, Decommissioning & Waste Management (D&WM) is responsible for the following: MAN /09/23

172 AECL - OFFICIAL USE ONLY MAN-001 Page 7-3 The safe conduct of licensed activities associated with the facilities at CRL, WL and other locations within D&WM, including nuclear facilities related to facilities decommissioning, waste management, and environmental remediation within the organizational unit. These include the Waste Management Areas and the Waste Treatment Center at CRL; Developing and managing the decommissioning and waste management programs; Managing waste management facilities and related projects at company sites; Nuclear Legacy Liabilities Program, funded by the Government of Canada, to address legacy responsibilities associated with the Government of Canada and AECL s operations; Low-Level Radioactive Waste Management Office, funded by the Government of Canada, to address historic wastes at specific sites in Canada; Port Hope Area Initiative Management Office, the federal agency declared by the Government of Canada to implement the Legal Agreement of the Port Hope Area Initiative on its behalf; and Commercial waste management and decommissioning undertakings. In addition, the Vice-President and General Manager, D&WM is The site licence holder for WL with responsibility defined in Section 7.3.4; and The licence holder for the Douglas Point, Gentilly-1 and Nuclear Power Demonstration reactor waste management facilities as well as the Port Hope Project, which includes the Welcome Waste Management Facility in Port Hope, Ontario Vice-President and General Manager, Research & Development The Vice-President and General Manager, Research & Development (R&D) is responsible for the following: The safe conduct of licensed activities associated with the operation of the radioisotope laboratories and nuclear facilities within R&D, including the following Class I and II nuclear facilities: Zero Energy Deuterium (ZED)-2 reactor, Recycle Fuel Fabrication Laboratories, Health Physics Neutron Generator, CECEUD, Tritium Lab, GC 60, and GB 150C; Ensuring the quality and the effective, efficient and economical delivery of the products and services developed and delivered by R&D; Developing and implementing the company-wide R&D programs; Overseeing the development and management of the following technological areas: fuel channels; reactor chemistry and systems; hydrogen and heavy-water technology; safety technology; fuel and fuel cycles; environmental emissions; health physics; software performance reactor core technology; and CANDU; Administering contracts between AECL and CANDU Owners Group (COG), including the COG budget, business planning for COG programs, and related policy issues; and Developing qualified software programs MAN /09/23

173 AECL - OFFICIAL USE ONLY MAN-001 Page Principal Scientist The Principal Scientist is responsible for the following: Assisting and advising senior management and corporate executives on technical directions, strategic initiatives, and R&D focus; Supporting innovation efforts for advanced technology development, including new designs, applications and development needs; Challenging and reviewing advanced concepts, including technical safety, design, and performance and risk aspects; Providing analysis of, and support to the definition of forward nuclear issues and policies; Building partnerships and progressing national and international co-operations, and supporting business development activities; and Building professional leadership and technical credibility Vice-President, Commercial The Vice-President, Commercial is responsible for commercial activities, which include the following: Overseeing and managing the isotope business; Working with NRCan and the related industry organizations; and Representing AECL on the Association of Imaging Producers and Equipment Suppliers (AIPES) and on the NEA High Level Group, which work globally on strategies and protocols to ensure reliability and sustainability of isotope supply to Canada and the global markets General Manager, Finance and Business Services The General Manager, Finance and Business Services is responsible for: The financial integrity and strategy of the business; Advising senior management on overall long- and short-term strategic issues including matters related to financial management, performance management strategies, revenue/market growth strategies, and organization structures; Interacting with corporate Finance and Information Technology, and providing support for corporate-led activities and initiatives; Providing financial review, reporting, business-decision support, business advice/strategies, financial modelling, negotiation support, billing, and routine project/product accounting activities for RTO; The development and execution of supply chain strategies, plans, and programs; Ensuring the provision of information assets services, and the development of processes and procedures to protect, manage, and safeguard records and information assets; Ensuring the effective and efficient provision of Information Technology services; Establishing an effective strategic business planning process; MAN /09/23

174 AECL - OFFICIAL USE ONLY MAN-001 Page 7-5 Overseeing the development and execution of a Business Continuity Program; and Establishing and maintaining effective working relationships with community stakeholders in order to build awareness, understanding, and support for company activities and operations General Manager, Programs and Nuclear Oversight, and Chief Regulatory Officer The General Manager, Programs and Nuclear Oversight (PNO), is responsible for the following: The effective implementation and continued improvement of the programs and processes required to operate in accordance with regulatory requirements and best practices, including operating experience, human performance, nuclear criticality safety, radioactive materials transportation, nuclear materials and safeguards management, emergency preparedness, environmental protection, radiation protection, dosimetry services, security and fire protection; Independent assessments; and Ensuring that performance improvements and organizational learning drive toward operational excellence. The Chief Regulatory Officer is responsible for the following: Maintaining effective relationships between the organization and regulatory bodies in AECL s role as a licensee; and Bringing significant regulatory issues to the attention of appropriate senior management and executive in a timely manner, and advising on strategies to address such issues General Manager, Engineering and Chief Nuclear Engineer The General Manager, Engineering and Chief Nuclear Engineer is responsible for the following: Developing, maintaining and providing oversight of the integrated management system, the pressure boundary program and well as the engineering, safety analysis and licensing processes; Establishing and maintaining quality programs where needed; Providing design engineering, safety analyses and licensing services; and Establishing and maintaining the project management processes and oversight for projects. The Chief Nuclear Engineer is responsible for the following: Executing Design Authority function for the organization s facilities, design and licensing basis and engineering; and Conducting technical review and oversight of engineering activities to ensure compliance with a complete set of design requirements, codes, standards, regulatory requirements, quality standards and engineering practices MAN /09/23

175 AECL - OFFICIAL USE ONLY MAN-001 Page RTO General Counsel The RTO General Counsel is responsible for the following: Providing legal support and advice to RTO; Overseeing all engagements with outside legal counsel; Managing intellectual property resources; and Providing support for compliance with laws and regulations, including operational elements of Access to Information and Privacy Manager, Human Resources The Manager, Human Resources, is responsible for the following: Providing support in developing and implementing activities to address both immediate and long-term staffing issues; Ensuring effective interaction with human resource staff, management, union, and employee communities; Providing administrative support for items such as pension and benefits provisions, staffing/recruitment and terminations, and salary administration; Supporting recruitment activities in accordance with regulatory requirements, collective agreements, and company policies, procedures and practices; Supporting line management activities through the recruitment process; and Supporting staffing initiatives related to succession planning/capability maintenance and resource forecasting. NOTE: The Manager, Human Resources reports to the Senior Vice-President, Human Resources in the corporate office, and indirectly reports to the RTO Senior Vice-President. 7.3 General Responsibilities Vice-Presidents and General Managers Each Vice-President and/or General Manager is responsible for, and leads, an organizational unit or area of responsibility. In this capacity, they are responsible for the following: Demonstrating personal commitment to health and safety and improving safety culture, by example and leadership, so that safe behaviours and working conditions become part of the work environment and a condition of employment; Ensuring the safety of their staff; Evaluating and managing business risks associated with their area of responsibility; Developing and monitoring their respective operational business plan; Contributing to business unit and corporate business planning, and performance monitoring; MAN /09/23

176 AECL - OFFICIAL USE ONLY MAN-001 Page 7-7 Providing for strategic direction, leadership, and support to unit and divisional/department staff; Providing support and direction in developing unit goals and objectives focused on providing services and/or products for process unit customers/stakeholders; Ensuring effective implementation of the management system, including adherence to supporting program and process requirements in a consistent manner across their unit; Reviewing and approving business cases for staff hiring, equipment, and facilities; Contributing to maximum operating efficiency through effective financial planning and monitoring, and the resolution of departmental and divisional issues to ensure fiscal stewardship; Executing responsibilities of process owner for processes assigned to them as described in Appendix B; Managing the assets and human resources within their respective organizational units; and Supporting the vision, mission and strategic actions as described in the management plan [8] Management Management include Senior Directors, Directors and Managers. They are responsible for the following: Demonstrating personal commitment to health and safety and improving safety culture, by example and leadership, so that safe behaviours and working conditions become part of the work environment and a condition of employment; Establishing and maintaining a safe and healthy workplace, and ensuring the safety of their staff; Ensuring that their employees, contractors, students and attached staff understand their responsibility under the Code of Ethics and Business Conduct; Managing the performance of their employees by: - Providing training and development including succession planning; and - Providing specific feedback and assess employee performance against expectation to develop and sustain performance; Performing periodic monitoring (e.g., performing self-assessments) and taking action as needed to address issues and correct non-compliances; Providing direction, strategy and alignment to the organization s vision; Preparing and managing business plans and supporting scorecards and metrics; Supporting the accomplishment of work and removing unnecessary obstacles; Providing communication and reinforcing expectations for high standards of performance; Ensuring effective implementation of the management system, including adherence to supporting program and process requirements in a consistent manner across their unit; and Actively promoting and supporting process improvement initiatives MAN /09/23

177 AECL - OFFICIAL USE ONLY MAN-001 Page Employees All employees, including management, are responsible for: Performing their duties safely and in accordance with instructions and training provided; Adhering to company policies, process requirements and procedures, including safety protocols; Being sufficiently familiar with the company to understand their specific role and how it aligns with the overall mandate, and to know from whom they can get help, as well as to whom they can offer help, identify concerns, and obtain approvals and acceptance of work; Understanding how their performance will be measured and expecting and soliciting feedback; Actively participating or leading the effort to develop and improve their skills and performance; Carrying out their duties ethically and with integrity; Safeguarding the public, the environment, company property, material, and equipment; Ensuring commercial integrity when dealing with vendors; Using established processes and adhering to procedures in all activities; Reporting events, including identifying problems and deficiencies; Identifying ways to improve; for example, from lessons learned resulting from reviews and assessments and benchmarking; and Demonstrating a questioning attitude Site Licence Holders Site licence holders are responsible and have authority for the safe conduct of licensed activities at their respective site, including the operation, maintenance and use of the nuclear facilities in compliance with all applicable codes, standards, laws, regulations and site licence conditions. Specifically they are responsible for: Shutting down for safety reasons facility operations; Ensuring the implementation of the management system at their respective site as it relates to safe operation and compliance with licence requirements; Taking site safety, quality, licensing, and technical issues to the Senior Executive level for resolution where these cannot be resolved at the site; Representing AECL at CNSC meetings on matters relating to their respective site; Ensuring that conditions and requirements of CNSC licences are communicated to site and facility management; Ensuring that adequate arrangements for responses to all kinds of anticipated operational occurrences and accident conditions have been made, and that appropriate actions have been taken to provide for the protection of site personnel, the public, and the environment; MAN /09/23

178 AECL - OFFICIAL USE ONLY MAN-001 Page 7-9 Ensuring that arrangements are in place to manage the situations that fall outside normal operating procedures at their respective site. These arrangements shall ensure that appropriate controls are maintained and due consideration is given to the safety implications of the situation; and Designating Senior Emergency Officers for managing the response to a site emergency Process and Program Management Managers and senior staff assigned to manage a process or a program (e.g., Process Owners, Program Authorities and Program Managers) are responsible for: Developing and maintaining the business process (or program); Ensuring the process or program addresses requirements of applicable codes and standards, reflects AECL practices and is maintained effectively to meet company business needs; Providing interpretations of external requirements and establishing internal processes and practices necessary to address these; Defining internal process or program requirements and supporting procedures and performance measures; Coaching, guiding and facilitating implementation of process requirements, including providing training and development to support implementation; Ensuring process activities interfaces effectively with other processes; Reviewing program or process effectiveness, and benchmarking practices and performance with similar process or programs in other organizations; Mediating with external bodies (interpreting and overseeing requirements); Maintaining knowledge (awareness of industry practice); and Monitoring ongoing performance of the process or program and periodically reporting to the responsible vice-president and/or general manager on performance and any major non-compliances and issues Facility Management Managers and senior staff assigned to manage a nuclear facility (e.g., Facility Authorities and Facility Managers) are responsible for: Ensuring the overall safe conduct of licensed activities including the operation, maintenance, and use of the facility; Contacting regulatory authorities and the SRC in matters related to facility operations; Staffing to facilitate safe and compliant facility operations; Ensuring facility operations staff training and development; Reporting of unplanned events involving the facility, and implementing applicable corrective actions; MAN /09/23

179 AECL - OFFICIAL USE ONLY MAN-001 Page 7-10 Implementing the operational processes within the facility including preparation, review, revision, and authorization of the facility-specific procedures; Identifying assessment and audit requirements for the facility, facilitating the conduct of the required assessments and audits, and implementing corrective actions arising from findings; Monitoring and periodically reviewing the function and effectiveness of operational processes, and that of supporting processes (e.g., OSH, RP, Information Management) in the facility; Reviewing and verifying the safe operating envelope and program functions; and Ensuring actions from management and staff outside the facility do not impact safety within the facility Senior Quality Representatives and Supporting Staff Senior Quality Representatives and their supporting staff (e.g., quality assurance specialists, quality control inspectors, quality surveyors, process and/or program specialists) support the organization by meeting management system and quality-related requirements. They are responsible for: Assisting with management system and quality-related training, implementation and improvements, including verifications, audits, program reviews, and self-assessment activities; Assisting with the preparation of governing documentation that support the management system; Establishing and maintaining required quality programs; Reviewing quality and quality assurance manuals of external participating organizations, consultants and contractors, to assess suitability as a supplier; Advising on quality and quality assurance codes and standards; Identifying conditions adverse to quality and reporting these to the appropriate level of line management, up to the General Manager, Engineering as required; Providing leadership in continuous improvement initiatives; Monitoring performance against stated quality objectives and measures; and Benchmarking industry best practices and evaluating their applicability. 7.4 Committees A number of committees comprised of executives, senior managers, managers and technical experts are established to deal with management oversight, planning and issues covering processes integration, use of information technology, quality and safety. Terms of reference documents are in place to document the committees mandates, memberships and organizational structures, specific responsibilities, and meeting and reporting requirements. Refer to reference [2] and/or the Procedure Applet for applicable documents. In addition to the committees below, there are process and/or working level committees in place MAN /09/23

180 AECL - OFFICIAL USE ONLY MAN-001 Page Operational Safety Oversight Committee (OSOC) OSOC provides oversight and monitoring of operational safety and regulatory performance within the organization ensuring prompt corrective action is taken when the need for performance improvements are identified. Topics on a standing agenda are program reports on environmental safety, radiation protection, occupational health and safety, fire safety, OPEX, criticality safety and business line operational safety reports Performance Oversight Committee (POC) POC provides oversight and monitoring of overall business performance ensuring prompt management action is taken to correct performance deficiencies and that actions are effective. Topics on a standing agenda include the RTO scorecard, financial performance and forecast, human resource report, and business line scorecards (including explanation and recovery actions to address off-target items and business highlights) Business Operations Strategy (BOS) Committee The BOS committee provides a forum for discussion of business issues, strategy discussions, talent pooling, succession planning, leadership development and other items central to the long-term sustainable operation of the organization. Items of significance with regard to the NLT and the Corporate updates are also brought to this forum Project Performance Oversight Committee (PPOC) PPOC provides oversight of projects and monitors the delivery of scope against cost, schedule, and quality requirements. The committee ensures prompt management action is taken to address deficiencies in project delivery and to address RTO process deficiencies that affect project delivery. Topics on a standing agenda include the following: summary of large project cost and schedule performance; discussion of deficiencies on an exception basis; new and emerging projects; and generic issues affecting project delivery ImpAct Review Board (IRB) IRB provides oversight of corrective action plans for Significant Level (SL) 1 and 2 issues arising from the ImpAct process; improvement plans addressing internal audits to ensure the appropriateness and effectiveness of the corrective actions taken, and responses to CNSC Type 1 Inspections Health, Safety, Security and Environment Business Performance Council (HSSE BPC) The HSSE BPC provides a forum for AECL s executives, HSSE senior leaders, subject matter experts, HSSE committees, line units and HSSE compliance programs to expeditiously identify HSSE priorities, opportunities, or issues and develop strategies to effectively address them. NOTE: Other Business Performance Councils are described in the AMM [1] MAN /09/23

181 AECL - OFFICIAL USE ONLY MAN-001 Page Environmental Panel (EP) EP is responsible for the overall environmental strategic planning, the management of progress against the strategic and operational plans, and the monitoring of the environmental aspects of AECL s nuclear laboratories and other Canadian sites, consistent with AECL s policy on the protection of the Environment. The panel reports to the HSSE-BPC Site Safety and Health Committees Safety and health committees at the various sites are dedicated to the promotion and improvement of the safety and health of employees and is the principal forum for joint employee/management consultation and development of solutions on safety and health concerns in the workplace Nuclear Performance Assurance Review Board (NPARB) The NPARB reviews the performance and effectiveness of nuclear facilities and the implementation of supporting processes/programs required to achieve operational excellence. The board monitors the interfaces between facilities and the processes/programs and resolves any obstacles to effective implementation of identified actions Safety Review Committee (SRC) The SRC is an internal body, independent of line management, which acts on behalf of the Board of Directors and the President and Chief Executive Officer, through the HSSE-BPC, in matters of Health, Safety, Security and Environment. The SRC is responsible for providing a high level of independent oversight and confirming that all HSSE controls are in place, including independent review of facilities and of products and services developed by RTO MAN /09/23

182 Customer Satisfaction Customer Needs AECL - OFFICIAL USE ONLY MAN-001 Page BUSINESS PROCESS The business process model as defined in the AMM [1] includes: Processes central to AECL s operations and mandate that are aimed at meeting external customers needs; business processes 01 to 06; and Processes that support the above processes and those that are required to sustain the business; business processes 07 to 14. The model, shown in Figure 8-1, is based on the Process Classification Framework developed by the APQC 4 International Benchmarking Clearinghouse. Understand markets and customers 01 Define vision, strategy and corporate plan 02 Design and develop products, services and projects 03 Market and sell products and services 04 Produce and deliver products, services and projects 05 Provide after-sales customer support Develop and maintain nuclear technology Manage facilities, nuclear laboratories, materials and associated liabilities Manage environmental protection Develop and manage human resources Manage information and associated technology Manage financial resources Manage external relationships Improve organizational performance and manage change Figure 8-1 Business Process Model Appendix B lists and describes the business processes. 8.1 Graded Approach in Processes Once it is determined that a process applies, the application of process requirements is graded so as to deploy appropriate resources on the basis of the consideration of the following: The significance and complexity of the activity or product; The hazard and the magnitude of the potential impacts or risks associate with the safety, health, environment, security, quality and economic element of the activity or product; and The possible consequences if the activity is carried out incorrectly or the product fails. 4 APQC is American Productivity and Quality Centre MAN /09/23

183 AECL - OFFICIAL USE ONLY MAN-001 Page 8-2 For example, those activities significant to nuclear safety need more stringent controls and verification than activities with lesser significance. The grading is guided through a series of questions to enable the determination of the consequences of inadequate performance or inadequate control of an item, service, or process. The following are examples of aspects of processes where grading is to be applied: Type and content of training; Amount of detail and degree of review and approval of instructions; Need for and detail of inspections plans; Degree of in-process reviews and controls; Requirements for material traceability; Type and level of detail in procurement documents; Frequency and types of assessments; and Records to be generated and retained. Grading is to be applied to all business processes and their supporting procedures. The selected grading needs to be consistent with the applicable company requirements, codes and standards, and licence and regulatory requirements. 8.2 Compliance with Requirements AECL adheres to external requirements in the form of laws, regulations, codes, standards and contracts and agreements. In addition, some legislation establishes legal regimes AECL may choose to pursue (e.g., to protect intellectual property by patent or trademark registration), or standards to which AECL may choose to voluntarily conform, as a matter of policy (e.g., provincial environmental laws). Compliance management is performed through business processes, which translate these external requirements and related internal requirements into operational requirements appropriate for AECL. Managers responsible for compliance with the various external requirements ensure that other managers have established proper work procedures and practices and have identified adequate training so that the work performed complies with applicable requirements. In some cases, a formal program is established to ensure that AECL meets a specific set of requirements (e.g., Pressure Boundary, Dosimetry). These programs would normally span more than one business process MAN /09/23

184 AECL - OFFICIAL USE ONLY MAN-001 Page GOVERNING DOCUMENTATION 9.1 General The documentation supporting the management system comprises a set of governing documents with varying levels of approval authority, scope of application and detail. The governing documentation hierarchy is shown in Figure 9-1. Corporate Plan (Mandate) Management System Manuals (AMM, MS Man, Policies) Level 1 Process Documents Overview Documents (includes QA and Program Manuals with references to licences, regulations and standards) Management Plan (Missions, Goals and Challenges) Planning Documents Level 2 Company and Site Requirements, Procedures, and Instructions Operational Plans (Resources and Budget) Level 3 Local Procedures (covering: Facility, Projects, Programs, Processes, Department, Sites Local Plans (covering: Projects Execution, Work, Production, Improvements, Training, Workforce, Emergency, Assessments) Level 4 Reports on Progress, Assessments and Measurements Records and Evidence (Demonstrate compliance with plans and requirements) Records Figure 9-1 Management System Governing Documentation Hierarchy 9.2 Level 1, Corporate Plan and Management System Manuals The corporate plan is a strategic document developed in compliance with the Financial Administration Act (FAA) and the Crown Corporation Corporate Plan, Budget and Summaries Regulations. It serves as a high level plan directing the activities of the organization, and results from an in-depth analysis of the company and its environment by the corporation s senior management and its board of directors. It commits the corporation to a planned strategic direction over the planning period of five years. The contents of the corporate plan include an executive summary, mandate, corporate profile, strategic issues for the planning period, objectives, strategies and performance measures, and financial statements. The plan also MAN /09/23

185 AECL - OFFICIAL USE ONLY MAN-001 Page 9-2 includes sections on specific approvals, notification of restricted transactions and land-use plans and support for Government policies. The scope and purpose of the management system documents is covered in Sections 1.1 and 1.2, respectively. 9.3 Levels 2, 3 and 4 The document structure, at Levels 2 to 4, consists of two multi-tiered sets of documents, namely planning documents, and process documents. Collectively, these documents define all the requirements, standards, expectations, behaviours, processes, and methodologies that have been established for the management of all activities in the organization Planning Documents With the mandate defined in the corporate plan, the planning documents starts with the management plan (Level 2) and further detailed in operational plans (Level 3). The management plan is used to develop strategies and to define key measures of success at a high level. It is intended for the board of directors, executives and their direct reports. It includes governing assumptions, the mission statement and vision, a strategy map, goals and measures and key challenges and initiatives. Operational plans are developed for each of the organization s business lines. The operational plans establish deliverables, measures and targets. It outlines the actions, resources and budgets required to execute against the corporate plan and management plan objectives. Day-to-day work is covered in various planning documents (Level 4) and includes work requests, improvement plans, training plans, work activities plans, work packages, and project execution plans (PEP) for major projects. The latter is used to describe the project objectives, identify the project client and major stakeholders, and delineate the plan of attack for achieving the project objective. It defines the scope, cost, schedule, quality, and other relevant parameters of the project that will satisfy the requirements as agreed to with the client Process Documents Process documents cover business processes and programs. Overview documents and QA manuals (Level 2) are supported by procedural documents issued for general use (Level 3), and, where required, procedural documents issued for local use (Level 4). Business processes or programs are described in Overview (OV) documents. These documents cover process/program scope and objectives, external and internal requirements, process owner and support personnel, pre-requisites (training, facilities and equipment), inputs and outputs, the main activities and interfaces. Process supporting documents include the following: Requirements (REQ) documents which covers high-level requirements (the WHAT) and responsibilities; MAN /09/23

186 AECL - OFFICIAL USE ONLY MAN-001 Page 9-3 Procedures (PRO) which cover requirements, responsibilities and process (the HOW) outlining the steps or activities to meet the requirements; Governing Documentation Index (GDI) documents which provides an index to supporting external and internal governing documents; related definitions, acronyms and abbreviations; training documents and courses; and other related documents and records; and Terms of Reference (TOR) documents which cover the mandate of committees or other groups along with the process that is followed. Local documents consist of various document types to provide the specific instructions to follow, the guidance needed to perform the work, and the tools, such as forms and checklists used by employees, to ensure procedural adherence and to provide the record of work performed. These include guideline documents, forms, operating instructions, operation procedures, maintenance procedures and emergency procedures. 9.4 Records The document structure includes the various documentation and records, which are defined in individual processes, and support our management activities. 9.5 Local Governing Documentation Operating Nuclear Facilities Facility Authorization (FA) documents are in place for Class I and II nuclear facilities to identify the limits of safe operation (the safe operating envelope) for the facility, which are subject to acceptance by the SRC and the CNSC under the site licence. A facility GDI is used to provide a list of governing documents for each nuclear facility. The GDI ensures that staff working at the facility and those that support the facility have the list of governing licensing documents and a complete and current list of authorized procedures, which describe the organization, responsibilities, processes and controls used at the facility. These procedural documents satisfy various program and licensing requirements including quality assurance, health, safety, security and environmental programs. At the facility level, operating instructions are used to append and/or grade company-wide procedures. Some facilities will have a separate GDI document covering the working level procedures including operating procedures and manuals, maintenance procedures, orders to operate, valve slips, instructions to staff, etc. Existing facility Conduct of Operations (COP) procedures are consolidated with other applicable procedures, operating instructions and licensing documents in the GDI Radioisotope Laboratories Radioisotope Laboratory Protocol (RLP) documents are used to accomplish the following: Ensure the safe operation of a radioisotope laboratory and control of radiation exposures due to operation of the laboratory; MAN /09/23

187 AECL - OFFICIAL USE ONLY MAN-001 Page 9-4 Describe the radiological hazards of the authorized activities and document the requirements, processes, practices, procedures, and radiation protection expectations of laboratory users for a particular laboratory; Define the operating limits and conditions for activities involving radioactive material in an individual laboratory; and Provide generic good practices for radioisotope laboratories. RLP documents also cover requirements of other safety areas, including emergency preparedness, environmental protection, physical security, nuclear safety, criticality safety and occupational safety and health Departments Departments are defined in Organizational documents (ORG). These documents, which are issued at the organizational level, or at the Division/Branch level, describe the management structure and specific roles, responsibilities and objectives. They may include a list of departmental requirements and procedures and/or governing documents where appropriate MAN /09/23

188 AECL - OFFICIAL USE ONLY MAN-001 Page MEASUREMENT, ASSESSMENT AND IMPROVEMENT 10.1 Measurements Event Free Day Reset The Event Free Day Reset (EFDR) is the primary metric used to identify, track and trend significant human performance events and communicate the results quickly through all levels of the organization. This indicator reflects the effectiveness of management in reducing errors, improving organizational processes and activities to reduce the significance and frequency of human performance events. The declaration of an EFDR is made when an event occurs as a result of significant human performance error and when specific criteria are met. The criteria are aligned to the nuclear industry standards and applied consistently across RTO to allow performance comparisons and benchmarking. Event groups include nuclear safety, personal and industrial safety, radiological safety and environment, facility operation and regulatory action. EFDR is covered by Process , Human Performance described in Appendix B, Section B Scorecard Measures A measure definition document is prepared that includes each measure listed on business line scorecards and is completed once the measures are identified during the operational plan process. Each measure is assigned a lead organization. Measures are subject to regular monthly performance reporting against targets. Changes to measures are subject to a change control process and approval prior to implementation Assessments Self-Assessments Self-assessments are used to confirm that work activities meet the requirements of the management system and to identify areas for improvement to ensure business goals are met. They are also used to confirm compliance with requirements, assess the effectiveness of the process/program and its implementation, assist in identifying strengths and concerns, and assist in measuring the overall performance of activities and operations under the manager s responsibility. Managers are responsible for establishing the frequency and nature of self-assessments for activities under their responsibility through consultation with program and business process managers Audits Audits verify compliance to applicable standards/codes and typically also assess effectiveness through performance-based assessment. The purpose of audits is the following: MAN /09/23

189 AECL - OFFICIAL USE ONLY MAN-001 Page 10-2 To evaluate compliance with the requirements of the management system and applicable regulatory codes and standards; To assess the status of implementation and effectiveness of performance; and To identify improvement opportunities. In addition, reactive audits/assessments are performed as required to address immediate safety issues or business needs. These assessments are usually reactive in nature and require an expeditious deliverable Program and Process Reviews Program reviews are performed to assess the program for its suitability, adequacy and effectiveness to meet current and future business needs. It assesses strengths and weaknesses of the program for the specified time interval and makes recommendations for improvement. In addition to program reviews a number of business process reviews are conducted. These have a broader management system focus, and integrate quality, environmental, financial and other inputs External Assessments AECL is also subject to external assessments and audits, such as those conducted by the Auditor General of Canada, the Special Examiner, the CNSC, the International Atomic Energy Agency (IAEA), Technical Standards and Safety Authority (TSSA), International Organization for Standardization (ISO) Registrars as well as external customers Other Assessments and Management Oversight Standing committees are established to perform assessments and management oversight. Refer to Section 7.4 on Committees Improvements Improvement opportunities are identified through audits, root and apparent cause analysis results, review of operating experience (internal and external), lessons-learned bulletins, and adverse trends identified through the ImpAct process. In accordance with the ImpAct process, each item is reviewed through line management and corrective actions are assigned to address the issues. This includes opportunities to improve the management system implementation at the department level MAN /09/23

190 AECL - OFFICIAL USE ONLY MAN-001 Page REFERENCES NOTE: Unless otherwise indicated, the references below are for the latest released revision of the document. [1] CW MAN-002, AECL Management Manual, Revision 2. [2] GDI-001, Management System Governing Documentation Index. [3] GDI-002, Sites and Facilities Governing Documentation Index. [4] , Management System Contact and Responsibility List. [5] CAN/CSA ISO 9001:08 (ISO 9001:2008) Quality management systems Requirements. [6] CSA N286-05, Management system requirements for nuclear power plants. [7] WANO GL , Principles for a Strong Nuclear Safety Culture. [8] PLA-072, Nuclear Laboratories Management Plan Summary MAN /09/23

191 AECL - OFFICIAL USE ONLY MAN-001 Page A-1 Appendix A Principles This appendix covers safety principles in Section A.1 and quality management principles in Section A.2. A.1 Safety Principles The wording describing the principles in this section is exactly as found in WANO GL , Principles for a Strong Nuclear Safety Culture [7]. The following interpretations are utilized: the Canadian spelling is used; Nuclear safety is to mean safety in general; and Station is to mean facility. Also, Section A.5 applies to NRU. For other nuclear facilities, the three critical safety functions are radiation protection, contamination control and criticality control. Attributes for the principles are covered in [7]. 1) Everyone is Personally Responsible for Nuclear Safety Responsibility and authority for nuclear safety are well defined and clearly understood. Reporting relationships, positional authority, staffing, and financial resources support nuclear safety responsibilities. Corporate policies emphasize the overriding importance of nuclear safety. 2) Leaders Demonstrate Commitment to Safety Executive and senior managers are the leading advocates of nuclear safety and demonstrate their commitment both in word and action. The nuclear safety message is communicated frequently and consistently, occasionally as a stand-alone theme. Leaders throughout the nuclear organization set an example for safety. 3) Trust permeates the Organization A high level of trust is established in the organization, fostered, in part, through timely and accurate communication. There is a free flow of information in which issues are raised and addressed. Employees are informed of steps taken in response to their concerns. 4) Decision-Making Reflects Safety First Personnel are systematic and rigorous in making decisions that support safe, reliable plant operation. Operators are vested with the authority and understand the expectation, when faced with unexpected or uncertain conditions, to place the plant in a safe condition. Senior leaders support and reinforce conservative decisions. 5) Nuclear Technology is Recognised as Special and Unique The special characteristics of nuclear technology are taken into account in all decisions and actions. Reactivity control, continuity of core cooling, and integrity of fission-product barriers are valued as essential, distinguishing attributes of the nuclear station work environment MAN /09/23

192 AECL - OFFICIAL USE ONLY MAN-001 Page A-2 6) A Questioning Attitude is Cultivated Individuals demonstrate a questioning attitude by challenging assumptions, investigating anomalies, and considering potential adverse consequences of planned actions. This attitude is shaped by an understanding that accidents often result from a series of decisions and actions that reflect flaws in the shared assumptions, values, and beliefs of the organization. All employees are watchful for conditions or activities that can have an undesirable effect on plant safety. 7) Organizational Learning is Embraced Operating experience is highly valued, and the capacity to learn from experience is well developed. Training, self-assessments, corrective actions, and benchmarking are used to stimulate learning and improve performance. 8) Nuclear Safety Undergoes Constant Examination Oversight is used to strengthen safety and improve performance. Nuclear safety is kept under constant scrutiny through a variety of monitoring techniques, some of which provide an independent fresh look. A.2 Quality Management Principles A.3 Customer Focus This principle is expressed as follows: Organizations depend on their customers and therefore should understand current and future customer needs, should meet customer requirements and strive to exceed customer expectations. Benefits from this principle include the following: increased revenue and market share obtained through flexible and fast responses to market opportunities; increased effectiveness in the use of the organization s resources to enhance customer satisfaction; and improved customer loyalty leading to repeat business. This principle means that the organization needs to be customer-focused. Customer focus is also about satisfying needs rather than wants. This principle is primarily addressed by Processes , Understand Markets and Customer; , Develop and Design Products, Services or Projects; , Market and Sell Products and Services; , Produce, Build, Modify and Deliver Products, Services or Projects; and , Provide After-sales Customer Support, described in Appendix B, Sections B.1, B.3, B.4, B.5 and B.6 respectively. A.4 Leadership This principle is expressed as follows: Leaders establish unity of purpose and direction of the organization. They should create and maintain the internal environment in which people can become fully involved in achieving the organization s objectives MAN /09/23

193 AECL - OFFICIAL USE ONLY MAN-001 Page A-3 Benefits from this principle include the following: people will understand and be motivated towards the organization s goals and objectives; activities are evaluated, aligned and implemented in a unified way; and miscommunication between levels of an organization will be minimized. This principle is primarily addressed by Processes , Manage Staffing; and , Train and Develop Employees, described in Appendix B, Sections B.10.1 and B.10.2 respectively. A.5 Involvement of People This principle is expressed as follows: People at all levels are the essence of an organization and their full involvement enables their abilities to be used for the organization s benefit. Benefits from this principle include the following: motivated, committed and involved people within the organization; innovation and creativity in furthering the organization s objectives; people being accountable for their own performance; and people eager to participate in and contribute to continual improvement. This principle is addressed by most business processes. A.6 Process Approach This principle is expressed as follows: A desired result is achieved more efficiently when activities and related resources are managed as a process. Benefits from this principle include the following: lower costs and shorter cycle times through effective use of resources; improved, consistent and predictable results; and focused and prioritized improvement opportunities. This principle is primarily addressed by Process , Prescribe Quality Requirements and Improve Business Processes, described in Appendix B, Section B A.7 System Approach to Management This principle is expressed as follows: Identifying, understanding and managing interrelated processes as a system contributes to the organization s effectiveness and efficiency in achieving its objectives. Benefits from this principle include the following: integration and alignment of the processes that will best achieve the desired results; ability to focus effort on the key processes; and providing confidence to interested parties as to the consistency, effectiveness and efficiency of the organization. This principle is primarily addressed by Process , Maintain and Improve Overall Management System, described in Appendix B, Section B MAN /09/23

194 AECL - OFFICIAL USE ONLY MAN-001 Page A-4 A.8 Continual Improvement This principle is expressed as follows: Continual improvement of the organization s overall performance should be a permanent objective of the organization. Benefits from this principle include the following: performance advantage through improved organizational capabilities; alignment of improvement activities at all levels to an organization s strategic intent; and flexibility to react quickly to opportunities. This principle is primarily addressed by Process , Improve Organizational Performance and Manage Change, described in Appendix B, Section B.14. A.9 Factual Approach to Decision Making This principle is expressed as follows: Effective decisions are based on the analysis of data and information. Benefits from this principle include the following: informed decisions; an increased ability to demonstrate the effectiveness of past decisions through reference to factual records; and increased ability to review, challenge and change opinions and decisions. This principle is addressed by most business processes. A.10 Mutually Beneficial Supplier Relationships This principle is expressed as follows: An organization and its suppliers are interdependent and a mutually beneficial relationship enhances the ability of both to create value. Benefits from this principle include the following: increased ability to create value for both parties; flexibility and speed of joint responses to changing market or customer needs and expectations; and optimization of costs and resources. This principle is primarily addressed by Process , Perform Procurement and Materials Management, described in Appendix B, Section B MAN /09/23

195 AECL - OFFICIAL USE ONLY MAN-001 Page B-1 Appendix B Business Processes This appendix provides an overview of Tier 1 business processes, lists lower tier processes and includes a brief description of processes, in particular, those that support the requirements of CSA N286-05, and licences issued by the CNSC. Descriptions of other lower tier processes will be added in future revisions. The organization unit listed is responsible for the process, or is the contact for the process where the process responsibility is with AECL Corporate office or with the Commercial Operations division. For process supporting governing documents refer to document GDI-001, Management System Governing Document Index [2]. B.1 Process , Understand Markets and Customers This business process consists of processes and activities associated with understanding the markets and customers. It includes determining customer needs and wants; measuring customer satisfaction; monitoring changes in market or customer expectations; and understanding competition market intelligence. ASI # Process Name Process Owner Understand Markets and Customers Determine Customer Needs and Wants Manage and Maintain Marketing Information Identify and Qualify Potential Customers Measure Customer Satisfaction Commercial B.2 Process , Define Vision, Strategy and Corporate Plan This business process consists of processes and activities associated with developing a vision, a strategy, and a corporate plan. It includes monitoring the external environment; defining the business concept and AECL s strategy; developing the business plan, and managing business intelligence. ASI # Process Name Process Owner Define Vision, Strategy and Corporate Plan Define Vision, Objectives and Strategy Define Corporate Plan Manage Planning Process Finance and Business Services Monitor and Report Corporate Performance Ensure Business Continuity Office Business Recovery Finance and Business Services Plant Business Recovery Provide Executive Crisis Management Programs and Nuclear Oversight MAN /09/23

196 AECL - OFFICIAL USE ONLY MAN-001 Page B-2 B.3 Process , Develop and Design Products, Services or Projects This business process consists of processes and activities in support of New Build Projects, and in support of Products and Services provided to external customers. For design, engineering and project processes for RTO, refer to Process , Provide Facilities and Support to Existing Facilities. ASI # Process Name Process Owner Design and Develop Products, Services and Projects New Build Projects - Develop Reactor Concept and Product, Risk assessment, Environmental Assessment, Safety and License Basis and Plan Engineering Products/Services - Develop and Design Products and Services B.4 Process , Market and Sell Products and Services This business process consists of processes and activities associated with marketing and selling products and services. It includes marketing products or services to relevant customer segments; marketing communication materials; assessing business risks; establishing alliances with other parties; preparing proposals; negotiating contracts and processing customer orders. ASI # Process Name Process Owner Market and Sell Products and Services Marketing Products and Services Generate Sales Opportunities Establish Alliances Prepare Proposals Assess Sales Risks Negotiate Sales Contracts (include project financing) Commercial B.5 Process , Produce, Build, Modify and Deliver Products, Services or Projects This business process consists of processes and activities associated with producing and delivering products and services. For RTO, this process covers construction, commissioning and procurement activities. Note that project management is covered in business process , Provide Project Management. ASI # Process Name Process Owner Produce and Deliver Products, Services and Projects Plan and Manage Projects (Project Management) Refer to Process Build Products or Services and Execute Projects Engineering Perform Procurement and Materials Management Finance and Business Services MAN /09/23

197 AECL - OFFICIAL USE ONLY MAN-001 Page B-3 ASI # Process Name Process Owner Manage Detailed Design Engineering Refer to Process Manage Fabrication / Manufacturing Refer to Process Manage Construction / Installation Operations Manage Commissioning / Testing Operations Manage Operations Refer to Process Handover Plant or Deliver Product / Service to Customer Various B.5.1 Process , Perform Procurement and Materials Management This process covers procurement activities, including approval of suppliers; generating tender/request for quotation documents; administering the bidding process; commercial, quality assurance and engineering evaluations; negotiating terms, conditions and pricing of purchase orders; awarding purchase orders; ensuring execution of the contract; and making customs and shipping arrangements. B.5.2 Process , Manage Construction and Installation This process covers construction activities from the receipt of components and material on the construction site to their installation in systems and/or structures, as required by drawings of other formal engineering information. It also covers support activities and equipment, and applies to all stages at the construction site up to and including the installation and testing of components or systems and turnover to Commissioning. B.5.3 Process , Manage Commissioning and Testing This process covers commissioning activities to ensure thorough testing that each component, subsystem, system or structure in a facility will be capable of fulfilling its design requirements throughout its design life. The process execution will demonstrate that all the functional, control and performance criteria for the system are met, as specified in the design and will prepare the facility to operate within the safety parameters as described in the design specifications. The process covers the turnover to Operations. B.6 Process , Provide After-Sales Customer Support This business process consists of processes and activities associated with post-order customer support. The process includes billing the customer, providing after-sales service, responding to customer inquiries, and post-order customer feedback. ASI # Process Name Process Owner Provide After-Sales Customer Support Bill the Customer Provide After Sales Services Respond to Customer Inquiries Commercial MAN /09/23

198 AECL - OFFICIAL USE ONLY MAN-001 Page B-4 B.7 Process , Develop and Maintain Nuclear Technology This business process consists of processes and activities associated with managing the technology to support our products and services. The process includes evaluating and improving current technology; identifying, developing and demonstrating new technology; documenting current learning for future use; managing technical resources, both physical and human; and managing the technology portfolio. ASI # Process Name Process Owner Develop and Maintain Nuclear Technology Plan Technology Development Activities Develop Technology Develop Analytical, Scientific and Design Software Research & Development Maintain and Secure Technology Manage Intellectual Property RTO General Counsel B.8 Process , Manage Facilities, Nuclear Laboratories, Materials and associated Liabilities This business process consists of processes and activities associated with managing facilities, nuclear laboratories, materials and associated liabilities. The process includes managing licensed nuclear sites; managing material and services; managing non-nuclear sites and offices; managing physical risk and loss prevention. ASI # Process Name Process Owner Manage Facilities, Nuclear Laboratories, Materials and Liabilities Provide Facilities and Support to Existing Facilities Provide Project Management Office Services Engineering Provide Design and Engineering Engineering Configuration Management Engineering Management of Pressure Boundary System Engineering Operate and Maintain Facilities and Nuclear Laboratories Operations Operate Sites Operations Operate Facilities Operations Provide Maintenance (for site and facility operations) Operations Provide Manufacturing and other Support (for site and facility operations) Operations Decommission Sites and Facilities Decommissioning & Waste Mgmt Manage and Maintain Offices and Buildings Operations Manage Materials Finance and Business Services Manage Nuclear Materials and Safeguards Manage Transportation of Radioactive Materials Programs and Nuclear Oversight MAN /09/23

199 AECL - OFFICIAL USE ONLY MAN-001 Page B-5 ASI # Process Name Process Owner Manage non-nuclear materials Manage Services Finance and Business Services Provide Nuclear Criticality Safety Control Programs and Nuclear Oversight Manage Wastes Decommissioning & Waste Mgmt Manage Operational Risks and Liabilities Decommissioning & Waste Mgmt Provide Physical Security Programs and Nuclear Oversight Provide Fire Protection Programs and Nuclear Oversight Provide Emergency Preparedness Programs and Nuclear Oversight Provide Radiation Protection Programs and Nuclear Oversight Provide Operating Experience Programs and Nuclear Oversight Provide Licensing Services Programs and Nuclear Oversight and Engineering Provide Safety Analysis and Operational Safety Assessment Engineering Provide Dosimetry Services Programs and Nuclear Oversight Manage Physical Liabilities (Radiological and Chemical) Manage Legacy Liabilities (AECL sites) Decommissioning & Waste Mgmt Manage Historic Liabilities (non-aecl sites) B.8.1 Process , Provide Design and Engineering This process covers all aspects of the design work including conceptual studies, preliminary and detailed design, and design support work required for licensing, procurement, fabrication, construction, installation, testing, commissioning, operation, maintenance, and decommissioning of nuclear safety and safety-related systems. It also includes change control process. B.8.2 Process , Operate Facilities This process covers activities to safely operate facilities. Activities include: verification of work; identification and labelling of systems and components; plant status control; operator surveillance and surveillance testing; preparation of operating procedures and manuals; and, infrequently preformed operations. B.8.3 Process , Provide Maintenance This process covers maintenance activities needed for the safe operation of all structures, systems and components on site. The process supports safe, uniform, effective and efficient maintenance activities, and is designed to ensure all facilities can be operated within framework that meets all regulatory, codes and licence requirements. B.8.4 Process , Decommission Sites and Facilities This process ensures that decommissioning activities for facilities including sites, associated structures and systems, are funded, planned, prepared, executed and completed, in accordance MAN /09/23

200 AECL - OFFICIAL USE ONLY MAN-001 Page B-6 with appropriate specification, throughout the life cycle of the facility, until the final end-state objectives are met and requirements satisfied. B.8.5 Process , Manage Nuclear Materials and Safeguards This process covers nuclear materials and safeguards management activities. It ensure that activities involving the procurement and receipt of radioisotopes and radiation sources, and the procurement, receipt, disposition, transfer, accounting, safeguards management, storage and inventory management of nuclear materials are performed in a manner that protects the workers, the public and the environment; and ensure compliance with applicable regulatory and license requirements. B.8.6 Process , Manage Transportation of Radioactive Materials This process covers the off-site transport of radioactive material activities and practices. It ensures the protection of persons, property and the environment from the effects of radiation during the transport of radioactive material by establishing and maintaining requirements and processes necessary to facilitate the safe transport of radioactive material to and from AECL sites in accordance with regulatory requirements. B.8.7 Process , Provide Nuclear Criticality Safety Control This process integrates the necessary nuclear criticality safety principles and practices into activities that could affect the use, process, movement, storage and disposal of fissionable materials or the consequences of failures in the use, process, movement and storage of fissionable material. Process activities ensure compliance with applicable site licence requirements, the proper handling of fissionable material to reduce or eliminate the potential of a nuclear criticality accident, that the use, handling, movement and storage of fissionable materials are controlled; and that adequate provisions are made to protect all persons, property and environment from the effects of a nuclear criticality accident. B.8.8 Process , Manage Wastes This process ensures that activities involving planning for, handling, processing, transporting, storage and disposal of radioactive and non-radioactive wastes are performed in a manner that protects the workers, the public, and the environment, and are in compliance with applicable regulatory and licence requirements. B.8.9 Process , Provide Physical Security This process ensures the physical protection of assets, safeguarding of the public and personnel. The process activities provide a safe work environment for employees; an on-site security force, physical security of nuclear facilities and non-nuclear sites, and site access control where required. It includes protection of Category I, II and III nuclear materials and ensures security systems integrity, operability and reliability MAN /09/23

201 AECL - OFFICIAL USE ONLY MAN-001 Page B-7 B.8.10 Process , Provide Fire Protection This process covers fire protection activities. These activities protect life, prevent fire losses and degradation of fire protection coverage, provide responsible fire protection and change control that enhances fire protection, demonstrate compliance to applicable fire protection codes and standards, and provide reliable facilities from a fire protection perspective. It includes risk management, fire suppression, fire protection screening process and fire hazard analysis. B.8.11 Process , Provide Emergency Preparedness This process consists of activities to ensure a state of readiness to mitigate the effects of an emergency/abnormal situation in order to protect the health and safety of workers, the public, and the environment; prepare employees for emergency responses through training, documentation, exercises and drills, establish liaison and coordination with federal, provincial and municipal officials, and establish emergency plans and procedures for the mitigation of harmful effects of emergencies. For CRL and WL, site specific emergency preparedness documentation specifies how major emergencies will be managed, including a definition of emergency conditions, designation of a Site Emergency Officer (SEO) to manage emergency response, and appropriate response procedures. During a defined site emergency, normal lines of responsibility and authority for personnel and resources are temporarily suspended and the SEO has all the requisite authority to manage the emergency effectively. SEOs are assigned and authorized by the most senior site authority management position. B.8.12 Process , Provide Radiation Protection This process ensures the protection of workers and the members of the public from harmful effects of radiation exposure. Activities are in place to control occupational and public exposure by keeping individual doses below regulatory limits, avoiding unplanned exposures, keeping individual risk from lifetime radiation exposure to an acceptable level, and keeping collective doses As Low As Reasonably Achievable (ALARA), social and economic factors taken into account. It also includes preventing the uncontrolled release of contamination or radioactive materials from the nuclear sites through the movement of employees and materials. B.8.13 Process , Provide Operating Experience This process utilizes information both from within AECL and from external sources to improve the safety of operations, improve operational performance, and reduce the significance and the occurrence of unplanned events at AECL Canadian sites. It includes the identification and investigation of unplanned events, determination of corrective actions, internal notification of stakeholders, trending and information sharing, both internally and with the nuclear industry in general. B.8.14 Process , Provide Licensing Services This process consist of the following licensing services: producing licensing documents, supporting the licence applications and approval requests to CNSC staff and the Commission, MAN /09/23

202 AECL - OFFICIAL USE ONLY MAN-001 Page B-8 preparing licence renewal and amendment and new licence applications, and providing licensing advice to management and staff. B.8.15 Process , Provide Safety Analysis and Operational Safety Assessment This process ensures that sites and facilities are safe-by-design, both the initial design and subsequent changes, and that the sites and facilities remain safe to operate. The main activities include safety design engineering, operational safety assurance, safety analysis, and site safety management. B.9 Process , Manage Environmental Protection This business process consists of processes and activities associated with the protection of the environment for operations at AECL s Canadian sites as well as for provision of products and services provided to customers. ASI # Process Name Process Owner Manage Environmental Protection Provide Corporate Environmental Management Strategy Provide Environmental Protection Program for AECL Operations Provide Environmental Protection Program for Products and Services Programs and Nuclear Oversight B.9.1 Process , Provide Environmental Protection Program This process implements the environment policy and ensures compliance with legal and other environmental requirements. The activities are aimed at preventing environmental protection degradation (includes pollution prevention) and at providing responsible environmental management. Activities include reporting on environmental performance and environmental issues, identifying environmental aspects of activities, products and services and ensuring that those that have or can have significant impacts on the environment are carried out under specified condition by establishing, implementing, maintaining procedures to control environmental risks. B.10 Process , Develop and Manage Human Resources This business process consists of processes and activities associated with developing and managing our human resources. The process includes creating human resources strategy; recruiting employees; educating and training employees; assessing employee performance and rewarding employees; ensuring employee safety, well-being and morale; and managing employee relations MAN /09/23

203 AECL - OFFICIAL USE ONLY MAN-001 Page B-9 ASI # Process Name Process Owner Develop and Manage Human Resources Manage Staffing Train and Develop Employees AECL HR (Manager, HR Services CRL & Assess and Reward Employee Performance WL) Ensure Employee Safety & Well-being Manage Relations with Employees Manage Employee Security Programs and Nuclear Oversight Manage Employee Communications Finance and Business Services B.10.1 Process , Manage Staffing This process covers activities to support staff hiring, employment equity, workplace accommodation, work transfer, and the preparation of accountability statements and position descriptions. B.10.2 Process , Train and Develop Employees The process covers activities to support a systematic approach to training used to train personnel to perform duties and execute responsibilities in a safe and competent manner. The main activities comprise training-needs analysis, training design and development, conducting training, evaluating training, validating training, preparation of training plans, qualification of trainers, training records and controlling changes to training. B.10.3 Process , Ensure Employee Safety and Well-being This process covers activities to protect the safety and health of employees, contractors and visitors. It includes analyzing safety and health risks associated with operations, workplace inspections, incident and injury investigations, industrial hygiene support, provision of health services, and ensuring compliance to applicable codes and standards. B.10.4 Process , Manage Employee Communications This process ensures employees are informed. Activities include managing content on the company s internal website myaecl, preparing and issuing monthly internal staff newsletters, providing support on mission-based communications, facilitating executive quarterly all-staff communications, facilitating tours and events at the site, managing general communication of performance objectives, and support other groups in meeting their communications objectives. B.11 Process , Manage Information and Associated Technology This business process consists of processes and activities associated with managing information and supporting technology. Managing information consists of those activities that directly handle the information, and managing the technology consisting of providing the computing services and developing and managing the application systems MAN /09/23

204 AECL - OFFICIAL USE ONLY MAN-001 Page B-10 ASI # Process Name Process Owner Manage Information and Associated Technology Design, Implement and Maintain Systems for Software, Hardware and Network Systems Design, Implement and Maintain Information Systems Manage Information Assets Provide Security of IT Infrastructure and of Information Assets Provide Desktop Support Services B.11.1 Process , Manage Information Assets Finance and Business Services This process covers activities that ensure the integrity of information. Activities include records management including process for numbering records, records retention and disposition and off-line storage of electronic data; document control including production and control of documents and drawings using TRAK; document review and comment; management of documentation liens; and acronyms, abbreviations and definitions of terms. B.12 Process , Manage Financial Resources This business process consists of processes and activities associated with managing our financial resources. The process includes managing financial resources; processing finance and accounting transactions; reporting financial data; managing the tax function; and managing financial risks. ASI # Process Name Process Owner Manage Financial Resources Prepare Annual Budget Process Financial and Accounting Transactions Report Financial Information Manage Tax Functions Manage Financial Assets (to include both cash and capital assets) Manage Non-Sales Risks Finance and Business Services B.13 Process , Manage External Relationships This business process consists of processes and activities associated with managing external relationships. The process includes communicating with the shareholder; managing government and regulatory relationships; managing partner relations; developing public relations program; interfacing with the Board of Directors; developing community relations; managing legal issues; and managing international relationships MAN /09/23

205 AECL - OFFICIAL USE ONLY MAN-001 Page B-11 ASI # Process Name Process Owner Manage External Relationships Manage Relationships with Governments Finance and Business Services Manage Relationships with Nuclear and Other Related Industry Stakeholders Manage Community Relationships Manage External Communications, including media relations Manage Interactions with Educational Institutions Interface with the Board of Directors RTO General Counsel Manage Legal Issues B.13.1 Process , Manage Community Relationships This process is aimed at providing community stakeholders with timely and meaningful information on company activities and their impacts to the community. Activities include active communication with local officials and elected representatives, regular meetings with municipal officials to share information on operations and status of various projects, publication of a quarterly community newsletter mailed to more than 40,000 residents of Renfrew and Pontiac Counties, communication with the local business community and school boards, participation in local fairs and trade show, and ensuring communication links are maintained during emergencies as part of the company emergency preparedness program. B.13.2 Process , Manage External Communications This process covers wider public communication, both nationally and international. Activities include media relations, managing the company s web site ( in both official languages, developing and managing specific web site of key areas of interest, and facilitating the company s presence at national and international events. B.14 Process , Improve Organizational Performance and Manage Change This business process consists of processes and activities associated with managing our operational performance, improvement and change. The process includes managing organizational performance; implementing quality management principles; conducting compliance assessments and internal audits; benchmarking performance; making management system and business process improvements; managing changes; and reporting on performance and assessments. ASI # Process Name Process Owner Improve Organizational Performance and Manage Change Safety Culture Human Performance Programs and Nuclear Oversight MAN /09/23

206 AECL - OFFICIAL USE ONLY MAN-001 Page B-12 ASI # Process Name Process Owner Knowledge Management Research & Development Maintain and Improve Overall Management System Engineering Prescribe Quality Requirements and Improve Business Processes Engineering Ensure Compliance and Performance Engineering & Programs and Nuclear Oversight Perform Independent Reviews of HSE AECL - SRC Chair Conduct Internal Audits and Report on Findings B.14.1 AECL Internal Audit Process , Safety Culture, and Process , Human Performance These processes cover activities to promote the development of behavioural practices in both leaders and staff that are proven to reduce human error and thereby reduce events. Activities include implementing Human Performance (HU) procedures, training and testing; using OPEX, communicating lessons and information to enhance staff awareness; leading assessments to analyze HU program implementation, events, safety culture and HU trends and related problems; running simulator training lab to reinforce error prevention behaviours; providing oversight for the Observation & Coaching (O&C) process; leading HU based studies and development of interventions to address identified opportunities for improvement; and in collaboration with other safety programs and processes, driving a strong positive safety culture across RTO and enhancing safe work performance of all staff. B.14.2 Process , Maintain and Improve Overall Management System This process covers activities to manage and improve the management system. Activities include governing documentation such as policies and procedures; organizational descriptions including delegation of authority and organization change control processes. B.14.3 Process , Prescribe Quality Requirements and Improve Business Processes This process covers various quality and business process-related activities not covered elsewhere. Activities include sharing of information such as advisory notices, lessons learned and feedback; selection of quality program requirements and preparation of quality assurance manuals and plans; directive to stop work due to poor quality; change management; and developing and managing company business processes. B.14.4 Process , Ensure Compliance with Requirements This process covers activities to assess performance and compliance of work. Activities include self-assessments, audits, preventive actions, program reviews, improvement action (ImpAct) process, including identification, processing and notification of non-conformances, defects and failures to comply, audits and qualification of auditors, root and apparent cause assessments MAN /09/23

207 Organization ORGANIZATION TO SUPPORT CRL OPERATIONS CRL ORG-001 Revision 0 Prepared by Rédigé par Chilton John E - Regulatory Affairs Reviewed by Vérifié par Lavoie Robert - Management System Specialist Approved by Approuvé par Arthur Terence - Manager Regulatory Affairs 2010/09/23 AECL - OFFICIAL USE ONLY Atomic Energy of Canada Limited 2251 Speakman Drive Mississauga, Ontario Canada L5K 1B2 2010/09/23 À L'USAGE EXCLUSIF D'EACL Énergie Atomique du Canada Limitée 2251 rue Speakman Mississauga (Ontario) Canada L5K 1B2