Reporting Requirements for Operating Nuclear Power Plants

Transcription

1 Canadian Nuclear Safety Commission Commission canadienne de sûreté nucléaire REGULATORY STANDARD Reporting Requirements for Operating Nuclear Power Plants S-99 March 2003

2 REGULATORY DOCUMENTS The Canadian Nuclear Safety Commission (CNSC) operates within a legal framework that includes law and supporting regulatory documents. Law includes such legally enforceable instruments as acts, regulations, licences and orders. Regulatory documents such as policies, standards, guides, notices, procedures and information documents support and provide further information on these legally enforceable instruments. Together, law and regulatory documents form the framework for the regulatory activities of the CNSC. The main classes of regulatory documents developed by the CNSC are: Regulatory policy: a document that describes the philosophy, principles and fundamental factors used by the CNSC in its regulatory program. Regulatory standard: a document that is suitable for use in compliance assessment and describes rules, characteristics or practices which the CNSC accepts as meeting the regulatory requirements. Regulatory guide: a document that provides guidance or describes characteristics or practices that the CNSC recommends for meeting regulatory requirements or improving administrative effectiveness. Regulatory notice: a document that provides case-specific guidance or information to alert licensees and others about significant health, safety or compliance issues that should be acted upon in a timely manner. Regulatory procedure: a document that describes work processes that the CNSC follows to administer the regulatory requirements for which it is responsible. Document types such as regulatory policies, standards, guides, notices and procedures do not create legally enforceable requirements. They support regulatory requirements found in regulations, licences and other legally enforceable instruments. However, where appropriate, a regulatory document may be made into a legally enforceable requirement by incorporation in a CNSC regulation, a licence or other legally enforceable instrument made pursuant to the Nuclear Safety and Control Act.

3 REGULATORY STANDARD Reporting Requirements for Operating Nuclear Power Plants S-99 Published by the Canadian Nuclear Safety Commission March 2003

4 Reporting Requirements for Operating Nuclear Power Plants Regulatory Standard S-99 Published by the Canadian Nuclear Safety Commission Minister of Public Works and Government Services Canada 2003 Extracts from this document may be reproduced for individual use without permission provided the source is fully acknowledged. However, reproduction in whole or in part for purposes of resale or redistribution requires prior written permission from the Canadian Nuclear Safety Commission. Catalogue number CC173-3/3-99E ISBN Également publié en français sous le titre Rapports à soumettre par les exploitants de centrales nucléaires Document availability The document can be viewed on the CNSC website ( To order a print copy of the document in English or French, please contact: Communications and Information Management Directorate Canadian Nuclear Safety Commission P.O. Box 1046, Station B 280 Slater Street Ottawa, Ontario K1P 5S9 CANADA Telephone: (613) or (Canada only) Facsimile: (613) publications@cnsc-ccsn.gc.ca

5 March 2003 S-99 Table of Contents 1.0 PURPOSE SCOPE BACKGROUND Regulatory framework CNSC licensing process The legislative basis of this Regulatory Standard TERMINOLOGY REQUIREMENT TO REPORT INFORMATION SPECIFIC REPORTING REQUIREMENTS Introduction Preliminary vs. Detailed Reporting Requirements for Unscheduled Reporting Situations and events that require both preliminary and detailed reports Situations and events that require notifications or reports The reaching of an action level Performance and status of certified personnel Reports of problems identified by research findings or revised analyses Making and filing preliminary and detailed reports Preliminary reports Making preliminary reports Reporting schedules Contents of preliminary reports Detailed reports Reporting schedules Contents of detailed reports Submission of additional information Request for retraction of a preliminary or detailed report Requirements for Scheduled Reporting Quarterly Operations Reports Quarterly report of performance indicators Quarterly security reports Updates to facility descriptions and final safety analysis reports Reports of environmental monitoring information Reports on the progress of research and development activities Reports of the results of periodic inspections Reports on the degradation of nuclear power plant pressure boundaries... 21

6 S-99 Mars Report on the reliability of the nuclear power plant Report on the fuel monitoring and inspection program Reports on fissionable and fertile substances GLOSSARY APPENDICES A. Performance Indicator Specification Sheets B. Performance Indicator Data Sheets... 53

7 March 2003 S-99 REPORTING REQUIREMENTS FOR OPERATING NUCLEAR POWER PLANTS 1.0 PURPOSE The purposes of this Regulatory Standard are: To help the Canadian Nuclear Safety Commission (CNSC, Commission) collect information that it needs to assure that a nuclear power plant is operating safely, and to verify that the licensee is complying with regulatory requirements; To help applicants for operating licences for nuclear power plants design programs for collecting and reporting information in accordance with regulatory requirements; and To facilitate CNSC evaluations of the appropriateness, completeness and timeliness of information reported to the CNSC by the operators of nuclear power plants. 2.0 SCOPE This Regulatory Standard incorporates, and expands upon, reporting requirements for operating nuclear power plants that derive from the General Nuclear Safety and Control Regulations, the Class I Nuclear Facilities Regulations, and the Radiation Protection Regulations. It describes the information that the CNSC may require of a licensee who operates a nuclear power plant, and how, when and to whom the information is to be provided. When appropriately incorporated into an operating licence for a nuclear power plant, this Regulatory Standard and its contents are mandatory. In other situations, the document and its contents constitute guidance to interested persons, such as licence applicants, licensees and CNSC staff, on the typical reporting requirements for nuclear power plants. 3.0 BACKGROUND 3.1 Regulatory framework The CNSC is the federal agency that regulates the use of nuclear energy and materials to protect health, safety, security and the environment, and to respect Canada s international commitments on the peaceful uses of nuclear energy. The Nuclear Safety and Control Act (NSC Act, Act) requires persons or organizations to be licensed by the CNSC for carrying out the activities referred to in section 26 of the Act, unless otherwise exempted. The associated regulations stipulate prerequisites for CNSC licensing, and the obligations of licensees and workers. 3.2 CNSC licensing process The CNSC typically applies a phased process to its licensing of nuclear facilities and activities. For major facilities, this process begins with a consideration of the environmental impacts of the

8 S-99 Mars 2003 proposed project, and proceeds progressively through site preparation, construction, operation, decommissioning, and abandonment phases. The NSC Act and regulations require licence applicants to provide certain information at each licensing stage. The type and level of detail of this information will vary to accommodate the licensing stage and specific circumstances. At all licensing stages, applications may incorporate (directly or by reference) new or previously submitted information, in accordance with legislated requirements and the best judgement of the applicant. An application that is submitted at one licensing stage can become a building block for the next stage. Upon receipt of an application that is complete, the CNSC reviews it to determine whether the applicant is qualified to carry on the proposed activity, and has made 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. If satisfied, the CNSC may issue, renew, amend or replace a licence that contains relevant conditions. Typically, this licence will incorporate the applicant s undertakings and will contain other conditions that the CNSC considers necessary, including those that reference or incorporate a CNSC Regulatory Standard. 3.3 The legislative basis of this Regulatory Standard Under the NSC Act, a nuclear power plant is a nuclear facility. Accordingly, the sections of the NSC Act and its regulations that are directly relevant to the contents and application of this Regulatory Standard on reporting requirements for nuclear power plants are subsections 24(1)and 24(5), and paragraph 27(b), of the NSC Act; sections 15, 29, 30, 31 and 32 of the General Nuclear Safety and Control Regulations; paragraphs 6(2)(c), 16(a) and 16(e) of the Radiation Protection Regulations; and subparagraphs 6(k)(ii) and 6(k)(iii) of the Class I Nuclear Facilities Regulations. In particular: Subsections 24(1) and 24(5) of the NSC Act give the Commission the authority to establish classes of licences, and to include in those licences any terms or conditions that the Commission considers necessary for the purposes that are laid out in section 3 of the NSC Act. Pursuant to this authority, the Commission has established operating licences for nuclear power plants, and, for the purposes of the Act, proposes to incorporate this Regulatory Standard into these licences. Paragraph 27(b) of the NSC Act requires every licensee and every prescribed person to make the prescribed reports and to file them in the prescribed manner. In accordance with section 2 of the Act, prescribed means prescribed by regulation of the Commission. Accordingly, this paragraph obliges licensees who operate a nuclear power plant to file reports in accordance with any relevant requirements in the regulations of the Commission. Such requirements apply independently of this Regulatory Standard. Section 15 of the General Nuclear Safety and Control Regulations stipulates that every licensee shall notify the Commission of (a) the persons who have authority to act for the 2

9 March 2003 S-99 licensee in the licensee s dealings with the Commission, (b) the names and position titles of the persons who are responsible for the management and control of the plant, and (c) any change in the information referred to in (a) and (b), immediately preceding, within 15 days after the change occurs. This requirement has not been included in this Regulatory Standard. The General Nuclear Safety and Control Regulations specify various reporting requirements and exceptions for every CNSC licensee, including an operator of a nuclear power plant. Accordingly, when this Regulatory Standard is made a condition of a nuclear power plant operating licence, then under the provisions of subsections 29(3) and 31(2) of the General Nuclear Safety and Control Regulations, the reporting requirements of this Regulatory Standard supersede those of subsections 29(1), 29(2), and 31(1). Section 32 of the General Nuclear Safety and Control Regulations requires every report to include the name and address of the sender, as well as the date. The section also defines the date of the filing of a report to be the date that the report is received by the Commission. Paragraph 6(2)(c) of the Radiation Protection Regulations requires a licensee, including an operator of a nuclear power plant, to notify the Commission within the period specified in the licence, when the licensee becomes aware that an action level referred to in the licence has been reached. Paragraph 16(a) of the Radiation Protection Regulations stipulates that, when a licensee becomes aware that a dose of radiation received by and committed to a person or an organ or tissue may have exceeded an applicable dose limit prescribed by section 13, 14, or 15, the licensee shall immediately notify the person and the Commission of the dose. In accordance with paragraph 16(e) of the same regulations, the licensee shall also report to the Commission, within 21 days after becoming aware that the dose limit has been exceeded, the results of the investigation or on the progress that has been made in conducting the investigation. Subparagraphs 6(k)(ii) and 6(k)(iii) of the Class I Nuclear Facilities Regulations, although they address the information to be included in an application for a licence to operate a Class I nuclear facility, such as a nuclear power plant, imply that licensees are, during operation, to notify off-site authorities of accidental releases or the imminence of accidental releases, and to report information on any accidental releases to off-site authorities. Paragraphs 12(1)(e) and (f) of the General Nuclear Safety and Control Regulations stipulate obligations consistent with such notification and reporting. 4.0 TERMINOLOGY The Glossary at the end of the body of this document defines some of the special terms used herein. Terms which are contained in the glossary are identified by quotation marks the first time they appear in the body of this document. Other special terms (shown in italics) used in this document derive from the NSC Act, the General Nuclear Safety and Control Regulations, the Radiation Protection Regulations, the Class I Nuclear Facilities Regulations, the Nuclear Security Regulations, and the Nuclear Non-proliferation Import and Export Control Regulations. 3

10 S-99 Mars REQUIREMENT TO REPORT INFORMATION A licensee shall, when required to do so by a condition of the applicable CNSC operating licence, report information to the CNSC in accordance with this Regulatory Standard. The required reports shall be of the types and forms specified in this Regulatory Standard, and shall be made to, or filed with, the designated CNSC contact at the frequency, or within the time frames, specified herein. 6.0 SPECIFIC REPORTING REQUIREMENTS 6.1 Introduction The following sections and appendices of this standard describe the information that the licensee shall report to the CNSC, and when, how, and to whom the information is to be provided, to meet the requirements of section 5 of this standard. In particular: The reporting of information that is required pursuant to 6.3 of this standard, Requirements for Unscheduled Reporting, is to be made on an as-required basis, in response to any occurrence of the situations or events described. Section 6.4 of this standard, Requirements for Scheduled Reporting, covers the reporting of information on a scheduled, or anticipatory, basis, as described therein. The associated information requirements are organized and presented under report titles that variously reflect subject matter, regulatory use, or industry or CNSC conventions. 6.2 Preliminary vs. Detailed Reporting To meet this standard, a licensee must make or file preliminary and detailed reports, orally or in writing, in accordance with this standard. A preliminary report is an initial report, made or filed at an immediate or very early stage following the occurrence of a precipitating situation or event. Accordingly, a preliminary report will typically contain only preliminary, readily-available or provisional information on the situation or event being reported. A preliminary report may be made orally, or in writing, and shall be made to the designated CNSC contact, in accordance with the licence and this standard. For various situations or events where a preliminary report has been made to the CNSC, a followup detailed report must also be filed with the CNSC. Typically, this detailed report will be a complete, or full, report that, once filed, satisfies the relevant regulatory requirement to report. However, situations may arise where it is not reasonable to expect the licensee to file, within the time period specified, a detailed report that is truly complete for the intended purposes. Accordingly, this standard provides for the follow-up reporting of additional information, where a licensee has committed, in a detailed report in accordance with the requirements of this standard, to the submission of such information. 4

11 March 2003 S Requirements for Unscheduled Reporting Situations and events that require both preliminary and detailed reports To meet this standard, a licensee shall make both preliminary and detailed reports for any of the following situations or events: Non-compliance (1) A contravention of, or a failure to comply with, the NSC Act, regulations made pursuant to the NSC Act, or an order of the Commission, a designated officer or an inspector that is not otherwise addressed in this standard. (2) A contravention of, or a failure to comply with, a licence condition that is not otherwise addressed in this standard. (3) A safety-significant contravention of, or failure to comply with, licenseeproduced licensing documents that is not otherwise addressed in this standard. Deficiency in records (4) An inaccuracy or incompleteness in a record that the licensee is required to keep by the NSC Act, the regulations made under the NSC Act or the licence, where the inaccuracy or incompleteness could lead to a situation in which the environment, the health and safety of persons or national security is adversely affected. Health and safety (5) The death of any person at the nuclear power plant including anywhere within the exclusion zone which is specified in the licence. (6) The serious illness or injury of any person incurred or possibly incurred as a result of the operation of the nuclear power plant. (7) The occurrence of an event that has resulted, that is likely to result, or that may result, in the exposure of a person or organ or tissue to radiation in excess of the applicable radiation dose limits prescribed by the Radiation Protection Regulations. (8) An event that could have caused a reportable dose of radiation under the Radiation Protection Regulations, but did not, due to fortuitous circumstances rather than to approved procedures. (9) The misuse, by any person, of any thing that is intended to protect the health or safety of persons or the environment from risks associated with the operation of the nuclear power plant. Releases (10) A release of a nuclear substance into the environment in a quantity, at a rate, or in a manner, that is not authorized by the governing acts and regulations, or the licence. (11) A release of a hazardous substance that has adversely affected, or has the potential to adversely affect, the environment. (12) An unmeasured release of a nuclear substance into the environment, where the release cannot be shown to be authorized by the governing acts and regulations, or the licence. 5

12 S-99 Mars 2003 Process failures (13) A serious process failure. (14) A potential serious process failure. (15) A situation or event requiring a reactor shutdown in accordance with a licence condition or a licensing document. (16) An event that results in an acute and unrecoverable loss of more than 100 kg. of heavy water. Safety systems (17) An actuation, at any power level, of one or both shutdown systems, except where: (a) the actuation occurs while the reactor unit is in a guaranteed shutdown state, and does not indicate that the shutdown guarantee has failed; or (b) the actuation was deliberate, as part of a pre-planned test sequence. (18) An actuation of an emergency core cooling system or an actuation of an emergency core cooling subsystem as a consequence of an initiating parameter exceeding a set point. (19) A spurious operation, or a failure, of a device at the final point of control for the purpose of separating the circuits of the heat transport system from the emergency core cooling systems. (20) An actuation of a containment system or an actuation of a containment subsystem as a consequence of an initiating parameter exceeding a set point. (21) A degradation, of a special safety system or standby safety-related system, that: (a) (b) prevents any special safety system or standby safety-related system from performing its safety-related function as intended, or meeting its defined specifications ; or that could result in a hazard to the health and safety of any person required for the operation of the system. Pressure boundaries (22) A degradation, of a pressure boundary of a safety-related system, that exceeds a relevant limit specified in the applicable design analysis, design codes or standards, or inspection codes or standards, except a non-safety-significant deformation or crack, a pinhole that does not have the potential to significantly impair the operating ability of the system, and a degradation that causes a leak that does not exceed a limit specified in a licensing document. Accordingly, the degradations to be reported include: (a) a rupture; (b) a safety-significant deformation or crack; (c) the formation of a pinhole that is due to degradation, and that has the potential to significantly impair the operating ability of the system; (d) a degradation that causes a leak that exceeds a limit specified in a licensing document; (e) a change, in the size, rating or material properties of any part of a pressure boundary that was not allowed for in the design of the boundary; (f) a local, or general, reduction in wall thickness beyond that allowed by the applicable pressure vessel code, standard or act under which the 6

13 March 2003 S-99 safety-related-system s pressure boundary was registered, or could have been registered; and (g) a degradation of over-pressure protection equipment (other than a relief device that, during the testing of its set-point(s), activates at a point between its maximum set-point and the hydrostatic test pressure of the associated system) that caused or would have caused the equipment to fail to operate in accordance with the over-pressure protection report or another licensing document. (23) A transient load-condition that exceeds a relevant design condition of a pressure boundary, or that exceeds Level B service limits for a nuclear component that has been designed in accordance with Section III, Division 1, Subsection NB of the ASME Boiler & Pressure Vessel Code. (24) An analysis related to a pressure boundary of a safety-related system that concludes that an applicable limit that is specified in the associated design analyses, the design and inspection codes, or the design and inspection standards, has been exceeded. (25) A pressure boundary failure within the protected area of a nuclear power plant that results in injury or property damage. (26) A situation where the configuration of a valve or other device associated with a pressure boundary contravenes relevant requirements in the over-pressure protection report or another licensing document. Reactor and turbine control (27) A reduction below defined specifications of the effectiveness of a system for: (a) controlling reactor-power; (b) controlling the pressure and inventory of the primary heat transport system; or (c) protecting the steam turbine. Safeguards (28) Interference with or an interruption in the operation of safeguards equipment or the alteration, defacement or breakage of a safeguards seal, other than in accordance with the safeguards agreement, the NSC Act, the regulations made under the Act or the licence [Paragraph 30(1)(a) of the General Nuclear Safety and Control Regulations]. (29) The theft, loss or sabotage of safeguards equipment or samples collected for the purpose of a safeguards inspection, damage to such equipment or samples, or the illegal use, possession, operation or removal of such equipment or samples [Paragraph 30(1)(b) of the General Nuclear Safety and Control Regulations]. Security (30) A theft or loss of a nuclear substance (except for a loss of heavy water), prescribed equipment, or prescribed information that is used in carrying on any activity that is authorized by the NSC Act and the licence. (31) A transfer or disclosure of prescribed information that is not permitted by the NSC Act and the regulations made under the Act. (32) An attempted or actual breach of security or an attempted or actual act of sabotage at the nuclear power plant. 7

14 S-99 Mars 2003 (33) A misuse of security-related equipment or a threat made against the nuclear power plant. (34) An actual, impending, planned or threatened work disruption, including a slowdown, walkout, or strike, or another action, such as civil demonstrations, that could affect the safety or security of operations at the nuclear power plant or the capability of the licensee to maintain the staffing levels required by the licence. Emergency (35) A situation or event that requires the implementation of a contingency or emergency plan in accordance with the licence. (36) A declaration of an alert or emergency, within the nuclear power plant, where personnel or resources are mobilized by the licensee in response to an unexpected occurrence that creates a hazard to the safe operation of the nuclear power plant, to the environment or to the health and safety of persons. External events (37) An earthquake that gives rise to a free-field motion, at a nuclear power plant site, that exceeds the trigger range that the Canadian Standards Association publication, CAN/CSA N289.5: Seismic Instrumentation Requirements for CANDU Nuclear Power Plants, specifies for seismic-measurement instruments; or where instruments that meet CAN/CSA N289.5 are not available, any earthquake that occurs within 500 kilometres of the nuclear power plant site and is greater than magnitude 5 on the Richter scale. (38) The occurrence of any unusual external conditions at the site, including fires, floods, plane crashes, gas explosions, gas releases, high winds, missiles or ice conditions, that resulted in, or that had significant potential to result in operating transients at the nuclear power plant. Testing and monitoring (39) A failure to perform a test that is required by a licence condition, including any routine test of a safety-related system that is required by a licensing document that has not been deferred in accordance with procedures that are permitted by the licence. (40) A failure to monitor or control the release of a nuclear substance except where the failure is in accordance with procedures that are permitted by the licence. (41) A failure to monitor or control the release of a hazardous substance as required by the licence except where the failure is in accordance with procedures that are permitted by the licence. Hazards not addressed in licensing documents (42) A situation or an event arising from nuclear power plant operating experience that reveals a hazard to the health and safety of persons, security or the environment, that is different in nature, greater in probability, or greater in magnitude than was previously represented to the Commission in the licensing documents, including: (a) a special safety system that does not meet its defined specifications; 8

15 March 2003 S-99 (b) (c) (d) (e) (f) (g) a reactor that is operating in a state that was not considered in the safety analysis; the occurrence of an event of a type that was not considered in the safety analysis; an unexplained and unexpected behaviour of a reactor-core; an event where two or more systems or components, which were assumed in the safety analysis to be mutually independent, are in fact interdependent; a mistake in a licensing document that, if relied upon or acted upon, would increase the risk to the health and safety of persons, security or the environment; or a release of a nuclear substance or a hazardous substance, in a quantity or rate, that is found to be greater than those predicted in the safety analysis. Financial status (43) The occurrence of any of the following situations or events: (a) the making of an assignment by or in respect of the licensee under the Bankruptcy and Insolvency Act, (b) the making of a proposal by or in respect of the licensee under the Bankruptcy and Insolvency Act, (c) the filing of a notice of intention by the licensee under the Bankruptcy and Insolvency Act, (d) the filing of a petition for a receiving order against the licensee under the Bankruptcy and Insolvency Act, (e) the enforcement by a secured creditor of a security on all or substantially all of the inventory, accounts receivable or other property of the licensee that was acquired for, or used in relation to, a business carried on by the licensee, (f) the filing in court by the licensee of an application to propose a compromise or an arrangement with its unsecured creditors or any class of them under section 4 of the Companies' Creditors Arrangement Act, (g) the filing in court by the licensee of an application to propose a compromise or an arrangement with its secured creditors or any class of them under section 5 of the Companies' Creditors Arrangement Act, (h) the making of an application for a winding-up order by or in respect of the licensee under the Winding-up and Restructuring Act, (i) the making of a liquidation, bankruptcy, insolvency, reorganization or like order in respect of the licensee under provincial or foreign legislation, or (j) the making of a liquidation, bankruptcy, insolvency, reorganization or like order in respect of a body corporate that controls the licensee under provincial or foreign legislation Situations and events that require notifications or reports The reaching of an action level (a) When a licensee becomes aware that an action level referred to in the licence for the purpose of subsection 6(2) of the Radiation Protection Regulations has been 9

16 S-99 Mars 2003 (b) reached, the licensee shall notify the designated CNSC contact within the time specified in the licence. When a licensee becomes aware that an action level referred to in the licence for the purpose of subsection 6(2) of the Radiation Protection Regulations has been reached, the licensee shall, within 45 days of the date that the licensee became aware that the action level had been reached, file with the designated CNSC contact, a report that: (i) describes the results of the investigation conducted to establish the cause for reaching the action level; (ii) describes the actions identified and taken to restore the effectiveness of the radiation protection program implemented in accordance with section 4 of the Radiation Protection Regulations; (iii) identifies any missing information, and describes how and when the missing information will be provided to the CNSC; and (iv) includes the name and address of the sender of the report, the date of completion of the report and the signature of the designated representative of the licensee Performance and status of certified personnel To meet this standard, a licensee shall file a report with the CNSC within 21 days of the occurrence of certain situations or events relating to the performance or status of personnel who have been certified by the Commission. The required report shall be filed with the designated CNSC contact, in response to any of the following situations or events: (a) a termination of the employment of a certified person in the position for which the person is certified by the Commission; (b) a removal of a certified person from the duties of the position for which the person is certified by the Commission, and any subsequent reinstatement of the person to the duties of the position; and (c) a failure, by a certified person, to pass a re-qualification test referred to in the licence or a failure of a certified person to take a re-qualification test referred to in the licence. The report shall contain the following information, if the information is relevant to the situation or event being reported: (a) the full name and position of the certified person; (b) The date of any termination of employment of a certified person in a position for which the person has been certified; (c) the date of any removal of a certified person from the duties of a position for which the person is certified by the Commission and the reasons for the removal of the certified person; (d) the date of any reinstatement of a certified person to the duties of a position for which the person is certified by the Commission and the remedial action taken prior to the reinstatement; (e) for any situation where a certified person failed a re-qualification test referred to in the licence, or failed to take any re-qualification test referred to in the licence, the type and date of the test that the person failed or did not take; and 10

17 March 2003 S-99 (f) the name and address of the sender of the report, the date of completion of the report and the signature of the designated representative of the licensee Reports of problems identified by research findings or revised analyses To meet this standard, a licensee shall, within 21 days of becoming aware, through research findings or new or revised safety analyses, of a problem or potential problem that represents a hazard or potential hazard to the health and safety of persons, security or the environment, or that is different in nature, greater in probability, or greater in magnitude than was previously represented to the Commission in licensing documents, file a report with the designated CNSC contact. The problems, or potential problems, that the licensee shall report to the CNSC under this standard include the following occurrences: (a) when a final safety analysis report for a nuclear power plant contains an assumption, input, analytical method or safety analysis result that is, or that may be, invalid; (b) when a limit defined in the nuclear power plant licensing documents, or in appendices to these documents, is or may be inadequate to assure safety; (c) when an analysis, from which a limit in a licensing document was derived, may be invalid or uncertain such that the margin of safety may be less than predicted; (d) when the defined specifications of a special safety system or of a safety-related system of a nuclear power plant are or may be invalid; (e) when a nuclear power plant licensing document contains an error that, if accepted, relied or acted upon as being valid, could give rise to increased risks to the health and safety of persons, security or the environment; and (f) when the measures that are in place for the purpose of protecting the environment from the operating impacts of a nuclear power plant are, or may be, inadequate. The report shall include the following information: (a) the identification of the nuclear power plant and any reactor unit(s) that is or may be affected by the problem or potential problem; (b) the identification of any structure, system, component or function of the nuclear power plant that is or may be affected by the problem or potential problem; (c) a description of the problem or potential problem, and its actual or potential safety-significance; (d) a summary of the research or analysis that led to awareness of the problem or potential problem; (e) an evaluation of the degree of any impairment of a special safety system or safety-related system; (f) a description of the corrective actions that have been taken, or that are proposed to be taken, to address the problem or potential problem; and (g) the name and address of the sender of the report, the date of completion of the report and the signature of the designated representative of the licensee. 11

18 S-99 Mars Making and filing preliminary and detailed reports Preliminary reports Making preliminary reports To meet this standard, the licensee shall make preliminary reports, as specified herein. For those situations or events identified in , a preliminary report of the situation or event is required immediately, where immediately means immediately after the licensee becomes aware of the situation or event and initiates any required response actions, such as alerting the staff of the nuclear power plant, or alerting any municipal or provincial authorities who are responsible for responding to the situation or event. For all other situations or events that require a preliminary report to the CNSC, the licensee shall make the preliminary report on or before the first business day after the day that the licensee determines that this standard requires the situation or event to be reported to the CNSC. A preliminary report that is required by this standard shall be made to the designated CNSC contact, as follows: (a) A preliminary report that is to be made to the CNSC immediately shall be made to the designated CNSC contact, or, where the licensee cannot, to the CNSC emergency duty officer. (b) A preliminary report to the CNSC that is not required immediately shall be made to the designated CNSC contact Reporting schedules To meet this standard, a licensee shall: (a) immediately make a preliminary report to the CNSC for any of the following situations or events: (i) a death at the nuclear power plant, as described in 6.3.1(5) of this standard; (ii) an overexposure, or possible overexposure of a person, or of an organ or a tissue of a person, as described in (7) of this standard; (iii) an unauthorized quantity, rate, or manner of release, of a nuclear substance, as described in 6.3.1(10) of this standard; (iv) a release, of a hazardous substance, that has an adverse affect on the environment, as described in 6.3.1(11) of this standard; (v) an unmeasured release into the environment of a nuclear substance, as described in 6.3.1(12) of this standard; (vi) any situation described in 6.3.1(28) or 6.3.1(29) of this standard that involves safeguards; (vii) a loss or theft of a nuclear substance, prescribed equipment or prescribed information, as described in 6.3.1(30) of this standard; (viii) any security-related incident described in 6.3.1(30),6.3.1(31), 6.3.1(32) or 6.3.1(33) of this standard, where a hazard to the health and safety of persons, to the environment or to the security of the nuclear facility continues to exist; and 12

19 March 2003 S-99 (b) (ix) an emergency, as described in 6.3.1(35) or 6.3.1(36) of this standard which is ongoing; and for any situation or event described in of this standard, other than a situation or event described in (a) or a situation or event that was anticipated and described in any preliminary report to the CNSC during the previous 45 days, make a preliminary report to the CNSC of the situation or event by the end of the first normal day of business after the day that the licensee determines that the situation or event is to be reported Contents of preliminary reports To meet this standard, any preliminary report to the CNSC of a situation or event shall: (a) state the date, time and circumstances of the discovery of the situation or event; (b) state the date and time of the onset, and the duration, of the situation or event, or a best estimate thereof ; (c) identify the affected nuclear power plant, and any associated reactor units, structures, systems, components, functions or personnel affected by the situation or event; (d) describe the occurrence and consequences of the situation or event, and any actions that the licensee has taken, or proposes to take, with respect to the situation or event; and (e) describe any exposure of a person to radiation as a consequence of the situation or event Detailed reports Reporting schedules To meet this standard, a licensee shall file detailed reports of situations and events described in of this standard, as follows: (a) For any situation or event that results in the exposure of a person or organ or tissue to radiation in excess of an applicable radiation dose limit prescribed by the Radiation Protection Regulations, [see 6.3.1(7) of this standard] or for any situation or event related to safeguards [see 6.3.1(28), 6.3.1(29) of this standard] or financial status [see 6.3.1(43) of this standard], the licensee shall file a detailed report of the situation or event with the CNSC within 21 days of making the preliminary report of the situation or event; and (b) For all situations and events described in of this standard, except those described in 6.3.1(7), 6.3.1(28), 6.3.1(29) and 6.3.1(43), the licensee shall file the detailed report with the CNSC within 45 days of making the preliminary report of the situation or event Contents of detailed reports To meet this standard, detailed reports are required for situations or events described in section of this standard. These reports shall contain certain information, as described below. 13

20 S-99 Mars 2003 (a) (b) A detailed report that is filed with the CNSC for any situation or event described in of this standard, except a situation or event described in 6.3.1(4), 6.3.1(7), 6.3.1(28), 6.3.1(29) or 6.3.1(43), shall contain the following information: (i) the information that was contained in the preliminary report and any updates that are necessary to better reflect new information, with the changes from the preliminary report clearly indicated; (ii) the reporting provision in section of this standard that best describes the situation or event; (iii) a description of the condition of the site where the situation or event has occurred and the operating conditions of any power reactor unit involved in the situation or event, including the power level at which the reactor was operating immediately prior to the situation or event; (iv) a description of any actions taken in immediate response to the situation or event; (v) the names of any municipal, provincial and federal authorities that were (iv) notified of the situation or event; a detailed description of the occurrence of the situation or event, including the associated circumstances, causes and consequences, and any relevant conclusions or findings established by investigative process; (vii) a statement of the safety significance of the situation or event, including, if there is an actuation of either shutdown system, a statement as to whether the situation or event was a serious process failure; (viii) an evaluation of the degree of impairment of special safety systems or of standby safety-related systems; (ix) for situations or events of safety-significance, the root-cause analysis of the situation or event; (x) the measured or estimated doses to the nuclear power plant personnel and to the public, as a consequence of the situation or event; (xi) a description of any resulting impact on the environment; (xii) the conclusions reached, and any actions taken, as a result of any review of a comparable situation or event; (xiii) a description of the actions taken, or proposed to be taken, to correct the situation or event and to prevent a recurrence of the situation or event, including those actions that result from a root-cause analysis; (xiv) the comments and recommendations of the nuclear power plant management, including comments on the appropriateness of the actions taken by operating staff; (xv) a statement addressing whether the detailed report is complete, or whether a report of additional information will be made and, if so, the associated number or identifier; and (xvi) the name and address of the sender of the detailed report, the date of completion of the report and the signature of the designated representative of the licensee. A detailed report that is filed with the CNSC, for any situation or event involving an inaccuracy or incompleteness in a record that the licensee is required to keep [see 6.3.1(4) of this standard], shall contain the following information: 14

21 March 2003 S-99 (i) (ii) (iii) (iv) the details of the inaccuracy or incompleteness; any action that the licensee has taken or proposes to take with respect to the inaccuracy or incompleteness; a statement addressing whether the detailed report is complete, or whether a report of additional information will be filed and, if so, the associated number or identifier; and the name and address of the sender of the report, the date of completion of the report and the signature of the designated representative of the licensee. (c) (d) (e) A detailed report that is filed with the CNSC, for any situation or event that has resulted, that is likely to result, or that may result in the exposure of a person or organ or tissue to radiation in excess of the applicable radiation dose limits prescribed by the Radiation Protection Regulations [see 6.3.1(7) of this standard], shall contain the following information: (i) the results of the investigation conducted to determine the magnitude of the dose and to establish the causes of the exposure, or on the progress that has been made in conducting that investigation; (ii) a description of the action(s) taken to prevent the occurrence of a similar incident; (iii) a statement addressing whether the detailed report is complete, or whether a report of additional information will be filed and, if so, the associated number or identifier; and (iv) the name and address of the sender of the report, the date of completion of the report and the signature of the designated representative of the licensee. A detailed report that is filed with the CNSC, for any situation or event that involves safeguards provisions [see 6.3.1(28), 6.3.1(29) of this standard], shall contain the following information: (i) the date, time and location of discovery of the situation; (ii) a description of the situation and the circumstances; (iii) (iv) (v) (iv) the probable cause of the situation; the adverse effects on the environment, the health and safety of persons and the maintenance of national and international security that have resulted or may result from the situation; the effective dose and equivalent dose of radiation received by any person as a result of the situation; the actions that the licensee has taken or proposes to take with respect to the situation; and (vii) the name and address of the sender of the report, the date of completion of the report and the signature of the designated representative of the licensee. A detailed report that is filed with the CNSC, for any situation or event described in 6.3.1(43) of this standard, shall contain the following information: (i) the date, time and location of the discovery of the situation or event; (ii) a description of the situation or event and its circumstances; (iii) the probable cause of the situation or event; (iv) the effects on the environment, the health and safety of persons and the maintenance of security that have resulted or may result from the situation or event; 15

22 S-99 Mars 2003 (v) the effective dose and equivalent dose of radiation received by any person as a result of the situation or event; (vi) the actions that the licensee has taken or proposes to take with respect to the situation or event; and (vii) the name and address of the sender of the report, the date of completion of the report and the signature of the designated representative of the licensee Submission of additional information Situations or events can occur at nuclear power plants where detailed, final or validated information is not immediately available or attainable by the reporting deadline. Such situations or events are those where a relevant analysis, assessment, measurement or investigation has not been completed, or dynamic situations which have not attained or maintained a requisite level of stability and predictability. Accordingly, and as noted in section 6.2 of this standard, this standard expressly provides for the submission of additional information where a detailed report is filed incomplete. The provision does not extend to all situations or events that require detailed reporting under the regulations and this standard. For the situations or events described in (28) and 6.3.1(29) of this standard, the reporting requirement in the regulations and this standard are identical (i.e., they require preliminary and full reports), and do not allow for the submission of incomplete reports. A report of additional information, to complete a previously-filed detailed report, shall: (a) contain the information that the licensee, in the corresponding detailed report to the CNSC, undertook to file with the CNSC by means of an additional report; (b) describe the impacts of the additional information on the substance, conclusions or interpretation of the detailed report to which the additional report refers, (c) state whether the information contained in the report is complete, or further information will be filed; and (d) include the name and address of the sender of the report, the date of completion of the report and the signature of the designated representative of the licensee Request for retraction of a preliminary or detailed report A licensee may, for any situation or event described in of this standard, other than the event referred to in 6.3.1(7), request the retraction of any preliminary or detailed report that the licensee has made to, or filed with, the CNSC pursuant to this standard. The request for retraction shall be filed with the designated CNSC contact, and shall contain: (a) the title, the identifying number and the date of submission of the report to which the request pertains; (b) a description of the grounds for the request, including the reasons that the licensee believes that the report is not required by the licence or the regulations; and (c) the name and address of the sender of the request, the date of the request and the signature of the designated representative of the licensee. 16