REGDOC-3.1.1, Reporting Requirements for Nuclear Power Plants
Preface
This regulatory document is part of the CNSC's reporting requirements series of regulatory documents, which also covers reporting requirements for facilities such as uranium mines and mills or other nuclear facilities. The full list of regulatory document series is included at the end of this document and can also be found on the CNSC's website at nuclearsafety.gc.ca/eng/acts-and-regulations/regulatory-documents
Regulatory document REGDOC-3.1.1, Reporting Requirements for Nuclear Power Plants, sets out the timing and information that nuclear power plant licensees are required to report to the CNSC to support the conditions of applicable power reactor operating licences (PROL). This document presents the types of reports, their frequency and the applicable timeframe for reporting.
This document also contains guidance, explanatory information, forms and templates to assist users in meeting reporting requirements. Additional forms and data sheets can be found on the CNSC website at nuclearsafety.gc.ca
This document replaces S-99, Reporting Requirements for Operating Nuclear Power Plants, published in March 2003.
This document is part of a suite of regulatory documents providing for situation or event and routine compliance monitoring reporting, and the public information and disclosure program for nuclear facilities.
Key principles and elements used in developing this document are consistent with national and international standards.
Important note: Where referenced in a licence either directly or indirectly (such as through licensee-referenced documents), this document is part of the licensing basis for a regulated facility or activity.
The licensing basis sets the boundary conditions for acceptable performance at a regulated facility or activity, and establishes the basis for the CNSC's compliance program for that regulated facility or activity.
Where this document is part of the licensing basis, the word "shall" is used to express a requirement to be satisfied by the licensee or licence applicant. "Should" is used to express guidance or that which is advised. "May" is used to express an option or that which is advised or permissible within the limits of this regulatory document. "Can" is used to express possibility or capability.
Nothing contained in this document is to be construed as relieving any licensee from any other pertinent requirements. It is the licensee's responsibility to identify and comply with all applicable regulations and licence conditions.
Table of Contents
- 1. Introduction
- 2. Reporting Requirements
- 3. Scheduled Reporting
- 3.1 Quarterly report on safety performance indicators
- 3.2 Quarterly report on nuclear power plant pressure boundaries
- 3.3 Quarterly report on nuclear power plant personnel
- 3.4 Quarterly report on operational security
- 3.5 Annual report on environmental protection
- 3.6 Annual report on research and development
- 3.7 Annual report on risk and reliability
- 3.8 Annual report on fuel monitoring and inspection
- 4. Other Scheduled Specific Periodic Reports
- 5. Event Reports and Notifications
- Appendix A: Event Reporting, Notifications and Filing of Specific records
- Appendix B: Safety Performance Indicators - Specifications and Data Sheets
- Collective radiation exposure
- Personnel contamination events
- Unplanned dose / unplanned exposure
- Loose contamination events
- Environmental Releases - Radiological
- Spills
- Mispositioning Index
- Number of Unplanned Transients
- Reactivity Management Index
- Unit Capability Factor
- Unplanned Capability Loss Factor
- Forced Loss Rate
- Reactor Trip Rate (RTR)
- Corrective Maintenance Backlog
- Deficient Maintenance Backlog
- Deferral of Preventive Maintenance
- Safety System Test Performance
- Preventive Maintenance Completion Ratio
- Chemistry Index
- Chemistry Compliance Index (non-GSS and GSS)
- Conventional Health and Safety
- Radiological Emergencies Performance Index
- Emergency Response Organization (ERO) drill participation index
- Emergency Response Resources Completion Index
- Low- and Intermediate-Level Radioactive Solid Waste Generated
- Appendix C: Content Requirements for the Annual Risk and Reliability Report
- Glossary
- References
1. Introduction
1.1 Purpose
This regulatory document sets out the requirements and guidance of the Canadian Nuclear Safety Commission (CNSC) for reports, notifications and filing of specific records to the CNSC by licensees of nuclear power plants (NPPs).
Licensees are required to report to the CNSC using event reports for situations or events of higher safety significance and that may require short-term action by the CNSC, and to submit routine scheduled reports on various topics that are required for longer-term compliance monitoring.
Licensees are also required to provide notification of certain normal business activities and to file specific records with the CNSC in accordance with the Nuclear Safety and Control Act (NSCA) and the regulations made under the NSCA.
1.2 Scope
This regulatory document incorporates and expands upon requirements found in the NSCA and the regulations made under the NSCA for reporting. "Reporting" means scheduled reports, event reports, notifications and the submission of specific records.
Nothing contained in this document is to be construed as relieving any licensee from any other pertinent requirements. It is the licensee's responsibility to identify and comply with all applicable regulations and licence conditions.
1.3 Relevant legislation
The following provisions of the NSCA and regulations made under the NSCA are relevant to this document:
- pursuant to subsection 24(5) of the NSCA, the CNSC may include in a licence any terms and conditions it considers necessary for the purposes of the NSCA; when incorporated into a licence, this regulatory document requires reporting from the licensee that is in addition to the prescribed reporting requirements found in the NSCA and the regulations made under it
- paragraph 27(b) of the NSCA states that "Every licensee and every prescribed person shall (b) make the prescribed reports and file them in the prescribed manner"; in accordance with section 2 of the NSCA, "prescribed" means prescribed by regulation of the Commission
- section 44 of the NSCA and sections 29, 30 and 31 of the General Nuclear Safety and Control Regulations contain provisions where the submission time for full reports can be extended by the terms of a licence condition
- section 45 of the NSCA states that "Every person who, on reasonable grounds, believes that
"(a) "a place or vehicle is contaminated, in excess of the prescribed limit, by a radioactive nuclear substance, or
"(b) an event has occurred that is likely to result in the exposure of persons or the environment to a dose of radiation in excess of the prescribed limits
"shall immediately notify the Commission or an appropriate authority of the location and circumstances of the contamination or event" - subsection 9(4) of the General Nuclear Safety and Control Regulations states that "Every person who carries on an activity without a licence in accordance with subsection [9](1) or [9](2) shall immediately notify the Commission of that fact"
- section 15 of the General Nuclear Safety and Control Regulations states that "…every licensee shall notify the Commission of
(a) the persons who have authority to act for them in their dealings with the Commission;
(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 information encompassed by the licence; and
(c) any change in the information referred to in paragraphs (a) and (b), within 15 days after the change occurs" - subsections 28(1) and (2) of the General Nuclear Safety and Control Regulations specify the reporting requirements and procedures for record keeping and disposal as required by the NSCA, the regulations made under the NSCA or the licence, and subsection 28(3) states that "a person who notifies the Commission in accordance with subsection (2) shall file the record, or a copy of the record, with the Commission at its request"
- section 29 of the General Nuclear Safety and Control Regulations specifies reporting requirements for general reports; of particular note:
- paragraph 29(1)(b) requires an immediate "preliminary report to the Commission of the location and circumstances of the situation and of any action that the licensee has taken or proposes to take with respect to … the occurrence of an event that is likely to result in the exposure of persons to radiation in excess of the applicable radiation dose limits prescribed by the Radiation Protection Regulations"
- subsection 29(2) requires that "every licensee who becomes aware of a situation referred to in subsection (1) shall file a full report of the situation with the Commission within 21 days … unless some other period is specified in the licence"
- section 30 of the General Nuclear Safety and Control Regulations specifies reporting requirements for safeguards reports
- section 31 of the General Nuclear Safety and Control Regulations specifies reporting requirements for deficiencies in records
- section 32 of the General Nuclear Safety and Control Regulations states that
"(1) every report shall include the name and address of its sender and the date on which it was completed.
(2) The date of filing of a report is the date on which it is received by the Commission" - paragraph 6(2)(c) of the Radiation Protection Regulations states that "When a licensee becomes aware that an action level referred to in the licence for the purpose of this subsection has been reached, the licensee shall
(c) notify the Commission within the period specified in the licence" - section 16 of the Radiation Protection Regulations states 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
(a) immediately notify the person and the Commission of the dose;
(e) within 21 days after becoming aware that the dose limit has been exceeded, report to the Commission the results of the investigation or on the progress that has been made in conducting the investigation" - subparagraphs 6(k)(ii) and (iii) of the Class I Nuclear Facilities Regulations stipulate that licensee shall notify and report information on any accidental or imminent accidental releases to offsite authorities
- subsections 18(3) and 30(2) of the Nuclear Substances and Radiation Devices Regulations stipulate situations related to exposure devices or sealed sources that require notification and reporting; in addition, sections 35 and 38 of the same regulations stipulate situations related to nuclear substances and radiation devices that require notification and reporting
- sections 19, 21 and 22 of the Packaging and Transport of Nuclear Substances Regulations stipulate the situations for events concerning transportation of nuclear substances and radiation devices that require notification and reporting
- subsection 7.5(4) of the Nuclear Security Regulations states that "every licensee shall provide a copy of the written record, together with a statement of actions taken as a result of the [yearly] threat and risk assessment, to the Commission within 60 days after completion of the assessment"; in addition, sections 21 and 36 and subsection 44(2) stipulate the situations for notification for other nuclear security
- section 36(3) of the Nuclear Security Regulations states that "every licensee shall notify the Commission in writing of its intention to conduct a security exercise at least 60 days before the exercise date"
2. Reporting Requirements
The following reporting requirements apply to NPPs:
- the licensee shall manage requirements for reporting, notifications and filing of specific records with the CNSC under this regulatory document in conjunction with other reporting requirements specified in the NSCA, the regulations, and the licence
- all reports filed by the licensee according to this regulatory document shall contain the name and address of the sender of the report and the date of completion of the report
- the licensee shall mark all reports made or filed under this regulatory document with an appropriate protection and classification and shall file reports under the appropriate security precautions
- after determining if a situation or event is reportable, the licensee shall file an event report:
- immediately for a significant situation or event
- within five business days for a non-significant situation or event
- the licensee shall report on the specific reporting provisions listed in table A.1 of this document
- the licensee shall use a safety significance classification system as documented in its management system to determine the safety significance of a situation or event
- an event report that must be submitted immediately may be made orally or filed in writing; an event report made orally shall be followed by a written event report within five business days of the oral event report submission
- if any required information is missing from an event report, the licensee shall file all of the required missing detailed information within 60 days of filing an original event report for significant situations or events; otherwise, the licensee shall notify the CNSC that an extension is necessary and provide a date when the missing detailed information will be submitted
- the licensee shall file scheduled reports with the CNSC at the following frequencies and times:
- quarterly reports are due 90 calendar days after the end of the previous reporting quarter
- annual reports are due on May 1 after the end of the previous calendar year, with the exception of the report on research and development, which is due July 1 after the end of the previous calendar year
- any extensions to scheduled report due dates require the prior acceptance of the CNSC
Guidance
Table A.1 in appendix A provides a list of situations and events to be reported regardless of their safety significance.
In item 2, the "sender of the report" should always be a designated representative of the licensee.
In item 4a, "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.
The licensee should make all reasonable efforts to obtain timely and validated information when filing reports to the CNSC. For event reports in situations or events that have not attained stability and predictability, timeliness shall be prioritized over the availability of data and/or information.
A situation or event that triggers multiple reporting provisions may be amalgamated into a single event report at the discretion of the licensee.
Licensees should use the reporting provisions of table 1 that best correspond to the reported situation(s) or event(s).
If, after further investigation, the licensee believes a situation or event was not reportable, the licensee may provide a written justification to the CNSC.
Licensees should use the situation or event reporting according to this regulatory document as an input to their public disclosure protocol.
3. Scheduled Reporting
Licensees shall submit the following scheduled reports:
- quarterly report on safety performance indicators
- quarterly report on NPP pressure boundaries
- quarterly report on NPP personnel
- quarterly report on operational security
- annual report on environmental protection
- annual report on research and development (R&D)
- annual report on risk and reliability
- annual report on fuel monitoring and inspection
Details on each scheduled report are provided below.
3.1 Quarterly report on safety performance indicators
The safety performance indicator reports shall be submitted on a quarterly basis. It shall be based on the specifications for each safety performance indicator and shall contain the information listed in the data sheet. The specifications and data sheets are provided in appendix B.
3.2 Quarterly report on nuclear power plant pressure boundaries
The NPP pressure boundary report shall be submitted on a quarterly basis. It shall include balance of plant and process systems as part of the list of safety-related systems for the purposes of reporting on pressure boundaries and pressure boundary degradations.
Industry shall use its own specific facility lists to identify all safety-related systems.
The report shall contain the following information:
- a brief description of any occurrence of a pressure boundary deformation or crack that was not reported under an event report; the description shall include the date of discovery, the magnitude of the deformation or crack, and the associated circumstances, causes and consequences
- a brief description of any occurrence of a leak in a pressure boundary that was not reported under an event report, where the leak did not exceed any relevant limit specified in a licensing document; the description shall include the date of discovery, the magnitude of the leak, and the associated circumstances, causes and consequences
- a brief description of the occurrence of any degradation or fault of a pressure relief device that resulted in the pressure-relief device opening during testing at a pressure which lies between its maximum set-point pressure and the hydrostatic test pressure of the associated system; the description shall include the date of discovery of the degradation or fault and the associated circumstances, causes and consequences
- any supporting information relevant to the descriptions required in items 1, 2 and 3 above
3.3 Quarterly report on nuclear power plant personnel
The report on the performance of NPP personnel shall be submitted on a quarterly basis and shall contain the following information:
- a list of the names of all persons, certified by the CNSC, who worked at the NPP during the quarter
- for certified shift workers, the number of shifts worked in the quarter, the reasons for not meeting the minimum shift worked requirements, and a description of any remedial actions being taken
- the names and dates of any certified person assigned, in excess of six months, to a position that does not require CNSC certification, and the title or description of the temporary position
- the names and dates of any certified persons whose employment ceased with the licensee's organization during the quarter
- a list of non-compliances with the limits of hours worked for certified staff performing safety-related tasks or working on safety-related systems at the NPP
- for the final report of the calendar year:
- a current organizational chart with staffing numbers, and a summary of the organizational changes including responsibilities and reporting relationships made at the NPP management level
- the pass/fail rate on personnel certification examinations
- information that explains the dose data and dose trends, such as: the number of units in operation, outage information (number of outages, duration), scope of activities and other factors that have contributed to the dose results
- the average and maximum individual effective doses for the site (all units combined),including an explanation of what factors contributed to the maximum individual effective dose received
- the number of persons who were monitored for radiation exposure and the number of persons who received a recordable dose (all units combined)
3.4 Quarterly report on operational security
The operational security report shall be submitted on a quarterly basis and shall contain the following information:
- a brief description of situations or events at the NPP that had or could have had security-related implications or consequences and which were not reported under an event report
- a summary of the significant results observed from security-related exercises and drills that were carried out at the NPP
- a description of revisions of security-related emergency procedures
- where completed, the significant results of the licensee's annual review of the security-related emergency procedures for the NPP, including arrangements with the emergency response force
- a brief description of the circumstances and causes of failures or impairment of the security structures, systems, components or devices of the NPP, including faults, combinations of faults, situations or events that prevented the security structures, systems, components or devices from meeting their defined specifications and that were not reported under an event report
- a description of mitigating measures that were not reported under an event report but were taken when security structures, systems, components or devices of the NPP failed to meet their defined specifications
- a description of any major changes to the security report
3.5 Annual report on environmental protection
The environmental protection report shall be submitted annually and shall contain the following information:
- a summary of the results of the environmental protection program and an analysis of the significance, with respect to the health and safety of persons and the protection of the environment, of the results of the environmental protection program
- the amount of nuclear substances (i.e., activity concentrations, flow rates and loadings), in SI units, released to the environment and monitored as part of the licensee's effluent/emission monitoring program, presented on an appropriate basis (weekly or monthly), along with a comparison to regulatory release limits for the nuclear substance
- the amount of nuclear substances measured in the environment, in SI units, as part of the licensee's radiological environmental monitoring program
- the results and calculations of the annual radiation doses to the representative persons and/or critical group or groups in comparison to the regulatory public dose limit with a description of the environmental transfer/exposure pathways associated with the operation of the NPP, including the dispersion and dosimetric models used
- the amount of hazardous substances (i.e., concentrations, flow rates and loadings), in SI units, released to the environment and monitored as part of the licensee's effluent/emission monitoring program, and measured in the environment as part of the licensee's environmental monitoring program
- for each parameter reported as part of the effluent/emission monitoring and environmental monitoring program, a description of the characteristics of the monitoring results, including but not limited to the sample frequency (e.g., daily, monthly, semi-annually), sample type (e.g., grab, composite, activity counts over time), statistical quantity reported (e.g., weekly/monthly mean, annual average, annual total)
- a description of any significant events, findings or results, in respect to the conduct of the environmental monitoring program
- a summary of any proposed changes to the environmental monitoring program
Guidance
If the licensee is required to submit annual reports to other government departments concerning their environmental protection program, including hazardous substances, that show the results of the effluent/emission and environmental monitoring programs, sending a copy of the report to the CNSC is acceptable to satisfy the CNSC's requirement for oversight of the licensee's environmental monitoring program.
3.6 Annual report on research and development
The research and development (R&D) report shall be submitted annually and shall contain the following information:
- descriptions of R&D activities to resolve safety issues that were completed, underway or planned during the calendar year or are planned for future years
- the nature of the safety issues to be resolved, progress made over the calendar year to resolve the safety issues, actual or anticipated results of R&D activities, and any unfinished R&D work (i.e., work that remained underway or planned) at the end of the calendar year
- a description of the links between each of the R&D programs and the operational or safety issues being addressed
- the schedule, with relevant milestones, for completing R&D activities that were not finished at the end of the calendar year
3.7 Annual report on risk and reliability
The risk and reliability report shall be submitted annually and shall contain the information as outlined in appendix C.
Guidance
For systems important to safety, the licensee may choose to use bounding evaluations for specific impact calculations. The cumulative effect of test deferrals must account for all test deferrals for the system over the year.
3.8 Annual report on fuel monitoring and inspection
The fuel monitoring and inspection report shall be submitted annually and shall include a description of the objectives, elements, procedures, limitations, results and conclusions of the program that the licensee conducted over the calendar year for the purpose of monitoring, inspecting and assessing the condition of the irradiated reactor fuel.
4. Other Scheduled Specific Periodic Reports
Licensees shall submit the following scheduled specific periodic reports:
- updates to facility descriptions and final safety analysis report
- probabilistic safety assessment
- site environmental risk assessment
- station security report
- proposed decommissioning plan
Details on each scheduled specific periodic report are provided below.
4.1 Updates to facility descriptions and final safety analysis report
The licensee shall file an updated facility description and final safety analysis report for the site within five years of the date of the previous submission or when requested to do so by the CNSC.
REGDOC-2.4.1, Safety Analysis: Deterministic Safety Analysis [1] provides further requirements regarding updating the facility descriptions and final safety analysis report.
4.2 Probabilistic safety assessment
The licensee shall file an updated probabilistic safety assessment for the site within five years of the date of the previous submission or when requested to do so by the CNSC. The submission shall include:
- models and analyses that have been appropriately reviewed and revised and that take into account the most up-to-date and relevant information and methods, including the experience gained and lessons learned from the situations, events, problems or other information reported pursuant to this regulatory document (REGDOC-3.1.1)
- a revision summary sheet highlighting the differences between the existing probabilistic safety assessments referenced in the licensing basis and updated probabilistic safety assessments
Guidance: The revision summary should include:
- list of sections with changes in existing models and analyses or any new models or analyses
- reasons for updating the models or analysis
- summary of changes in major assumptions or reactor operating states
- significant changes in results that may affect the conclusions of the probabilistic safety assessment for the design, operational or emergency safety requirements for a particular situation or event
REGDOC-2.4.2, Safety Analysis: Probabilistic Safety Assessment (PSA) for Nuclear Power Plants [2] provides further information regarding updating the probabilistic safety assessment.
4.3 Site environmental risk assessment
The licensee shall file an updated environmental risk assessment for the site within five years of the date of the previous submission or when requested to do so by the CNSC.
Guidance
CSA Group's N288.6-12, Environmental risk assessments at class I nuclear facilities and uranium mines and mills [3] provides further information regarding updating the environmental risk assessment for the site.
4.4 Station security report
The licensee shall file an update of the station security report within five years of the date of the previous submission or when requested by the CNSC. The report shall contain current and updated information required from sections 3 and 16 of the Nuclear Security Regulations that reflect changes to the site or nuclear facility.
Guidance
Regulatory document G-274, Security Programs for Category I or II Nuclear Material or Certain Nuclear Facilities [4] provides further information.
4.5 Proposed decommissioning plan
The licensee shall file a proposed decommissioning plan within five years of the date of the previous submission or upon the CNSC's request. The proposed decommissioning plan shall contain current and updated information that reflect changes to the site or nuclear facility.
Guidance
CSA Group's N294, Decommissioning of facilities containing nuclear substances [5] specifies the requirements for decommissioning plans and provides guidance on decommissioning.
Regulatory document G-219, Decommissioning Planning for Licensed Activities [6] provides guidance regarding the preparation of decommissioning plans for activities licensed by the CNSC. It also provides the basis for calculating the financial guarantees discussed in G-206, Financial Guarantees for the Decommissioning of Licensed Activities [7].
5. Event Reports and Notifications
The licensee shall submit event reports and notifications as required by their licensing basis. Table A.1 in appendix A summarizes the requirements from the NSCA, the regulations made under the NSCA, licence conditions and other regulatory documents on timing and reporting of notifications, preliminary event reports, and event reports.
5.1 Contents of the preliminary event reports and immediate notifications
A preliminary event report or an immediate notification shall contain the following information as far as practicable and applicable:
- date, time and circumstances of the discovery of the situation or event, or notification
- date and time of the onset (removal, reinstatement) and the duration of the situation or event
- unique identification reference for the report for record tracking purposes
- a reporting provision that best describes the situation(s) or event(s)
- identification of the affected NPP and associated reactor units
- identification of the affected structures, systems and components, including:
- the design flow diagram reference number(s)
- material type and code classification
- design and hydrostatic test pressure of the system
- magnitude, size or quantification of the degradation or fault (e.g., approximate size, length, depth or leak rates, deviation from set point)
- description of the occurrence and consequences of the situation or event, including:
- the condition of the site where the situation or event has occurred and the operating conditions, immediately prior, during and after of any power reactor unit involved in the situation or event
- the safety and control functions affected
- causes, circumstances, consequences and effects of the degradation
- a description of any secondary events that occur as a result of the primary reportable event, that may be of regulatory interest
- code, standard or methodology used to assess the significance of the degradation
- a summary of any impairment of a special safety system or safety-related system
- reasons for removal of certified persons
- identification of persons affected by the situation or event
- including any exposure of a person to radiation
- removal or reinstatement of a certified person from the duties of the position for which the person is certified by the CNSC
- revocation of authorization by the licensee
- a description of any actions and/or remedial actions the licensee has taken or proposes to take with respect to the situation or event
- a description of the research or analysis that led to awareness of the problem or potential problem
- the name of the nuclear or hazardous substance released, the estimated or measured quantity of the unauthorized released, the estimated or measured rate of release, and the manner of release, the offsite monitoring results
- the municipal, provincial or federal authorities that were notified of the situation or event
- an indication of when and/or if further information will be submitted for the situation or event to the CNSC
- for event reports of a contravention of a licence, licensees are to include a description of the nature of the non-compliance with the licence condition
5.2 Detailed event reports
A detailed event report shall contain the following information as far as practicable and applicable:
- reference to the original event report
- updates, new or additional information on the content requirements of the event report
- identification of any further missing information and the date that the missing information will be provided to the CNSC
- the actions that the licensee has taken or proposes to take, including actions identified and taken to restore the effectiveness of the radiation or environmental protection programs
- a description of the resulting effects on the health, safety and security of persons and the environment
- the extent of condition or any review of a comparable situations or events
- the measures taken to prevent recurrences
- the effective dose and equivalent dose of radiation received by any person as a result of the situation or event, including the measured or estimated doses to NPP personnel and the public as a consequence of the situation or event
- a summary of any analysis completed, including the probable cause(s) and conclusions, drawn from the investigation(s) after the situation or event
- an evaluation of the degree of impairment of special safety systems or of standby safety-related systems
- an evaluation of any design, operating and or training deficiencies uncovered by the situation or event
Appendix A: Event Reporting, Notifications and Filing of Specific Records
Table A.1 provides a list of the situations and events for which an event report is required, and includes the timing for each event report:
- for non-significant situations or events, the event report is due within five business days of determination of reportability
- for significant situations or events, the event report is due immediately and, if required, shall be updated with additional information in a detailed event report within 60 days
- some exceptions on timing apply to specific situations and events; for example, progress reports or a detailed report are due within 21 days for radiation devices and sealed sources, safeguards, packaging and transport, and for exposures in excess of legal radiation dose limits
| No. | Event, notification or filing of specific records with the CNSC | Timing | ||
|---|---|---|---|---|
| Notification or filing of specific records | Preliminary event reports | Detailed event reports | ||
| A. | Authorized activities | |||
| 1 | Contravention of the NSCA in relation to an activity that is authorized | |||
| Applicable section(s) of the NSCA or regulations made under the NSCA: | ||||
| 1a) | NSCA: Specific reporting provisions
Guidance | Immediate or Five business days (non-significant) | 60 days (if required) | |
| 1b) | General Nuclear Safety and Control Regulations (GNSCR): 9. (4) Every person who carries on an activity without a licence in accordance with subsection (1) or (2) shall immediately notify the Commission of that fact. | Immediate | ||
| 2 | Transfer or disclosure of prescribed information | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: NSCA: GNSCR:
| Immediate | 60 days (if required) | ||
| 3 | Notification of authorized delegates and responsible persons | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: GNSCR: | Within 15 days | |||
| B. | Management system, human performance, conventional health and safety, financial status | |||
| 4 | Contingency plan | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: GNSCR: | ||||
| 4a) | (d) a situation or event that requires the implementation of a contingency plan in accordance with the licence; Specific reporting provisions
Guidance | Immediate (significant) or Five business days (non-significant) | 60 days (if required) | |
| 4b) | (g) an actual, threatened or planned work disruption by workers; Guidance
| Immediate (significant) or Five business days (non-significant) | 60 days (if required) | |
| 5 | Serious illness, injury or death | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: GNSCR: Guidance | Immediate | 60 days (if required) | ||
| 6 | Notification of removal or reinstatement of certified personnel | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: NSCA: Specific reporting provisions
| 21 days | |||
| 7 | Financial status | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: GNSCR: | Immediate | 60 days (if required) | ||
| C. | Records | |||
| 8 | Inaccurate or incomplete records | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: GNSCR: | Within 21 days Or Not required if GNSCR 31(2)(b) applies | 60 days (if required) | ||
| 9 | Notification and filing of record of disposal of records | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: GNSCR: | At least 90 days before the date of disposal | |||
| D. | Operating performance | |||
| 10 | Failure, degradation or weakening of structures, systems and components | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: GNSCR: Specific reporting provisions
| Immediate (significant) | 60 days (if required) | ||
| 11 | Process systems | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: NSCA: | ||||
| Immediate | 60 days (if required) | ||
| Immediate (significant) Or Five business days (non-significant) | 60 days (if required) | ||
| 12 | Safety systems | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: NSCA: Specific reporting provisions
| Immediate (significant) Or Five business days (non-significant) | 60 days (if required) | ||
| 13 | Reactor, turbine and generator control | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: NSCA: Specific reporting provisions
| Immediate (significant) Or Five business days (non-significant) | 60 days (if required) | ||
| 14 | Hazards | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: NSCA: Specific reporting provisions | ||||
| Immediate (significant) Or Five business days (non-significant) | 60 days (if required) | ||
| 21 days | |||
| 15 | Counterfeit, fraudulent or suspect items | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: NSCA: Specific reporting provisions | Immediate (significant) Or Five business days (non-significant) | 60 days (if required) | ||
| 16 | Outages | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: NSCA: Specific reporting provisions | ||||
Guidance In this context, "regulatory undertakings" refers to outage work that is required by a code or a standard that is referenced in the PROL (mandatory work) or work that was committed by the licensee to the CNSC through formal correspondence (committed work), including:
| 60 days prior to the outage | |||
| Five business days | |||
| 30 days after the outage | |||
| 17 | Missed regulatory predefines (scheduled plant activities) | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: NSCA: Specific reporting provisions | Five days | 60 days (if required) | ||
| 18 | Other reportable situations and events | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: NSCA: Specific reporting provisions Guidance | Immediate (significant) Or Five business days (non-significant) | 60 days (if required) | ||
| E. | Radiation protection; environmental protection | |||
| 19 | Misuse of anything intended to protect the health and safety of persons or the environment | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: NSCA: GNSCR: | Immediate (significant) or Five business days (non-significant) | 60 days (if required) | ||
| 20 | Actual or potential exposure in excess of legal radiation dose limits (worker) | |||
| 20a) | Applicable section(s) of the NSCA or regulations made under the NSCA: GNSCR: | Immediate | Within 21 days | |
| 20b) | Radiation Protection Regulations (RPR): 16. 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 (a) immediately notify the person and the Commission of the dose; (e) within 21 days after becoming aware that the dose limit has been exceeded, report to the Commission the results of the investigation or on the progress that has been made in conducting the investigation. | Immediate | Within 21 days | |
| 20c) | NSCA: Specific reporting provisions | Immediate | Within 21 days | |
| 20d) | NSCA: 45. Every person who, on reasonable grounds, believes that (b) an event has occurred that is likely to result in the exposure of persons or the environment to a dose of radiation in excess of the prescribed limits, shall immediately notify the Commission or an appropriate authority of the location and circumstances of the contamination or event. | Immediate | ||
| 21 | Reaching an action level for the purposes of environmental or radiation protection | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: RPR: NSCA: Specific reporting provisions | Within the period specified in the licence | Within the period specified in the licence | 60 days (if required) | |
| 22 | Nuclear and hazardous substance release | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: GNSCR: NSCA: Specific reporting provisions
Guidance | Immediate (significant) or Five business days (non-significant) | 60 days (if required) | ||
| 23 | Exposure devices and sealed source assemblies | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: Guidance | ||||
| 23a) | Nuclear Substances and Radiation Devices Regulations (NSRDR):
| Immediate | ||
| 23b) | NSRDR:
| 60 days (if required) | ||
| 24 | Notification of sealed source leakage of 200 Bq or greater | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: NSRDR: Guidance | Immediate | |||
| 25 | Filing of a sealed source tracking report | |||
CMD05-H32 Guidance | At least seven days before transfer out or export, and within 48 hours of receipt or import | |||
| F. | Security | |||
| 26 | Theft or loss of nuclear substance, prescribed equipment or prescribed information | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: NSCA: GNSCR: | Immediate | 60 days (if required) | ||
| 27 | Actual or attempted breach of security or act of sabotage | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: GNSCR: Specific reporting provisions
Immediate reporting is required only where a hazard to the health, safety and security of persons and the environment or to the security of the nuclear facility exists. | Immediate (significant) or Five business days (non-significant) | 60 days (if required) | ||
| 28 | Filing of security record for threat and risk assessment | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: Nuclear Security Regulations (NSR): | Within 60 days | |||
| 29 | Notification of revocation of authorization | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: NSR: | Immediate | |||
| 30 | Notification of intent to conduct security exercise | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: NSR: | At least 60 days before the exercise date | |||
| G. | Safeguards and non-proliferation | |||
| 31 | Safeguards | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: GNSCR: | Immediate | 21 days | ||
| H. | Packaging and transport | |||
| 32 | Packaging and transport | |||
| Applicable section(s) of the NSCA or regulations made under the NSCA: | ||||
| 32a) | Packaging and Transport of Nuclear Substances Regulations (PTNSR): 19. (1) Every consignor who becomes aware of any of the following dangerous occurrences shall immediately make a preliminary report to the Commission and to the holder, if any, of a licence to import the radioactive material that is involved in the occurrence: (2) Every carrier, consignee or holder of a licence to transport the nuclear substance while in transit who becomes aware of any of the dangerous occurrences referred to in subsection (1) shall immediately make a preliminary report to the Commission and to either the consignor or the holder, if any, of a licence to import the radioactive material that is involved in the occurrence. (3) The preliminary reports referred to in subsections (1) and (2) shall include information on the location and circumstances of the dangerous occurrence and on any action that the consignor, carrier or consignee has taken or proposes to take with respect to it. (5) Within 21 days after a dangerous occurrence referred to in subsection (1), the consignor, the carrier, the consignee and the holder of a licence to transport the nuclear substance while in transit shall file a full report with the Commission, and the report shall contain the following information about the occurrence: | Immediate | Within 21 days | |
| 32b) | PTNSR: 21. (4) Every person who discovers that a package is damaged or that any portion of the fissile material is outside the confinement system shall file a full report of the discovery with the consignor and with the Commission within 21 days after the discovery. | Immediate (as per PTNSR 19(2)) | Within 21 days | |
| 32c) | PTNSR: (6) The preliminary report of a discovery referred to in subsection (5) shall include information on the location and circumstances of the discovery and on any action that the person has taken or proposes to take with respect to it. (7) Every consignor and every holder of a licence to import radioactive material who receives a preliminary report of a discovery referred to in subsection (5) shall file a full report of the discovery with the Commission within 21 days after receiving the preliminary report. | Immediate | Within 21 days | |
| 33 | Notification of undeliverable consignments | |||
Applicable section(s) of the NSCA or regulations made under the NSCA: PTNSR: | Immediate | |||
Appendix B: Safety Performance Indicators - Specifications and Data Sheets
This appendix provides the specifications and a data sheet for each safety performance indicator. The safety performance indicator reports shall be based on these specifications and shall contain the information listed in the data sheets.
1. Collective Radiation Exposure
Purpose:
To indicate the total dose of ionizing radiation received by all individuals working at the nuclear power plant (NPP) and its related facilities.
To monitor the performance in keeping NPP whole-body dose as low as reasonably achievable.
Definitions:
Total dose is the sum of all effective doses (received and committed) assigned to all individuals, including contract staff and visitors, exposed to ionizing radiation at operating stations and associated sites.
Calculations:
Online (in operation) whole-body dose = collective external radiation exposure (mSv) + collective internal radiation exposure (mSv)
Outage whole-body dose = collective external radiation exposure (mSv) + collective internal radiation exposure (mSv)
Notes:
Collective dose is the total dose for the NPP. For multi-unit stations, it includes all units.
2. Personnel Contamination Events
Purpose:
To indicate the total personnel contamination events that occurred at the NPP and its related facilities.
Definitions:
Tier 1 event: > 50,000 cpm on skin, clothing, modesty garments
Tier 2 event: > 5,000 cpm on skin, clothing, modesty garments
Tier 3 event: >= 100 cpm on skin, clothing, modesty garments (not radiation personal protective equipment (RPPE))
Calculations:
Data only.
Notes:
Not applicable.
3. Unplanned Dose / Unplanned Exposure
Purpose:
To indicate the estimated unplanned external whole-body exposure and unplanned internal tritium exposure received at the NPP and its related facilities.
Definitions:
Unplanned external whole-body exposure:
- Tier 1 event: >= 2 mSv (200 mrem) above plan
- Tier 2 event: >= 1 mSv (100 mrem) above plan
- Tier 3 event: >= 0.1 mSv (10 mrem) above plan
Unplanned internal tritium exposure:
- Tier 1 event: Unexpected increase in H-3>= 2 mSv (200 mrem) above plan
- Tier 2 event: Unexpected increase in H-3>= 1 mSv (100 mrem) above plan
- Tier 3 event: Unexpected increase in H-3>= 0.3 mSv (30 mrem) above plan
Calculations:
Data only.
Notes:
Not applicable.
4. Loose Contamination Events
Purpose:
To indicate the loose contamination events that occurred at the NPP and its related facilities.
Definition:
Tier 1 event: Loose or fixed contamination >= 37 kBq/m2 in zone 1 or public domain
Tier 2 event: Loose or fixed contamination in unzoned area, zone 1 or public domain, or widespread loose in Zone 2
Tier 3 event: Widespread loose contamination in zone 3 or isolated loose in zone 2
Calculations:
Data only.
Notes:
Not applicable.
5. Environmental Releases - Radiological
Purpose:
To indicate the airborne carbon-14 releases, airborne tritium releases and waterborne tritium releases at the NPP and its related facilities.
Definitions:
Airborne tritium release is the weekly tritium air emissions released to the environment via monitored pathways from each station.
Airborne noble gas release is the weekly noble gas air emissions released to the environment via monitored pathways from each station.
Airborne iodine-131 release is the weekly iodine-131 air emissions released to the environment via monitored pathways from each station.
Airborne radioactive particulate release is the weekly radioactive particulate air emissions released to the environment via monitored pathways from each station.
Airborne carbon-14 release is the weekly carbon-14 air emissions released to the environment via monitored pathways from each station.
Waterborne tritium release is the monthly tritium liquid effluent released to the environment via monitored pathways from each station.
Waterborne gross beta/gamma release is the monthly beta/gamma liquid effluent released to the environment via monitored pathways from each station.
Waterborne carbon-14 release is the monthly carbon-14 liquid effluent released to the environment via monitored pathways from each station.
Calculations:
Data only.
Notes:
Not applicable.
6. Spills
Purpose:
To indicate the total Category A, B and C spills that occurred at the NPP and its related facilities.
Definitions:
A Category A/1 spill causes or may cause one or more of the following adverse effects:
- widespread injury or damage to plant or animal life
- harm or material discomfort to any person
- adverse effect on the health of any person
- impairment of the safety of any person
A Category B/2 spill causes or may cause one or more of the following adverse effects:
- localized injury or damage to any animal life
- widespread or long-term interference with the normal conduct of business
- widespread or long-term loss of enjoyment of the normal use of property
- widespread damage to property other than plant or animal life
- damage to property, other than plant or animal life, such that the property cannot be restored, within a reasonable time, to the condition that existed immediately before the discharge occurred
A Category C/3 spill requires reporting to the Ministry of the Environment but is not classified as either very serious (Category A/1) or serious (Category B/2) spill:
- little to no potential for environmental impact
Calculations:
Data only.
Notes:
Not applicable.
7. Mispositioning Index
Purpose:
The mispositioning index value (MIV) is an aggregate index based on number of mispositioning events and consequential or non-consequential mispositionings.
Definitions:
NC = non-consequential mispositioning = structures, systems and components off baseline condition or when state changed as per instructions has an unexpected result that results in:
- no fluid / energy movement
- fluid / energy movement that has no operational consequence
- no challenge to personnel safety
- no introduction of energy into a work protection (WP) boundary
C = consequential mispositioning = structures, systems and components off baseline condition or when state changed as per instructions has an unexpected result that:
- resulted in fluid or energy movement (or lack of) that has operational consequences
- affected equipment operation (including poised systems)
- introduced energy into a WP boundary
- challenged personnel safety
- caused unplanned radiation exposure
E = Mispositioning event = structures, systems and components off baseline condition or when state changed as per instructions has an unexpected result that:
- caused a transient or would have prevented operation when called to in response to a transient
- caused a safety system actuation or would have prevented a poised or standby system from operating when called
- resulted in an unmonitored release or significant spill/contamination
- resulted in personal injury
- caused damage to safety-related system(s) or process system(s)
Index performance is averaged over a 3-month rolling period. Data is collected on a monthly basis.
Calculations:
MIV = 100 - (E*10) - (C*5) - (NC*1)
Notes:
Performance flag: high is better
Unit of measure: percentage (three-month rolling average)
8. Number of Unplanned Transients
Purpose:
To indicate the number of reactor power transients due to equipment failures or operator errors while the reactor is not in a guaranteed shutdown state (GSS).
Definition:
The unplanned transients are the situations or events that result in a change of reactor operating states due to:
- unplanned reactor setbacks and stepbacks, both automatic and manual, that occur while the reactor is not in a guaranteed shutdown state. These reactor setbacks and stepbacks are events resulting from internal plant equipment failure, spurious signal, human error or an external event.
- unplanned reactor trips, both automatic and manual, that occur while the reactor is not in a guaranteed shutdown state. These reactor trips are events resulting from internal plant equipment failure, spurious signal, human error, or an external event.
Calculations:
Total number of unplanned transients in a quarter for a unit.
Total number of hours during which the reactor is either being placed in GSS or is in GSS.
Notes:
The manual reactor trips, setbacks or stepbacks that are required by planned (as opposed to forced) outage maintenance or routine testing are not to be included.
If a situation or event results in a combination of a reactor setback, stepback and/or trip in sequence, then the total number of transients will be counted as one.
If a situation or event results in a reactor trip on both shutdown systems, the number of reactor trips shall only be counted as one.
After a reset of reactor setback, stepback and/or trip by operator and the reactor power is allowed to increase, if another transient occurs because the causes of the initial transient were not corrected, then the subsequent reactor setback, stepback and/or trip shall be included in the calculation of the number of unplanned transients.
9. Reactivity Management Index
Purpose:
The reactivity management index is based on the severity of reactivity management events.
Definition:
RMEC1= significant reactivity management event:
An unplanned or uncontrolled change in reactivity that leads to a significant impact, including operation outside safe operating limits (e.g., as a result of a change in reactor configuration, status or poison concentration, operating policies and principles (OP&P) limits for reactor power exceeded).
RMEC2= reactivity management event:
An unplanned or uncontrolled change in reactivity that leads to an impact, including operation outside administrative (procedural) limits (e.g., as a result of a change in reactor configuration, status or poison concentration).
RMEC3= near miss reactivity management event:
Failure of a barrier, process or procedure for which there was minor or no direct impact on reactivity; however, under different circumstances, the failure could have led to a category 1 or 2 event (e.g., loss of redundancy on a reactivity management related system).
RMEC types:
Type A: power and reactivity device control
Type B: fuelling/fuel
Type C: guaranteed shutdown state/criticality control
Type D: safe operating envelope
Notes:
Event summary:
- include a summary of RMEC1 and RMEC2 events
- this summary shall include a report number, RMEC level, RMEC type, unit, event title and date of occurrence
- e.g., X-2013-123456, RMEC-C2, unit 1, reactor stepback on approach to criticality, ddMONyyyy
10. Unit Capability Factor
Purpose:
To monitor progress in attaining high unit and industry energy production reliability. This indicator reflects effectiveness of plant programs and practices in maximizing available electrical generation, and provides an overall indication of how well plants are operated and maintained.
Definition:
Unit capability factor is defined as the ratio of the available energy generation over a given time period to the reference energy generation over the same time period, expressed as a percentage.
Calculations:
The unit capability factor is determined for each period as shown below:
where:
UCF = unit capability factor
REG = reference energy generation for the period
PEL = total planned energy losses for the period
UEL = total unplanned energy losses for the period
11. Unplanned Capability Loss Factor
Purpose:
To monitor industry progress in minimizing outage time and power reductions that result from unplanned equipment failures or other conditions. This indicator reflects the effectiveness of plant programs and practices in maintaining systems available for safe electrical generation.
Definition:
Unplanned capability loss factor is defined as the ratio of the unplanned energy losses during a given period of time, to the reference energy generation, expressed as a percentage.
Unplanned energy loss is energy that was not produced during the period because of unplanned shutdowns, outage extensions, or unplanned load reductions as a result of causes under plant management control. Causes of energy losses are considered to be unplanned if they are not scheduled at least four weeks in advance. Causes considered to be under plant management control are further defined in the clarifying notes.
Reference energy generation (REG) is the energy that could be produced if the unit were operated continuously at full power under reference ambient conditions throughout the period. Reference ambient conditions are environmental conditions representative of the annual mean (or typical) ambient conditions for the unit.
Calculations:
Reference energy generation (REG) = Unit capacity x referenced period (Mw-hrs)
Total unplanned energy loss per quarter (UEL) = Total unplanned energy loss over referenced period (Mw-hrs)
Unplanned capability loss factor (UCL) = UEL x 100% / REG
12. Forced Loss Rate
Purpose:
To monitor industry progress in minimizing outage time and power reductions that result from unplanned equipment failures, human errors, or other conditions during the operating period (excluding planned outages and their possible unplanned extensions). This indicator reflects the effectiveness of plant programs and practices in maintaining systems available for safe electrical generation when the plant is expected to be at the grid dispatcher's disposal.
Definition:
The forced loss rate (FLR) is defined as the ratio of all unplanned forced energy losses during a given period of time to the reference energy generation minus energy generation losses corresponding to planned outages and any unplanned outage extensions of planned outages, during the same period, expressed as a percentage.
Calculations:
The forced loss rate is calculated for a period as shown below.
where:
FLR = forced loss rate
FEL = unplanned forced energy losses
REG = reference energy generation
PEL = planned energy losses
OEL = unplanned outage extension energy losses
13. Reactor Trip Rate (RTR)
Purpose:
To monitor performance of unplanned automatic reactor shutdowns.
To provide an indication of how well a plant is operated and maintained.
Definition:
Unplanned reactor trips (SCRAMS) per 7,000 hours critical
Calculations:
The unit and industry values for this indicator are determined for a period as shown below:
14. Corrective Maintenance Backlog
Purpose:
To monitor the effectiveness of the maintenance program at the NPP and its related facilities.
Definition:
Corrective maintenance work is required when a structure, system or component (SSC) has failed and can no longer perform its design function. Corrective maintenance backlog consists of all corrective work generated through work order requests and appears in the work management system as uncompleted work.
Calculations:
The indicator consists of the total number of online corrective maintenance work orders at the end of the quarter which appears as uncompleted work. The corrective maintenance work orders should be reported on two different priorities (critical and noncritical components). The indicator is in the form of work orders per unit.
Notes:
Common service should be treated as a separate unit, such as unit 0.
Outage corrective maintenance work is not included in this indicator.
15. Deficient Maintenance Backlog
Purpose:
To monitor the effectiveness of the maintenance program at the NPP and its related facilities.
Definition:
Deficient maintenance is planned when structures, systems, or components have been identified as degrading but still capable of performing their design function. Deficient maintenance backlog consists of all deficient work generated through work requests and appears in the work management system as uncompleted work.
Calculations:
The indicator consists of the total number of deficient maintenance work orders at the end of the quarter, which appears as uncompleted work. The deficient maintenance work orders should be reported on two different priorities (critical and noncritical components). The indicator is in the form of work orders per unit.
Notes:
Common service should be treated as a separate unit, such as unit 0.
Outage deficient maintenance work is not included in this indicator.
16. Deferral of Preventive Maintenance
Purpose:
To monitor the effectiveness of the maintenance program at the NPP and its related facilities.
Definition:
Deferred preventive maintenance is preventive maintenance that has received an approved technical justification for extension prior to its late date.
Calculations:
The value includes two parts:
- number of deferrals of critical preventive maintenance work orders per unit per quarter
- number of total deferred preventive maintenance work orders per unit per quarter
Notes:
Identification and count is for the primary preventive maintenance tasks only; e.g., do not include secondary tasks such as maintaining scaffolding.
Common service should be treated as a separate unit, such as unit 0.
17. Safety System Test Performance
Purpose:
To indicate successful completion of tests required by licence condition, including those referenced in documents submitted in support of a licence application.
To monitor performance in meeting regulatory and licensee availability requirements.
Definition:
The safety system test (SST) performance is the sum of those tests that are not completed for each of the three groups of safety-related systems (i.e., the special safety systems, the standby safety systems, and other safety-related process systems) in a quarter.
Calculations:
Number of missed tests = a + b + c
where:
a = number of missed tests for the special safety systems
b = number of missed tests for the standby safety systems
c = number of missed tests for the safety-related process systems
Notes:
This safety performance indicator was renamed from "number of missed mandatory safety system tests" for improved clarity and application.
For the purpose of this safety performance indicator, the following shall apply:
- special safety systems: shutdown system 1 (SDS1), SDS2 (SDSE for PNGS-A), emergency core cooling (ECC), and containment
- standby safety systems: boiler emergency cooling, emergency power supply, standby generators, emergency filtered air discharge, emergency water, inter-unit feedwater tie
- safety-related process systems: reactor regulating, heat transport, moderator, Class I, II and III, auxiliary boiler feed, service water
This list may be expanded in the future.
Missed tests refer to those not completed, as opposed to those that fail.
Tests conducted beyond the maximum allowable time interval permitted by the reliability calculation or by an applicable engineering code will count as a missed test, unless approval has been obtained from the CNSC to extend the test interval.
For multi-unit stations, station-wide tests shall be reported under unit 0.
For benchmarking, report the total number of tests performed for each category (a, b, and c).
These figures do not include panel check SSTs.
18. Preventive Maintenance Completion Ratio
Purpose:
To indicate the fraction of preventive maintenance jobs to total maintenance jobs completed.
To monitor performance in meeting expectations in the area of preventive maintenance.
Definition:
The ratio of preventive maintenance (PM) jobs completed divided by the preventive maintenance plus corrective maintenance (CM) jobs completed for all safety-related systems.
Calculations:
Notes:
PM jobs are those jobs performed on the safety-related system equipment in the field that is in working order when the job commences. The PM jobs shall include those that are frequency or condition based.
Corrective maintenance jobs are those jobs performed as a result of a reported failure of safety-related system equipment. It shall not include design modifications.
Work orders on safety-related systems are those work orders that are written during the quarter and must have undergone a preliminary review by the NPP work management group and be designated as valid to be included in the count for a quarter.
The data is to be reported by unit, including the common unit for multi-unit NPPs. Jobs are counted by work order issued to each discipline, not on a task basis. A work order that covers repetitive jobs for multiple equipment shall be counted as one work order for each separate piece of equipment.
Common service should be treated as a separate unit, such as unit 0.
19. Chemistry Index
Purpose:
To indicate long-term unit control of important chemical parameters.
To monitor performance in meeting licensee's requirements in chemistry.
To compare performance between Canadian CANDU units.
Definition:
The average percentage of time that the selected chemical parameters are in specification during the quarter.
Calculations:
where:
= the number of hours that parameter "i" is in specification during the quarter
= the number of hours the plant is in an operational state during the quarter, as defined by licensee-specific documentation
= the fraction of time that parameter "i" is in specification during the quarter
= the number of parameters monitored during the period, usually the 15 parameters on the list below
= the sum of individual time-in-specification fractions for each parameter monitored in the index
All data is dimensionless. The chemistry index (CI) results will range between 0% and 100%.
Parameters monitored:
pH
total iron
total copper
hydrazine
dissolved D2
chloride
fluoride
conductivity
[SO42-]
[Na+]
Note 1:
The Chemistry Index shall be reported as the percentage of time in specification. For each parameter, the index is calculated as follows:
The initiation of an out-of-specification event occurs with the first result measured outside the range of the specification, as indicated in licensee-specific chemistry program documentation.
Termination of the event is achieved only by reducing the control parameter within the specification range. The duration of the out-of-specification condition will be calculated as the time between the first out-of-specification sample and the next measured in-specification sample. The time in specification (%) is then calculated as 100% - S (time of measurement period out-of specification (%)).
The total operating hours in the period refers to the total operating hours for the system to which the chemical parameter pertains.
Note 2:
Parameters that are included in the indicator but were not measured (because the monitoring capability did not exist or the measurements were not obtained during the period; e.g., an instrument not available) will be reported as being out-of-specification. In cases where the parameter is out-of-specification due to the unavailability of a facility, the parameter shall be reported as being out-of-specification.
When the safety of chemical technicians or employees could be adversely affected by new hazards during normal execution of their tasks, or when the status of the plant is such that the chemical measure is useless or unrepresentative, the representative period will be adjusted without penalty. Such measures will be qualified "void". The data shall be auditable.
It is recognized that in some cases a temporary exemption is granted for measurement of a parameter, or deviation of a specification from the range specified in program documentation. This exemption is to be granted by the chemistry program authority. It is acceptable to indicate "not applicable (N/A)" for the parameter for the specific time period. If the temporary exemption applies for less than one quarter, the time-in-specification for the parameter shall be calculated as the time that the temporary exemption does not apply. Temporary exemptions are intended to be used when instruments or facilities are not available for a significant period of time, where there are temporary modifications to licensee procedures due to new concerns regarding unsafe conditions, or when short duration trials are being carried out. Records pertaining to the temporary exemption shall be auditable.
Whenever the parameter is deemed to be "not applicable (N/A)", a short explanatory note and a reference to the licensee's documentation for any temporary exemption should accompany the submission on these performance indicators.
In cases where the parameter is deemed to be "not applicable (N/A)" for a particular period of time, the number of parameters in the Chemistry Index % equation should be adjusted to reflect the number of parameters actually tracked during the specific quarter.
Note 3:
For systems whose performance is reported only for unit operating conditions - if a parameter is in (or out of) specification before a shutdown, it is considered to remain in (or out of) specification once the system is back in service until it is re-analyzed and found to be otherwise.
Note 4:
Performance must be reported for all Chemistry Index and chemistry compliance index parameters using the specifications documented in the most current revision of the licensee's chemical specifications manual. Performance must be reported for all time periods when the system is considered to be in an operational state, as defined by licensee-specific documents.
Note 5:
The reference chemical specifications and sampling frequency for each parameter shall be as documented in the most current revision of the licensee's chemistry specifications manuals. Any deviations from these reference values for reporting on these performance indicators shall be noted in report submissions. Any changes to the specifications and sampling frequency shall be documented in the chemistry specifications manuals and supporting documentation.
The minimum sampling/monitoring frequency is determined by the licensee's current requirements.
Note 6:
Each station will determine whether results from grab samples or on-line instrument readings will be used to calculate the performance. Online instrument readings are the preferred method if an adequate quality assurance / quality control (QA/QC) program is in place to ensure accuracy.
Where online monitoring equipment is available, the success ratio will be calculated as the ratio of time where the monitoring is online and valid data is available and within range over total time. When monitoring equipment fails, it is permissible to replace the monitoring with manual sampling techniques at a reasonable frequency.
Note 7:
For multi-unit sites, the unit performance is the average of the performance of the individual control parameters. On an operating unit basis:
Note 8:
The station result is the time-weighted average of the operating units' Chemistry Index or chemistry compliance index values; this ensures that units which were operating for only part of the period are not given the same weight as those which operated for the whole period.
Note 9:
Performance does not need to be reported for parameters during short duration trials or tests being conducted to optimize chemistry and which affect those parameters.
Note 10:
Parameters making up the list of the index, and the definitions of time-in-specification and voiding, are reviewed by the CNSC.
20. Chemistry Compliance Index (non-GSS and GSS)
Purpose:
To indicate unit control of safety-related chemical and radiochemical parameters, in both non-guaranteed shutdown state (non-GSS) and in guaranteed shutdown state (GSS).
To monitor performance in meeting regulatory and licensee requirements in chemistry control.
To compare performance between Canadian CANDU units.
Definition:
The average percentage of time that the selected chemical parameters are in specification during the quarter.
Calculations:
Calculations:
Sampling frequencies and specifications shall be defined in the licensee's operating documentation. The method for calculation of the chemistry index also applies to this chemistry compliance index (non-GSS and GSS). The parameters are selected as compliance parameters in accordance with the safe operating envelope (SOE), and on the basis of safety.
Parameters monitored:
Non-GSS operating conditions:
- Gadolinium ([Gd]) in liquid injection safety system poison injection tanks
- [Gd] in moderator (unit in poison outage, SDS2 actuated)
- moderator D2O isotopic
- moderator H3
- moderator cover gas D2
- moderator conductivity
- primary heat transport system D2O isotopic
- primary heat transport system H3
- primary heat transport system I131
- primary heat transport system D2O storage tank cover gas D2
- moderator to primary heat transport system D2O isotopic purity difference check
- annulus gas system dewpoint
- end shield cooling water pH
- end shield cooling cover gas H2 (for Point Lepreau, Gentilly-2, Pickering 5-8)
- emergency coolant injection (ECI) system high-pressure water tank(s) pH
- ECI high-pressure water tank(s) hydrazine concentration
- liquid zone control system cover gas [H2]
- liquid zone control system conductivity
GSS conditions:
- liquid injection safety system poison injection tanks pHa (when SDS2 is available)
- [Gd] in moderator
- moderator D2O conductivity (except for Gentilly-2)
- moderator D2O pHa
- supplementary parameter(s) sampled
Notes:
The chemistry compliance indices (non-GSS and GSS) shall be reported as the percentage of time in specification. For each parameter, the index is calculated as follows:
For further information, refer to notes 1 through 10 of the chemistry index.
21. Conventional Health and Safety
Purpose:
To indicate the accident severity rate, accident frequency and industrial safety accident rate at NPPs.
To monitor performance in meeting nuclear industry standards in the area of worker safety.
To compare Canadian NPP performance internationally.
Definition:
The accident severity rate is the total number of days lost or charged for all disabling injuries per 200,000 person hours worked at an NPP.
Accident frequency is the number of disabling injuries per 200,000 person hours worked at a NPP.
Industrial safety accident rate is a frequency rate based on the number of lost-time injuries for NPP personnel per 200,000 hours worked (excluding contractors).
The lost-time injury severity rate is the number of days lost multiplied by 200,000 person hours worked at an NPP, per exposure hours.
The all-injury frequency rate is the sum of the fatalities, lost-time injuries and medically-treated injuries, per exposure hours.
A lost-time injury is an injury or illness resulting in lost days beyond the date of injury as a direct result of an occupational injury or illness incident.
A medically treated injury (also referred to as "medical treatment") is an injury or illness beyond a first aid injury, where there have been no lost days that are the direct result of an occupational injury or illness incident.
A disabling injury is one that prevents an employee from reporting for work or from effectively performing all the duties connected with the employee's regular work.