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Art. 32 Maintenance, in-service inspection and functional testing
1 The licence holder must define systematic programmes for the maintenance of safety and security equipment and must implement the measures specified therein, in particular relating to: - a.
- maintenance;
- b.
- non-destructive in-service inspections;
- c.
- periodic functional tests.
2 Any deviations from the target state must be rectified by taking the appropriate repair measures. 3 Qualified procedures and equipment must be used for maintenance, inspection and repair tasks, and these must be carried out by qualified personnel. 4 All maintenance and repair work must be documented and the outcome periodically evaluated. Programmes must be supplemented as necessary.
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Art. 33 Systematic safety and security assessments
1 The licence holder must carry out systematic safety assessments for the following areas: - a.
- impacts of modifications to the installation, and of events and findings, on the safety of the installation, and in particular on risk; each risk assessment must incorporate an up-to-date, plant-specific probabilistic safety analysis (PSA);
- b.
- operational experience feedback from electrical and mechanical equipment important to safety, fuel elements, structures important to safety and water chemistry;
- c.
- radiation protection and radioactive waste;
- d.
- organisation and personnel;
- e.
- emergency planning;
- f.
- criteria in accordance with Article 44 paragraph 1.
2 The licence holder must carry out systematic security assessments for the following areas: - a.
- security concept;
- b.
- physical protection measures.
3 ENSI shall specify the detailed requirements on systematic safety and security assessments in guidelines.34 34 Amended by Annex No 12 of the O of 12 Nov. 2008 on the Swiss Federal Nuclear Safety Inspectorate, in force since 1 Jan. 2009 (AS 2008 5747).
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Art. 34 Comprehensive safety reviews for nuclear power plants 35
1 The holder of an operating licence for a nuclear power plant must carry out a comprehensive safety review every 10 years (Periodic Safety Review, PSR). 2 For this purpose it must: - a.
- explain and evaluate the safety concept;
- b.
- conduct a deterministic analysis of the safety status and a PSR;
- c.
- explain and evaluate the overall safety status;
- d.
- explain and evaluate whether the organisation of the plant and its personnel satisfy safety requirements.
3 The PSR documents must be submitted to ENSI two years at the latest before the end of any operating decade. 4 For the period following the fourth operating decade, proof of safety for long-term operations in accordance with Article 34a must also be submitted as part of the PSR. 5 ENSI shall specify the detailed requirements on periodical safety reviews in guidelines. It may provide relief for nuclear power plants for the period following their being definitively taken out of service or exempt them entirely from the obligation to submit a PSR. 35 Amended by No I of the O of 26 April 2017, in force since 1 June 2017 (AS 2017 2829).
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Art. 34a Proof of safety for long-term operations 36
1 Proof of safety for long-term operations shall comprise the following information in particular: - a.
- the relevant period of operation;
- b.
- proof that the design limits for the parts of the plant with technical safety relevance will not be reached during the planned period of operation;
- c.
- the backfitting and technical or organisational improvements planned for the following operating decade;
- d.
- the measures intended to guarantee sufficient numbers of staff with the required expertise for the planned period of operation.
2 ENSI shall specify the detailed requirements on proof of safety for long-term operations in guidelines. 36 Inserted by No I of the O of 26 April 2017, in force since 1 June 2017 (AS 2017 2829).
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Art. 35 Ageing management
1 With the aid of a programme for managing ageing, the licence holder must systematically monitor the ageing of all systems, structures and components, the functions and integrity of which are of importance with regard to safety and security. 2 The results must be evaluated, and any necessary measures must be defined and duly implemented. 3 With the aid of the said programme for managing ageing, the licence holder must document the inspection of the installation from the point of view of the effects of ageing, and the programme must be periodically updated in accordance with the current status of the installation. 4 ENSI shall specify the methods and scope of the ageing management programme in guidelines.37 37 Amended by Annex No 12 of the O of 12 Nov. 2008 on the Swiss Federal Nuclear Safety Inspectorate, in force since 1 Jan. 2009 (AS 2008 5747).
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Art. 36 Monitoring the state of the art in science and technology and the operating experience in comparable installations
1 The licence holder must monitor field-related scientific developments, especially findings obtained from research activities, and must examine the extent to which conclusions may be drawn therefrom concerning safety and security of the licence holder’s installation. 2 The licence holder must monitor technological developments, including those relating to organisation and personnel, and must examine the extent to which conclusions may be drawn therefrom concerning the safety and security of the licence holder’s installation. The following are of particular relevance: - a.
- recognised domestic and foreign technical standards;
- b.
- regulations of the country supplying the nuclear installation, as well as of other countries, relating to nuclear technology;
- c.
- recommendations of international bodies;
- d.
- state of the art in nuclear installations of a similar nature and in other relevant installations.
3 The licence holder must monitor operating experiences and findings of similar installations and assess their significance for his own installation.
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Art. 37 Periodical reporting
1 In accordance with Annex 5, the licence holder must submit reports to ENSI for the purpose of assessing the status and operation of the installation.38 2 ENSI shall regulate the type, content, presentation and number of required reports in guidelines.39 38 Amended by Annex No 12 of the O of 12 Nov. 2008 on the Swiss Federal Nuclear Safety Inspectorate, in force since 1 Jan. 2009 (AS 2008 5747). 39 Amended by Annex No 12 of the O of 12 Nov. 2008 on the Swiss Federal Nuclear Safety Inspectorate, in force since 1 Jan. 2009 (AS 2008 5747).
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Art. 38 Reporting obligations in the area of nuclear safety 40
1 Holders of an operating licence must report the following activities in particular to ENSI before they are carried out: - a.
- planned shutdown of a reactor;
- b.
- restart of a reactor following shutdown due to an accident;
- c.
- work with an anticipated collective dose exceeding 50 mSv;
- d.
- planned non-routine discharge of radioactivity into the environment;
- e.
- change of activated carbon in emergency filters of ventilation systems;
- f.
- planning and execution of emergency exercises;
- g.
- experiments on systems or components important to safety.
2 They must report the following activities to ENSI: - a.
- modifications of systems that are not subject to licence or permit;
- b.
- changes in the content of documentation within the meaning of Articles 27 and 41.
3 They must report the following events and findings to ENSI: - a.
- any events that impair or may impair safety;
- b.
- any other events of public interest;
- c.
- findings that may impair safety but have not given rise to an event.
4 They must submit to ENSI all necessary reports as indicated in Annex 6. 5 ENSI shall regulate the reporting procedure in accordance with paragraphs 1 and 2 and the method of classification of events and findings in accordance with paragraph 3 in guidelines. 40 Amended by Annex No 12 of the O of 12 Nov. 2008 on the Swiss Federal Nuclear Safety Inspectorate, in force since 1 Jan. 2009 (AS 2008 5747).
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Art. 39 Reporting obligations in the area of security 41
1 The holder of an operating licence must in particular report the following activities to ENSI before they are carried out: - a.
- structural and technical modifications or new installations that require a permit from ENSI;
- b.
- security-related exercises with the involvement of military, cantonal or municipal authorities;
- c.
- extraordinary security-related activities.
2 The holder of an operating licence must report the following malicious acts and findings to ENSI without delay: - a.
- use of violence against personnel;
- b.
- sabotage and attempted sabotage;
- c.
- bomb threats;
- d.
- extortion and hostage-taking;
- e.
- accidents, damage to or failure of security equipment and systems that last longer than 24 hours;
- f.
- malicious acts in and in the vicinity of the nuclear installation that are attributable to, or indicate, unauthorised interference;
- g.
- any other malicious acts and findings that impair or may impair security.
3 The holder of an operating licence must submit a report on every malicious act or finding to ENSI within 30 days. The report must be classified. 41 Amended by Annex No 12 of the O of 12 Nov. 2008 on the Swiss Federal Nuclear Safety Inspectorate, in force since 1 Jan. 2009 (AS 2008 5747).
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Art. 40 Modifications that require a permit
1 The following modifications are generally regarded as modifications that do not deviate significantly from the respective licence but which require a permit in accordance with Article 65, paragraph 3 of the Nuclear Energy Act: - a.
- modifications to structures, systems and components subject to safety or security classification and to equipment relevant to safety or security, providing the existing safety or security functions are maintained or improved;
- b.
- the following modifications to the reactor core:
- 1.
- modifications to the loading of the reactor core with fuel elements as part of the refuelling procedure,
- 2.
- modifications to and repair of fuel elements and control rods,
- 3.
- increase of permissible burn-up,
- 4.
- modification to safety assessment methods,
- 5.
- modification of safety criteria,
- 6.
- increase of the proportion of uranium-plutonium-mixed-oxide fuel elements in reactor core up to a maximum of 50 percent;
- c.
- changes in the content of the following documents:
- 1.
- the power plant or operating regulations,
- 2.
- the emergency preparedness regulations,
- 3.
- the radiation protection regulations,
- 4.
- the technical specifications,
- 5.
- the regulations and instructions relating to security.
2 To obtain the necessary permit in accordance with paragraph 1 letters a and b, the licence holder must submit all the documentation necessary for the assessment as aforementioned in Annex 4. 3 To obtain the necessary permit in accordance with paragraph 1 letter c, the licence holder must submit all the required documentation together with an explanation of the reason for the changes. 4 For modifications of technical specifications, the licence holder must also explain the method and technical criteria that have been used for assessing the impacts of the modifications on the safety of the installation. 5 ENSI shall regulate the type, content, presentation and number of required application documents in guidelines.42 42 Amended by Annex No 12 of the O of 12 Nov. 2008 on the Swiss Federal Nuclear Safety Inspectorate, in force since 1 Jan. 2009 (AS 2008 5747).
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Art. 41 Documentation
1 The licence holder must update the organisational and technical documents in accordance with Annex 3 throughout the entire period of operation of the nuclear installation, up to its decommissioning or closure, and must adapt them to the current status of the installation. 2 The licence holder must at all times traceably document the operation of the installation on the basis of records in accordance with Annex 3 and documents describing function tests and maintenance operations. 3 All documentation must be securely archived until completion of the decommissioning, or until closure of the installation or expiry of the specified monitoring period. 4 The licence holder must hand over all documentation to ENSI after the installation has been decommissioned, or to the Department after closure of the installation or expiry of the monitoring period.43 5 ENSI shall specify the detailed requirements on documentation and its archiving in guidelines.44 43 Amended by Annex No 12 of the O of 12 Nov. 2008 on the Swiss Federal Nuclear Safety Inspectorate, in force since 1 Jan. 2009 (AS 2008 5747). 44 Amended by Annex No 12 of the O of 12 Nov. 2008 on the Swiss Federal Nuclear Safety Inspectorate, in force since 1 Jan. 2009 (AS 2008 5747).
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Art. 42 Updating of plan or project concerning decommissioning and closure
1 Every ten years, the holder of an operating licence must review and update the plan for the decommissioning of a nuclear installation or, in the case of a deep geological repository, the project for the monitoring period and the plan for closure. 2 Updating is also required if: - a.
- significant changes have been made to the installation;
- b.
- significant requirements have been changed that relate to decommissioning, or the monitoring period and closure of the installation;
- c.
- significant technological developments make updating necessary.
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Art. 43 Shutdown of a nuclear power plant
1 The holder of an operating licence for a nuclear power plant must shut down the installation if one of the shutdown criteria in the technical specifications or power plant regulations should be fulfilled. 2 The licence holder may only resume operation with a reactor output of more than 5 percent after the necessary measures have been taken.
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Art. 44 Criteria for provisional taking out of service and backfitting of nuclear power plants 45
1 The holder of an operating licence must take the nuclear power plant out of service and backfit it if one or more of the following technical criteria are fulfilled: - a.
- accident analyses indicate that core cooling in the event of an accident in accordance with Article 8 paragraphs 2 and 3 can no longer be assured and a dose of 100 mSv will be exceeded as a consequence;
- b.
- the integrity of the primary coolant system can no longer be assured;
- c.
- the integrity of the containment can no longer be assured.
2 In the analysis under paragraph 1 letter a, accidents with a frequency of more than 10-6 per year that are not triggered by natural events and natural events with a frequency of 10-4 per year must be taken into account. 3 The Department specifies the methodology and boundary conditions governing the review of criteria in an ordinance. 45 Amended by No I of the O of 7 Dec. 2018, in force since 1 Feb. 2019 (AS 2019 183).
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