Nuclear Energy Ordinance
(NEO)

The Federal Council,

on the basis of Article 101, paragraph 1 of the Nuclear Energy Act of 21 March 20031 (NEA),

ordains:

Chapter 1 General Provisions

Art. 1 Nuclear materials covered by this Ordinance 2  

1 Nuc­le­ar ma­ter­i­als are:

a.
source ma­ter­i­als:
1.
nat­ur­al urani­um, i.e. urani­um with the mix­ture of iso­topes that oc­curs in nature,
2.
de­pleted urani­um, i.e. urani­um that has a lower per­cent­age of urani­um 235 than nat­ur­al urani­um,
3.
thori­um,
4.
the sub­stances men­tioned in num­bers 1-3 above in the form of met­al, al­loys, chem­ic­al com­pounds or con­cen­trates and oth­er ma­ter­i­als that con­tain one or more of the above­men­tioned sub­stances in a con­cen­tra­tion spe­cified by the In­ter­na­tion­al Atom­ic En­ergy Agency or high­er;
b.
spe­cial fis­sile ma­ter­i­als:
1.
plutoni­um 239,
2.
urani­um 233,
3.
urani­um 235,
4.
en­riched urani­um, i.e. urani­um in which the per­cent­age of urani­um 233, urani­um 235 or both iso­topes to­geth­er is high­er than that of urani­um 235 in nat­ur­al urani­um,
5.
the sub­stances men­tioned in num­bers 1-4 above in the form of met­al, al­loys, chem­ic­al com­pounds or con­cen­trates and oth­er ma­ter­i­als that con­tain one or more of the above­men­tioned sub­stances in a con­cen­tra­tion spe­cified by the In­ter­na­tion­al Atom­ic En­ergy Agency or high­er.

2 The fol­low­ing are not clas­si­fied as nuc­le­ar ma­ter­i­als:

a.
urani­um and thori­um ores;
b.
source ma­ter­i­als and products made from source ma­ter­i­als that are not used for ob­tain­ing en­ergy by means of nuc­le­ar fis­sion pro­cesses, and in par­tic­u­lar shield­ing ma­ter­i­als, sensors in meas­ur­ing in­stru­ments, ceram­ic com­pounds and al­loys;
c.
spe­cial fis­sile ma­ter­i­als with a weight of up to 15 grams and products made from spe­cial fis­sile ma­ter­i­als that are not used for ob­tain­ing en­ergy by means of nuc­le­ar fis­sion pro­cesses, and in par­tic­u­lar sensors in meas­ur­ing in­stru­ments and oth­er fin­ished products for which the re­cov­ery of the spe­cial fis­sile ma­ter­i­als con­tained therein re­quires dis­pro­por­tion­ate tech­nic­al ef­fort or fin­an­cial ex­pense.

2 Amended by An­nex 6 No II 2 of the Safe­guards Or­din­ance of 21 March 2012, in force since 1 May 2012 (AS 2012 1703).

Art. 2 Nuclear installations covered by this Ordinance  

1 In­stall­a­tions in which the fol­low­ing nuc­le­ar ma­ter­i­als are ob­tained, pro­duced, used, pro­cessed or stored are not clas­si­fied as nuc­le­ar in­stall­a­tions:

a.
sub­stances that con­tain a total of not more than 1,000 kg of nat­ur­al urani­um, de­pleted urani­um or thori­um;
b.
source ma­ter­i­als for which evid­ence can be provided that a sus­tain­able chain re­ac­tion is not pos­sible due to the chemico-phys­ic­al con­di­tion of the ma­ter­i­als and the ex­ist­ing op­er­at­ing con­di­tions;
c.
spe­cial fis­sile ma­ter­i­als that con­tain a total max­im­um of 150 grams of plutoni­um 239, urani­um 233 or urani­um 235.

1bis In­stall­a­tions out­side nuc­le­ar in­stall­a­tions in which ra­dio­act­ive waste is stored in or­der to de­cay in ac­cord­ance with Art­icle 117 of the Ra­di­olo­gic­al Pro­tec­tion Or­din­ance of 26 April 20173 (RPO) are also not clas­si­fied as nuc­le­ar in­stall­a­tions.4

2 The Fed­er­al Of­fice of En­ergy (the Fed­er­al Of­fice) shall de­term­ine wheth­er source ma­ter­i­als meet the re­quire­ments with­in the mean­ing of para­graph 1 let­ter b.

3 SR 814.501

4 In­ser­ted by No I of the O of 7 Dec. 2018, in force since 1 Feb. 2019 (AS 2019 183).

Art. 3 Brokerage activities covered by this Ordinance  

Activ­it­ies in­volving nuc­le­ar goods with­in the mean­ing of Art­icle 3 let­ter k of the Nuc­le­ar En­ergy Act are not clas­si­fied as broker­age activ­it­ies if the nuc­le­ar goods con­cerned are in­ten­ded to meet own needs with­in Switzer­land.

Art. 4 Definitions  

The defin­i­tions in An­nex 1 ap­ply.

Art. 5 Sectoral plan for deep geological repositories  

The fed­er­al gov­ern­ment shall spe­cify in a sec­tor­al plan the ob­ject­ives and cri­ter­ia for the dis­pos­al of ra­dio­act­ive waste in deep geo­lo­gic­al re­pos­it­or­ies which are leg­ally bind­ing for the rel­ev­ant au­thor­it­ies.

Art. 6 Supervisory authorities 5  

The su­per­vis­ory au­thor­it­ies are:

a.
the Swiss Fed­er­al Nuc­le­ar Safety In­spect­or­ate (EN­SI) with re­gard to nuc­le­ar safety and se­cur­ity;
b.
the Fed­er­al Of­fice for oth­er areas of en­force­ment of the NEA.

5 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Chapter 2 Principles of Nuclear Safety and Security

Art. 7 Requirements concerning nuclear safety  

The fol­low­ing meas­ures must be taken in or­der to guar­an­tee nuc­le­ar safety.

a.
Es­tab­lished or proven high-qual­ity pro­cesses, ma­ter­i­als, tech­no­lo­gies and or­gan­isa­tion­al struc­tures and pro­cesses must be used in con­nec­tion with design, con­struc­tion, com­mis­sion­ing and op­er­a­tion of nuc­le­ar in­stall­a­tions. This ap­plies es­pe­cially to the areas of plan­ning, man­u­fac­ture, test­ing, op­er­a­tion, sur­veil­lance, main­ten­ance, qual­ity as­sur­ance, eval­u­ation of op­er­a­tion­al ex­per­i­ence feed­back, er­go­nom­ic design as well as ba­sic and ad­vanced train­ing and pro­fes­sion­al de­vel­op­ment.
b.
Any de­vi­ations from nor­mal op­er­a­tion should be countered as far as pos­sible by en­sur­ing that the be­ha­viour of the in­stall­a­tion is self-reg­u­lat­ing and fault-tol­er­ant. Wherever pos­sible, the be­ha­viour of the in­stall­a­tion must be in­her­ently safe. The term «in­her­ently safe» is un­der­stood to mean that a giv­en sys­tem func­tions safely on its own, i.e. without the sup­port of aux­il­i­ary sys­tems.
c.
In or­der to deal with ac­ci­dents, the in­stall­a­tion must be de­signed in such a man­ner as to en­sure that the sur­round­ings are not ex­posed to im­per­miss­ible ra­di­olo­gic­al ef­fects. For this pur­pose, the in­stall­a­tion must be equipped with both pass­ive and act­ive safety sys­tems.
d.
Ad­di­tion­al tech­nic­al, or­gan­isa­tion­al and ad­min­is­trat­ive meas­ures must be taken to pre­vent and mit­ig­ate the con­sequences if harm­ful quant­it­ies of ra­dio­act­ive sub­stances might be re­leased in case of an ac­ci­dent
Art. 8 Requirements concerning measures to prevent accidents  

1 Pre­vent­ive and pro­tect­ive meas­ures must be taken to avoid ac­ci­dents in nuc­le­ar in­stall­a­tions that may ori­gin­ate either with­in (in­tern­al) or out­side (ex­tern­al) the in­stall­a­tion.

2 In­tern­al ini­ti­at­ing events in­clude re­act­iv­ity dis­turb­ance, loss of coolant, loss of heat sink, fire, flood­ing, mech­an­ic­al dam­age due to com­pon­ent fail­ure, dam­age to clad­ding when hand­ling fuel ele­ments, fail­ure of op­er­at­ing sys­tems, un­in­ten­tion­al ac­tiv­a­tion or faulty func­tion­ing of safety sys­tems, and mis­takes made by per­son­nel.

3 Ex­tern­al ini­ti­at­ing events in­clude earth­quake, flood­ing, ac­ci­dent­al crash of civil or mil­it­ary air­craft, squall, light­ning strike, shock wave, fire, loss of off-site power, impair­ment or loss of ex­tern­al cool­ing wa­ter sup­ply.

4 For the design of a nuc­le­ar in­stall­a­tion in ac­cord­ance with Art­icle 7 let­ter c, ac­ci­dents with­in the mean­ing of para­graph 2 and ac­ci­dents not triggered by nat­ur­al events with­in the mean­ing of para­graph 3 must be clas­si­fied by the fre­quency spe­cified in Art­icle 123 para­graph 2 RPO6. In ad­di­tion to the ini­ti­at­ing event, an un­re­lated single fail­ure must also be as­sumed. Proof must be provided that the re­quire­ments re­lat­ing to max­im­um ra­di­ation doses in ac­cord­ance with Art­icle 123 para­graph 2 RPO are met.7

4bis For the design of a nuc­le­ar in­stall­a­tion in ac­cord­ance with Art­icle 7 let­ter c, in the case of ac­ci­dents triggered by nat­ur­al events in ac­cord­ance with para­graph 3, the as­sump­tion shall be made of a nat­ur­al event with a fre­quency of 10‑3 per year and a nat­ur­al event with a fre­quency of 10‑4 per year. In ad­di­tion to a nat­ur­al event trig­ger­ing the ac­ci­dent, a sep­ar­ate in­di­vidu­al er­ror shall be as­sumed. It must be demon­strated that the dose res­ult­ing from a single such event for mem­bers of the pub­lic:

a.
is no great­er than 1 mSv in the case of a fre­quency of 10-3 per year;
b.
is no great­er than 100 mSv in the case of a fre­quency of 10-4 per year.8

5 Proof must be provided by prob­ab­il­ist­ic ana­lys­is that there is ad­equate pro­tec­tion against bey­ond-design-basis ac­ci­dents. For this pur­pose, the pre­vent­ive and mit­ig­at­ing meas­ures in ac­cord­ance with Art­icle 7 let­ter d may be taken in­to ac­count.9

6The Fed­er­al De­part­ment of the En­vir­on­ment, Trans­port, En­ergy and Com­mu­nic­a­tions (the De­part­ment) shall define the haz­ard as­sump­tions and as­so­ci­ated eval­u­ation cri­ter­ia in an or­din­ance.

6 SR 814.501

7 Amended by No I of the O of 7 Dec. 2018, in force since 1 Feb. 2019 (AS 2019 183).

8 In­ser­ted by No I of the O of 7 Dec. 2018, in force since 1 Feb. 2019 (AS 2019 183).

9 Amended by No I of the O of 7 Dec. 2018, in force since 1 Feb. 2019 (AS 2019 183).

Art. 9 Requirements concerning security  

1 The pro­tec­tion of nuc­le­ar in­stall­a­tions and nuc­le­ar ma­ter­i­al against sab­ot­age, ma­li­cious acts and un­au­thor­ised re­mov­al must be based on the prin­ciple of de­fence in depth, which en­com­passes struc­tur­al, tech­nic­al, or­gan­isa­tion­al, per­son­nel and ad­min­is­trat­ive meas­ures.

2 The prin­ciples for se­cur­ity zones and bar­ri­ers and for the pro­tec­tion of nuc­le­ar in­stall­a­tions, nuc­le­ar ma­ter­i­als and ra­dio­act­ive waste are defined in An­nex 2.

3 The De­part­ment shall define the prin­ciples for haz­ard as­sump­tions and for struc­tur­al, tech­nic­al, or­gan­isa­tion­al and ad­min­is­trat­ive se­cur­ity meas­ures in an or­din­ance.

Art. 10 Basic principles for the design of nuclear power plants  

1 The fol­low­ing prin­ciples ap­ply to nuc­le­ar power plants:

a.
Safety func­tions must also re­main ef­fect­ive even if a single fail­ure oc­curs in­de­pend­ently of an ini­ti­at­ing event, and also if a com­pon­ent is not avail­able due to main­ten­ance or re­pair. Such sep­ar­ate single fail­ures in­clude the ran­dom fail­ure of a com­pon­ent that res­ults in its in­ca­pa­city to per­form its in­ten­ded safety func­tion. Sub­sequent fail­ures arising from such ran­dom fail­ures are also re­garded as part of the ori­gin­al single fail­ure.
b.
Wherever pos­sible, safety func­tions must be im­ple­men­ted in ac­cord­ance with the prin­ciples of re­dund­ancy and di­versity. Re­dund­ancy refers to the ex­ist­ence of a lar­ger num­ber of func­tion­al devices than are re­quired for ful­filling the in­ten­ded safety func­tion. Di­versity refers to the use of dif­fer­ent types of phys­ic­al or tech­nic­al prin­ciples.
c.
Re­dund­ant trains of safety sys­tems in­stalled for per­form­ing safety func­tions must as far as pos­sible be in­de­pend­ent of one an­oth­er in terms of func­tion and in terms of both mech­an­ic­al and sup­port sys­tems such as in­stru­ment­a­tion and con­trol and pro­vi­sion of en­ergy, cool­ing and vent­il­a­tion.
d.
Each re­dund­ant train of a safety sys­tem in­stalled for per­form­ing a safety func­tion must as far as pos­sible be spa­tially sep­ar­ated from the oth­er trains.
e.
Re­dund­ant devices in­stalled for per­form­ing safety func­tions must be test­able, as far as pos­sible in their en­tirety, or oth­er­wise sub­divided in­to the broad­est pos­sible sub­parts, both manu­ally and through sim­u­lated auto­mat­ic ac­tiv­a­tion, in­clud­ing un­der emer­gency power sup­ply.
f.
Safety func­tions must be auto­mated so that, in the event of ac­ci­dents in ac­cord­ance with Art­icle 8, no in­ter­ven­tions im­port­ant to safety by per­son­nel are re­quired dur­ing the first 30 minutes fol­low­ing the ini­ti­at­ing event.
g.
The design of sys­tems and com­pon­ents must take suf­fi­cient ac­count of ap­pro­pri­ate safety mar­gins.
h.
As far as pos­sible, sys­tems should be de­signed to en­sure safety-ori­ented sys­tem be­ha­viour in the event of equip­ment fail­ures.
i.
Pref­er­ence must be giv­en to pass­ive rather than act­ive safety func­tions.
j.
Work sta­tions and pro­cesses for the op­er­a­tion and main­ten­ance of the in­stall­a­tion must be de­signed so that they take ac­count of hu­man cap­ab­il­it­ies and their lim­its.
k.
While en­sur­ing the same de­gree of safety, pref­er­ence must be giv­en to meas­ures to pre­vent ac­ci­dents in ac­cord­ance with Art­icle 7 let­ter d over meas­ures to mit­ig­ate their con­sequences.

2 EN­SI shall spe­cify de­tailed design prin­ciples for light-wa­ter re­act­ors in guidelines.10

10 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Art. 11 Design principles for deep geological repositories  

1 In or­der to guar­an­tee long-term safety, the site for a deep geo­lo­gic­al re­pos­it­ory must meet the fol­low­ing re­quire­ments:

a.
suf­fi­cient ex­tent of suit­able host rock;
b.
fa­vour­able hy­dro-geo­lo­gic­al con­di­tions;
c.
long-term geo­lo­gic­al sta­bil­ity.

2 A deep geo­lo­gic­al re­pos­it­ory must be de­signed to en­sure that:

a.
it com­plies by ana­logy with the prin­ciples of Art­icle 10 para­graph 1;
b.
it guar­an­tees long-term safety through mul­tiple pass­ive safety bar­ri­ers;
c.
steps to ease sur­veil­lance and re­pairs of the re­pos­it­ory, or for the re­cov­ery of the waste, in no way im­pair the ef­fect­ive­ness of the pass­ive safety bar­ri­ers after clos­ure of the re­pos­it­ory;
d.
it can be closed with­in a peri­od of a few years.

3 EN­SI shall is­sue guidelines that spe­cify:

a.
de­tailed design prin­ciples for deep geo­lo­gic­al re­pos­it­or­ies;
b.
the re­quire­ments for proof of the long-term safety deep geo­lo­gic­al re­pos­it­or­ies.11

11 Amended by No I of the O of 31 May 2024, in force since 1 Ju­ly 2024 (AS 2024 280).

Art. 12 Design principles for other nuclear installations  

1 Art­icle 10 para­graph 1 ap­plies by ana­logy to the design of nuc­le­ar in­stall­a­tions oth­er than nuc­le­ar power plants and deep geo­lo­gic­al re­pos­it­or­ies.

2 An in­ter­im stor­age in­stall­a­tion for ra­dio­act­ive waste must be de­signed to en­sure that:

a.
the suit­ab­il­ity for dis­pos­al of the waste pack­ages will not be im­paired;
b.
suf­fi­cient stor­age ca­pa­city is avail­able for the an­ti­cip­ated volume of waste.

3 EN­SI shall spe­cify de­tailed design prin­ciples for in­di­vidu­al types of nuc­le­ar in­stall­a­tions in guidelines.12

12 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Chapter 3 Nuclear Goods

Art. 13 Responsibilities  

The Fed­er­al Of­fice is re­spons­ible for:

a.
is­su­ing li­cences for hand­ling nuc­le­ar ma­ter­i­als;
abis.13
is­su­ing li­cences for the ex­port and me­di­ation of tech­no­logy re­lat­ing to nuc­le­ar ma­ter­i­als;
b.14
ap­prov­ing the agree­ment con­cern­ing the re­turn of ra­dio­act­ive waste.

13 In­ser­ted by An­nex 8 No I of the Goods Con­trol Or­din­ance of 3 June 2016, in force since 1 Ju­ly 2016 (AS 2016 2195).

14 Amended by No I of the O of 1. Nov. 2017, in force since 1 Jan. 2018 (AS 2017 7107).

Art. 14 Licence procedure for the export and mediation of nuclear materials and technology relating to nuclear materials 15  

1 The Fed­er­al Of­fice shall au­thor­ise ap­plic­a­tions for li­cences for the ex­port and me­di­ation of nuc­le­ar ma­ter­i­als and tech­no­logy re­lat­ing to nuc­le­ar ma­ter­i­als un­less there is an in­dic­a­tion that the li­cens­ing re­quire­ments in Art­icle 7 NEA have not been met.

2 It shall re­fuse the ap­plic­a­tion if a ne­ces­sary li­cens­ing re­quire­ment in Art­icle 7 NEA has not been met.

3 In oth­er cases, it shall de­cide by agree­ment with the com­pet­ent of­fices of the Fed­er­al De­part­ment of For­eign Af­fairs, the Fed­er­al De­part­ment of Eco­nom­ic Af­fairs, Edu­ca­tion and Re­search and the Fed­er­al De­part­ment of De­fence, Civil Pro­tec­tion and Sport and in con­sulta­tion with the Fed­er­al In­tel­li­gence Ser­vice. If no agree­ment can be reached, the Fed­er­al Coun­cil shall de­cide based on the De­part­ment’s pro­pos­al.

15 Amended by An­nex 8 No I of the Goods Con­trol Or­din­ance of 3 June 2016, in force since 1 Ju­ly 2016 (AS 2016 2195).

Art. 15 Applications and related documentation  

1 Ap­plic­a­tions for a li­cence for the trans­port as well as for im­port, ex­port or trans­it of nuc­le­ar ma­ter­i­als must be sub­mit­ted jointly by the con­signor, the con­sign­ee, the car­ri­er and the trans­port or­gan­iser.

2 The doc­u­ments must provide all the ne­ces­sary in­form­a­tion for as­sess­ing the ap­plic­a­tion, in­clud­ing in par­tic­u­lar in­form­a­tion on:16

a.
the com­pos­i­tion and prop­er­ties of the ma­ter­i­al;
b.
the spe­cif­ic tech­nic­al data con­cern­ing the equip­ment;
c.
the place of man­u­fac­ture;
d.
the des­tin­a­tion and re­cip­i­ent;
e.
the des­ig­nated pur­pose;
f.
the con­di­tions of pur­chase or sale;
g.
trans­port, in par­tic­u­lar evid­ence of com­pli­ance with the re­quire­ments on the car­riage of dan­ger­ous goods;
h.17
the own­ers of a nuc­le­ar in­stall­a­tion that are li­able in ac­cord­ance with Art­icle 2 let­ter b of the Nuc­le­ar En­ergy Pub­lic Li­ab­il­ity Act of 13 June 200818;
i.19
proof of cov­er in ac­cord­ance with den Art­icles 1 let­ter c und 2 para­graph 3 of the Nuc­le­ar En­ergy Pub­lic Li­ab­il­ity Or­din­ance of 25 March 201520.

3 Doc­u­ments re­lat­ing to ap­plic­a­tions for li­cences for the me­di­ation of nuc­le­ar ma­ter­i­als or the ex­port or me­di­ation of tech­no­logy con­cern­ing nuc­le­ar ma­ter­i­als, must con­tain the fol­low­ing in­form­a­tion:

a.
for nuc­le­ar ma­ter­i­als, in par­tic­u­lar de­tails con­cern­ing:
1.
com­pos­i­tion of the ma­ter­i­al,
2.
quant­ity,
3.
place of ori­gin and des­tin­a­tion or if un­known at the time of ap­plic­a­tion, place of per­form­ance;
b.
for tech­no­logy, de­tails with­in the mean­ing of para­graph 2 let­ters c to f, and in­form­a­tion about form and con­tent of the tech­no­logy.

4 On re­quest, the hold­er of a li­cence for the me­di­ation of nuc­le­ar ma­ter­i­als must peri­od­ic­ally provide the Fed­er­al Of­fice with the fol­low­ing de­tails:

a.
com­pos­i­tion of the ma­ter­i­al;
b.
quant­it­ies;
c.
place of ori­gin and des­tin­a­tion or if un­known at time of ap­plic­a­tion, place of per­form­ance;
d.
type of un­der­ly­ing trans­ac­tion, time of per­form­ance;
e.
con­trac­tu­al part­ner(s).

5 The Fed­er­al Of­fice re­serves the right to re­quest ad­di­tion­al doc­u­ment­a­tion.

16 Amended by Art. 21 para. 2 of the Nuc­le­ar En­ergy Pub­lic Li­ab­il­ity Or­din­ance of 25 March 2015, in force since 1 Jan. 2022 (AS 2021860).

17 In­ser­ted by Art. 21 para. 2 of the Nuc­le­ar En­ergy Pub­lic Li­ab­il­ity Or­din­ance of 25 March 2015, in force since 1 Jan. 2022 (AS 2021860).

18 SR 732.44

19 In­ser­ted by Art. 21 para. 2 of the Nuc­le­ar En­ergy Pub­lic Li­ab­il­ity Or­din­ance of 25 March 2015, in force since 1 Jan. 2022 (AS 2021860).

20 SR 732.441

Art. 16 Preliminary clarifications  

1 At the re­quest of the ap­plic­ant, the Fed­er­al Of­fice shall carry out pre­lim­in­ary cla­ri­fic­a­tions to de­term­ine wheth­er, and un­der which con­di­tions, a li­cence may be is­sued in ac­cord­ance with the re­quire­ments afore­men­tioned in this chapter.

2 Pre­lim­in­ary cla­ri­fic­a­tions do not en­title the ap­plic­ant to a li­cence.

3 For the pur­pose of de­cid­ing on the is­su­ing of a li­cence, any already ex­amined pre­con­di­tions shall only be as­sessed dif­fer­ently if the ac­tu­al or leg­al cir­cum­stances have changed since the pre­lim­in­ary cla­ri­fic­a­tions were car­ried out, or if new facts should come to light.

Art. 17 Diplomatic or consular offices, international organisations, bonded warehouses, duty-free bonded warehouses and areas outside customs territory 21  

The fol­low­ing types of de­liv­er­ies are equi­val­ent to im­port and ex­port activ­it­ies:

a.
from and to dip­lo­mat­ic or con­su­lar of­fices;
b.
from and to in­ter­na­tion­al or­gan­isa­tions;
c.
from or to bon­ded ware­houses, ware­houses for bulk art­icles, duty-free bon­ded ware­houses or areas out­side cus­toms ter­rit­ory.

21 Amended by An­nex 4 No 31 of the Cus­toms Or­din­ance of 1 Nov. 2006, in force since 1 May 2007 (AS 20071469).

Art. 18 Validity  

Li­cences are val­id for no longer than 12 months and may only be ex­ten­ded for a max­im­um peri­od of 6 months.

Art. 1922  

22 Re­pealed by An­nex 8 No I of the Goods Con­trol Or­din­ance of 3 June 2016, with ef­fect from 1 Ju­ly 2016 (AS 2016 2195).

Art. 20 Retention of documentation  

All doc­u­ments re­lat­ing to li­cences must be re­tained for a peri­od of 5 years after is­sue of the li­cence, and must be sub­mit­ted to the rel­ev­ant au­thor­it­ies on re­quest.

Art. 21 Reporting obligation  

1 Li­cence hold­ers must re­port to EN­SI in par­tic­u­lar on the fol­low­ing events and find­ings re­lat­ing to the safety of the trans­port of nuc­le­ar ma­ter­i­als:23

a.
ex­ceed­ing of dose rate, activ­ity or con­tam­in­a­tion lim­its;
b.
tech­nic­al de­fects on trans­port con­tain­ers sub­ject to ap­prov­al;
c.
any oth­er events and find­ings that im­pair or may im­pair safety.

2 The li­cence hold­er must re­port the fol­low­ing events and find­ings re­lat­ing to se­cur­ity to EN­SI without delay:24

a.
sab­ot­age and at­temp­ted sab­ot­age;
b.
bomb threats;
c.
ex­tor­tion and host­age-tak­ing;
d.
ac­ci­dent, dam­age to or fail­ure of se­cur­ity equip­ment and sys­tems that last longer than 24 hours;
e.
any oth­er events and find­ings that im­pair or may im­pair se­cur­ity.

3 The li­cence hold­er must sub­mit a re­port on every event or find­ing to EN­SI or to the Fed­er­al Of­fice. Re­ports on events and find­ings re­lat­ing to safety must be made in ac­cord­ance with An­nex 6. Re­ports re­lat­ing to se­cur­ity must be sub­mit­ted with­in 30 days and must be clas­si­fied.25

23 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

24 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

25 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Chapter 4 Nuclear Installations

Section 1 General Licence

Art. 22 Nuclear installations with low hazard potential  

1 Nuc­le­ar in­stall­a­tions do not re­quire a gen­er­al li­cence if the fre­quency of all ac­ci­dents in ac­cord­ance with Art­icle 8 para­graphs 2 and 3 with a res­ult­ing dose of more than 1 mSv for mem­bers of the pub­lic does not ex­ceed 10-6 per an­num. In the case of in­ter­im stor­age in­stall­a­tions and deep geo­lo­gic­al re­pos­it­or­ies, the total of activ­it­ies of all nuc­lides to be em­placed must not ex­ceed 1016 g LL in ac­cord­ance with An­nex 3 column 9 RPO26.27

2 EN­SI shall spe­cify the meth­od­o­logy and bound­ary con­di­tions for the ac­ci­dent ana­lys­is called for in para­graph 1 in guidelines.28

26SR 814.501

27 Amended by An­nex 11 No 4 of the Ra­di­olo­gic­al Pro­tec­tion Or­din­ance of 26 April 2017, in force since 1 Jan. 2018 (AS 2017 4261).

28 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Art. 23 Application documents  

Ap­plic­a­tions for a gen­er­al li­cence must be ac­com­pan­ied by the fol­low­ing doc­u­ment­a­tion:

a.
safety ana­lys­is re­port and se­cur­ity re­port that in­clude the fol­low­ing in­form­a­tion:
1.
site char­ac­ter­ist­ics,
2.
pur­pose and out­line of pro­ject,
3.
an­ti­cip­ated ex­pos­ure to ra­di­ation in the vi­cin­ity of the in­stall­a­tion,
4.
im­port­ant in­form­a­tion re­gard­ing or­gan­isa­tion and per­son­nel,
5.
in the case of deep geo­lo­gic­al re­pos­it­or­ies, in­dic­a­tion of long-term safety;
b.
en­vir­on­ment­al im­pact re­port;
c.
re­port on com­pli­ance with spa­tial plan­ning re­quire­ments;
d.
concept for de­com­mis­sion­ing, or for the mon­it­or­ing peri­od and clos­ure;
e.
feas­ib­il­ity demon­stra­tion of the man­age­ment and dis­pos­al of res­ult­ing ra­dio­act­ive waste.

Section 2 Construction Licence and Construction of Installation

Art. 24 Applications  

1 Ap­plic­ants for a con­struc­tion li­cence must demon­strate that:

a.
they are able to com­ply with the prin­ciples afore­men­tioned in Art­icles 7 to 12;
b.29
c.
in the case of nuc­le­ar in­stall­a­tions with low haz­ard po­ten­tial, the re­quire­ments afore­men­tioned in Art­icle 22 are met.

2 They must sub­mit the fol­low­ing doc­u­ment­a­tion:

a.
re­quired doc­u­ments for con­struc­tion li­cence as in­dic­ated in An­nex 4;
b.
en­vir­on­ment­al im­pact re­port;
c.
re­port on com­pli­ance with spa­tial plan­ning re­quire­ments;
d.
qual­ity man­age­ment pro­gramme for the plan­ning and con­struc­tion phase;
e.
emer­gency pre­pared­ness concept;
f.
de­com­mis­sion­ing plan or pro­ject for the mon­it­or­ing peri­od and plan for clos­ure of the in­stall­a­tion;
g.
re­port on com­pli­ance of the pro­ject with the gen­er­al li­cence re­quire­ments.

3 EN­SI shall reg­u­late the type, con­tent, present­a­tion and num­ber of re­quired ap­plic­a­tion doc­u­ments in guidelines.30

29 Re­pealed by No I of the O of 1. Nov. 2017, with ef­fect from 1 Jan. 2018 (AS 2017 7107).

30 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Art. 25 Quality management programme  

1 In their qual­ity man­age­ment pro­gramme for the plan­ning and con­struc­tion phase, ap­plic­ants are re­quired to de­scribe the or­gan­isa­tion­al struc­ture and pro­cesses, in­clud­ing their co-op­er­a­tion with con­tract­ors, and with the rel­ev­ant li­cens­ing and su­per­vis­ory au­thor­it­ies.

2 The qual­ity man­age­ment pro­gramme must take ac­count of the state of the art of nuc­le­ar safety and se­cur­ity tech­no­logy.

3 Ap­plic­ants must have their qual­ity man­age­ment pro­gramme peri­od­ic­ally ex­amined by ex­tern­al aud­it­ors – and mod­i­fied where ne­ces­sary – in ac­cord­ance with cur­rent in­dustry stand­ards.

4 EN­SI shall spe­cify the de­tailed re­quire­ments on qual­ity man­age­ment pro­grammes in guidelines.31

31 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Art. 26 Permits  

1 For build­ings and sys­tem com­pon­ents that re­quire a per­mit in ac­cord­ance with the con­di­tions of the con­struc­tion li­cence, EN­SI shall grant per­mits:32

a.
for the con­struc­tion of build­ing struc­tures in­clud­ing em­bed­ded at­tach­ment ele­ments and the in­stall­a­tion of re­in­force­ment bars or the as­sembly of steel con­struc­tions and for the meth­od­o­logy ap­plied for modi­fic­a­tions to the ori­gin­al struc­ture and sub­sequently in­stalled fasten­ing ele­ments;
b.
for the man­u­fac­ture of the main mech­an­ic­al com­pon­ents;
c.
for the in­stall­a­tion of mech­an­ic­al and elec­tric­al sys­tems, in­clud­ing their in­stru­ment­a­tion and con­trol and for se­cur­ity equip­ment.

2 To ob­tain the ne­ces­sary per­mit, ap­plic­ants must sub­mit all the doc­u­ment­a­tion ne­ces­sary for the as­sess­ment as afore­men­tioned in An­nex 4.

3 EN­SI shall reg­u­late the type, con­tent, present­a­tion and num­ber of re­quired ap­plic­a­tion doc­u­ments in guidelines.33

32 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

33 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Art. 27 Construction documentation  

1 Li­cence hold­ers must fully doc­u­ment the con­struc­tion of build­ings and the man­u­fac­ture and as­sembly of tech­nic­al equip­ment, as well as im­ple­men­ted con­trols and in­spec­tions in a re­trace­able man­ner at all times.

2 All doc­u­ment­a­tion must be se­curely archived un­til com­ple­tion of the de­com­mis­sion­ing, or un­til clos­ure or ex­piry of the spe­cified mon­it­or­ing peri­od.

3 All modi­fic­a­tions car­ried out on the in­stall­a­tion, in­clud­ing de­com­mis­sion­ing or clos­ure, must be doc­u­mented.

4 The li­cence hold­er must hand over all doc­u­ment­a­tion to EN­SI after the in­stall­a­tion has been de­com­mis­sioned, or after it has been closed or the peri­od of ob­ser­va­tion has ex­pired to the De­part­ment.34

5 EN­SI shall spe­cify the de­tailed re­quire­ments on doc­u­ment­a­tion and archiv­ing in guidelines.35

34 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

35 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Section 3 Operating Licence

Art. 28 Application documents  

1 Ap­plic­a­tions for an op­er­at­ing li­cence must be ac­com­pan­ied by the fol­low­ing doc­u­ment­a­tion:

a.
the re­quired or­gan­isa­tion­al and tech­nic­al doc­u­ment­a­tion as in­dic­ated in An­nex 3;
b.
the re­quired doc­u­ments for an op­er­at­ing li­cence as in­dic­ated in An­nex 4;
c.
evid­ence of in­sur­ance cov­er;
d.
the re­port on com­pli­ance of the in­stall­a­tion with the re­quire­ments of the gen­er­al li­cence and the con­struc­tion li­cence.

2 EN­SI shall reg­u­late the type, con­tent, present­a­tion and num­ber of re­quired ap­plic­a­tion doc­u­ments in guidelines.36

36 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Art. 29 Permits  

1 The op­er­at­ing li­cence shall re­quire per­mits for the fol­low­ing stages of the com­mis­sion­ing pro­ced­ure:

a.
the first de­liv­ery of nuc­le­ar fuel;
b.
the first fuel load;
c.
the first crit­ic­al­ity;
d.
the next stages in ac­cord­ance with the com­mis­sion­ing pro­gramme;
e.
con­tinu­ous op­er­a­tion in the first op­er­at­ing cycle;
f.
the first stor­age of waste pack­ages of a giv­en type;
g.
the stor­age of trans­port and stor­age casks with spent fuel ele­ments or high level waste.

2 To ob­tain the ne­ces­sary per­mit, ap­plic­ants must sub­mit the doc­u­ment­a­tion ne­ces­sary for the as­sess­ment as afore­men­tioned in An­nex 4.

3 EN­SI shall reg­u­late the type, con­tent, present­a­tion and num­ber of re­quired ap­plic­a­tion doc­u­ments in guidelines.37

37 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Art. 30 Requirements concerning organisation  

1 The or­gan­isa­tion of the in­stall­a­tion must be struc­tured in such a man­ner that it en­sures in­tern­al re­spons­ib­il­ity for at least the fol­low­ing activ­it­ies and areas:

a.
op­er­a­tion of the in­stall­a­tion in all op­er­at­ing modes;
b.
main­ten­ance, ma­ter­i­al tech­no­logy and test­ing meth­ods, tech­nic­al sup­port;
c.
design and sur­veil­lance of the re­act­or core;
d.
ra­di­ation pro­tec­tion and ra­dio­act­ive waste;
e.
wa­ter chem­istry and use of chem­ic­al ad­dit­ives.
f.
emer­gency plan­ning and pre­pared­ness;
g.
su­per­vi­sion and as­sess­ment of nuc­le­ar safety;
h.
se­cur­ity;
i.
qual­ity as­sur­ance for ser­vices provided by con­tract­ors;
j.
ini­tial and con­tinu­ing train­ing of per­son­nel;
k.
fos­ter­ing of safety aware­ness.

2 The li­cence hold­er must or­gan­ise the per­son­nel in­to a man­age­able num­ber of or­gan­isa­tion­al units which are headed by a des­ig­nated man­ager. Depu­ties must also be ap­poin­ted for all man­agers.

3 The li­cence hold­er must ap­point a com­mit­tee that ana­lyses events and find­ings that are at­trib­ut­able to hu­man factors, and that pro­poses meas­ures and su­per­vises their im­ple­ment­a­tion.

4 The li­cence hold­er must des­ig­nate a po­s­i­tion for tech­nic­al op­er­a­tion of the in­stall­a­tion that is provided with the ne­ces­sary com­pet­en­cies and re­sources, and that is re­spons­ible for de­cisions re­lat­ing to safety and se­cur­ity.

5 EN­SI shall spe­cify the de­tailed re­quire­ments on the or­gan­isa­tion in guidelines.38

38 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Art. 31 Quality management system for operation  

The qual­ity man­age­ment sys­tem for op­er­a­tion must meet the fol­low­ing re­quire­ments in par­tic­u­lar:

a.
Re­spons­ib­il­it­ies and com­pet­en­cies for pro­cesses in the or­gan­isa­tion must be de­scribed clearly and in de­tail.
b.
Tasks of rel­ev­ance to safety and se­cur­ity must be defined in a man­age­ment cycle and must be sys­tem­at­ic­ally planned, ex­ecuted, con­trolled, doc­u­mented, in­tern­ally and ex­tern­ally audited on a peri­od­ic­al basis, and ad­jus­ted as ne­ces­sary.
c.
The qual­ity man­age­ment sys­tem must cor­res­pond to the state of the art of nuc­le­ar safety and se­cur­ity tech­no­logy.

Section 4 Operation

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.

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.39

39 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Art. 33a Reliability assessments 40  

1 The reg­u­lar re­li­ab­il­ity as­sess­ments on per­sons who carry out func­tions that are es­sen­tial for nuc­le­ar safety and the se­cur­ity of the nuc­le­ar in­stall­a­tion are gov­erned by the Or­din­ance of 8 Novem­ber 202341 on Per­son­nel Se­cur­ity Screen­ing (PSSO).

2 The costs of the as­sess­ments are borne by the in­stig­at­ing body in ac­cord­ance with Art­icle 15 para­graph 4 let­ter a PSSO.

40 In­ser­ted by An­nex 8 No II 7 of the O of 8 Nov. 2023 on Per­son­nel Se­cur­ity Screen­ing, in force since 1 Jan. 2024 (AS 2023 736).

41 SR 128.31

Art. 34 Comprehensive safety reviews for nuclear power plants 42  

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.

42 Amended by No I of the O of 26 April 2017, in force since 1 June 2017 (AS 2017 2829).

Art. 34a Proof of safety for long-term operations 43  

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.

43 In­ser­ted by No I of the O of 26 April 2017, in force since 1 June 2017 (AS 2017 2829).

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.44

44 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

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.

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.45

2 EN­SI shall reg­u­late the type, con­tent, present­a­tion and num­ber of re­quired re­ports in guidelines.46

45 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

46 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Art. 38 Reporting obligations in the area of nuclear safety 47  

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.

47 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Art. 39 Reporting obligations in the area of security 48  

1 The hold­er of an op­er­at­ing li­cence must in par­tic­u­lar re­port the fol­low­ing activ­it­ies to EN­SI be­fore they are car­ried out:

a.49
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.

48 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

49 Re­pealed by No I of the O of 31 May 2024, with ef­fect from 1 Ju­ly 2024 (AS 2024 280).

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.50

50 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

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.51

5 EN­SI shall spe­cify the de­tailed re­quire­ments on doc­u­ment­a­tion and its archiv­ing in guidelines.52

51 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

52 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

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.
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.

Art. 44 Criteria for provisional taking out of service and backfitting of nuclear power plants 53  

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.

53 Amended by No I of the O of 7 Dec. 2018, in force since 1 Feb. 2019 (AS 2019 183).

Section 5 Decommissioning

Art. 45 Project documentation  

The or­gan­isa­tion re­quired to carry out de­com­mis­sion­ing must sub­mit the fol­low­ing doc­u­ments con­cern­ing the de­com­mis­sion­ing pro­ject:

a.
com­par­is­on of vari­ants for the dif­fer­ent stages, timetable for the de­com­mis­sion­ing op­er­a­tions and ex­pec­ted end status, in­clud­ing the reas­on for choice of vari­ant;
b.
de­scrip­tion of each step and re­quired fund­ing, i.e. de­term­in­a­tion of ra­di­olo­gic­al status of the in­stall­a­tion, dis­as­sembly, dis­mant­ling and de­con­tam­in­a­tion of in­stall­a­tions, de­con­tam­in­a­tion and de­moli­tion of build­ings;
c.
pro­ced­ure for sep­ar­at­ing ra­dio­act­ive from non-ra­dio­act­ive waste and man­age­ment of the ra­dio­act­ive waste;
d.
meas­ures to pro­tect per­son­nel against ra­di­ation and to pre­vent the re­lease of ra­dio­act­ive sub­stances in­to the en­vir­on­ment;
e.
se­cur­ity meas­ures;
f.
ac­ci­dent ana­lys­is, spe­cific­ally the iden­ti­fic­a­tion of po­ten­tial ac­ci­dents dur­ing de­com­mis­sion­ing, as­sess­ment of their fre­quency and ra­di­olo­gic­al im­pacts, as well as counter-meas­ures and any ne­ces­sary emer­gency pre­pared­ness meas­ures;
g.
evid­ence of avail­ab­il­ity of the re­quired num­ber of suit­able and qual­i­fied per­son­nel for ex­ecut­ing and su­per­vising de­com­mis­sion­ing op­er­a­tions, and of a suit­able or­gan­isa­tion­al struc­ture with clear al­loc­a­tion of re­spons­ib­il­it­ies;
h.
qual­ity man­age­ment pro­gramme;
i.
en­vir­on­ment­al im­pact re­port;
j.
sum­mary of all costs arising from the de­com­mis­sion­ing of the in­stall­a­tion, in­clud­ing those for the man­age­ment of ra­dio­act­ive and non-ra­dio­act­ive waste, and the se­cur­ing of the ne­ces­sary fin­an­cing.
Art. 46 Decommissioning order  

The de­com­mis­sion­ing or­der spe­cifies the fol­low­ing de­tails:

a.
scope of de­com­mis­sion­ing activ­it­ies;
b.
the vari­ous de­com­mis­sion­ing stages, in par­tic­u­lar the dur­a­tion of any safe en­clos­ure of the nuc­le­ar in­stall­a­tion;
c.
lim­its for the dis­charge of ra­dio­act­ive sub­stances in­to the en­vir­on­ment;
d.
mon­it­or­ing of im­mis­sions of ra­dio­act­ive sub­stances and of dir­ect ra­di­ation;
e.
or­gan­isa­tion.
Art. 47 Permits  

The de­com­mis­sion­ing or­der sets forth the need for a per­mit es­pe­cially for the fol­low­ing activ­it­ies:

a.54
pro­ced­ure for the clear­ance meas­ure­ment of res­ult­ing ma­ter­i­als;
b.
con­di­tion­ing of res­ult­ing ra­dio­act­ive waste;
c.55
de­moli­tion of build­ings after their de­con­tam­in­a­tion and clear­ance meas­ure­ment;
d.
non-nuc­le­ar use of in­stall­a­tions after com­ple­tion of the de­com­mis­sion­ing pro­cess;
e.
re­peal of se­cur­ity meas­ures;
f.
in the case of de­com­mis­sion­ing of nuc­le­ar power plants, dis­as­sembly of the re­act­or ves­sel and its sur­round­ing build­ing ele­ments.

54 Amended by No I of the O of 7 Dec. 2018, in force since 1 Feb. 2019 (AS 2019 183).

55 Amended by No I of the O of 7 Dec. 2018, in force since 1 Feb. 2019 (AS 2019 183).

Art. 48 Reporting procedure for decommissioning 56  

The or­gan­isa­tion re­quired to carry out de­com­mis­sion­ing must re­port to EN­SI once a year on the status of de­com­mis­sion­ing of the in­stall­a­tion, and must also sub­mit a fi­nal re­port after com­ple­tion of the pro­cess.

56 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Art. 49 Reporting obligations  

Art­icles 38 and 39 ap­ply by ana­logy to re­port­ing ob­lig­a­tions re­lat­ing to de­com­mis­sion­ing.

Chapter 5 Radioactive Waste

Section 1 General

Art. 50 Minimisation of radioactive waste  

Nuc­le­ar in­stall­a­tions must be de­signed, con­struc­ted and op­er­ated in such a man­ner as to en­sure that the low­est pos­sible quant­ity of ra­dio­act­ive waste in terms of activ­ity and volume arises from their op­er­a­tion and de­com­mis­sion­ing. For this pur­pose the fol­low­ing re­quire­ments ap­ply in par­tic­u­lar:

a.
for the con­struc­tion of nuc­le­ar in­stall­a­tions, ma­ter­i­als must be chosen that en­sure that the form­a­tion of ac­tiv­a­tion products is min­im­al;
b.
for the op­er­a­tion of nuc­le­ar in­stall­a­tions, the use of con­sum­ables in the con­trolled zone must be kept to a min­im­um;
c.
ma­ter­i­als that have been con­tam­in­ated with ra­dio­act­ive sub­stances must be de­con­tam­in­ated wherever pos­sible and ap­pro­pri­ate.
Art. 51 Categories of radioactive waste  

For the pur­pose of man­age­ment and dis­pos­al, ra­dio­act­ive waste is clas­si­fied in the fol­low­ing cat­egor­ies:

a.
high level ra­dio­act­ive waste:
1.
spent fuel which is no longer used,
2.
vit­ri­fied fis­sion product solu­tions res­ult­ing from the re­pro­cessing of spent fuel;
b.
al­phat­ox­ic waste: waste in which the con­tent of al­pha emit­ters ex­ceeds 20,000 becquer­els per gram of con­di­tioned waste;
c.
low and in­ter­me­di­ate level waste: all oth­er ra­dio­act­ive waste.
Art. 51a Material composition of radioactive waste 57  

Ra­dio­act­ive waste may con­tain chem­ic­ally tox­ic and chem­ic­ally re­act­ive sub­stances, provided this is com­pat­ible with safe dis­pos­al.

57 In­ser­ted by No I of the O of 31 May 2024, in force since 1 Ju­ly 2024 (AS 2024 280).

Art. 51abis Exceptions to the obligation to manage and dispose of nuclear waste 58  

The fol­low­ing are not sub­ject to the ob­lig­a­tion to man­age and dis­pose of nuc­le­ar waste in ac­cord­ance with Art­icle 31 NEA:

a.
low-level ra­dio­act­ive waste that may be dis­charged in­to the en­vir­on­ment in ac­cord­ance with Art­icles 111–116 RPO59;
b.
ra­dio­act­ive waste that may be placed in de­cay stor­age in ac­cord­ance with Art­icle 117 RPO.

58 Ori­gin­ally Art. 51a. In­ser­ted by No I of the O of 7 Dec. 2018, in force since 1 Feb. 2019 (AS 2019 183).

59 SR 814.501

Art. 52 Waste management programme  

1 Those re­quired to man­age ra­dio­act­ive waste must in­clude the fol­low­ing in­form­a­tion in the waste man­age­ment pro­gramme:

a.
ori­gin, type and quant­ity of ra­dio­act­ive waste;
b.
the re­quired deep geo­lo­gic­al re­pos­it­or­ies, in­clud­ing their design concept;
c.
al­loc­a­tion of ra­dio­act­ive waste to the deep geo­lo­gic­al re­pos­it­or­ies;
d.
plan for the real­isa­tion of the deep geo­lo­gic­al re­pos­it­or­ies;
e.
dur­a­tion and re­quired ca­pa­city of cent­ral and de­cent­ral in­ter­im stor­age;
f.
fin­an­cial plan for the waste man­age­ment op­er­a­tions through to de­com­mis­sion­ing of the nuc­le­ar in­stall­a­tions, in­clud­ing de­tails con­cern­ing:
1.
the activ­it­ies to be car­ried out,
2.
the as­so­ci­ated costs,
3.
the type of fin­an­cing;
g.
the in­form­a­tion concept.

2 The waste man­age­ment pro­gramme must be up­dated every five years.

3 EN­SI and the Fed­er­al Of­fice are re­spons­ible for re­view­ing and mon­it­or­ing com­pli­ance with the waste man­age­ment pro­gramme.60

60 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Section 2 Clearance Measurement and Conditioning

Art. 53 Clearance measurement of materials  

1 Any per­son in­tend­ing to re­move ma­ter­i­als from con­trolled zones of a nuc­le­ar in­stall­a­tion must carry out a clear­ance meas­ure­ment with ap­pro­pri­ate qual­ity as­sur­ance and doc­u­ment it.61

2 Quant­it­ies of ma­ter­i­al weigh­ing more than 1,000 kilo­grams or with a volume great­er than a cu­bic metre must be re­por­ted to EN­SI at least 10 days pri­or to re­mov­al from the nuc­le­ar in­stall­a­tion, and the re­quired doc­u­ment­a­tion must be sub­mit­ted.62

3 EN­SI shall spe­cify the de­tailed re­quire­ments on clear­ance meas­ure­ment and re­port­ing in guidelines.63

61 Amended by No I of the O of 7 Dec. 2018, in force since 1 Feb. 2019 (AS 2019 183).

62 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

63 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Art. 54 Conditioning  

1 Ra­dio­act­ive waste must be con­di­tioned as quickly as pos­sible. The col­lec­tion of non-con­di­tioned waste for the pur­pose of car­ry­ing out peri­od­ic­al con­di­tion­ing cam­paigns is per­mit­ted.

2 Con­di­tioned waste pack­ages must be suit­able for trans­port, stor­age and dis­pos­al.

3 Each waste pack­age must be la­belled and provided with doc­u­ment­a­tion that de­scribes pro­duc­tion, com­pos­i­tion and prop­er­ties. This doc­u­ment­a­tion must be re­tained and handed over to the com­pany that is to carry out the fur­ther waste man­age­ment op­er­a­tions.

4 For the pro­duc­tion of a con­di­tioned waste pack­age a type or in­di­vidu­al per­mit is­sued by EN­SI is ne­ces­sary.64

5 Ap­plic­a­tions must be ac­com­pan­ied by all doc­u­ments that are ne­ces­sary for as­sess­ment pur­poses, and these must provide in­form­a­tion re­lat­ing in par­tic­u­lar to:

a.
the con­di­tion­ing pro­ced­ure;
b.
the waste pack­age and its com­pon­ents;
c.
the qual­ity as­sur­ance;
d.
the doc­u­ment­a­tion.

6 EN­SI shall spe­cify the de­tailed re­quire­ments on con­di­tion­ing and ap­plic­a­tion doc­u­ments in guidelines.65

64 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

65 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Section 3 Handling Radioactive Waste

Art. 55 Competences  

1 The Fed­er­al Of­fice is the com­pet­ent au­thor­ity for:

a.
is­su­ing li­cences for hand­ling ra­dio­act­ive waste;
b.
ap­prov­ing the agree­ment con­cern­ing the re­turn of ra­dio­act­ive waste in ac­cord­ance with Art­icle 34 para­graph 3 let­ter d and para­graph 4 of the Nuc­le­ar En­ergy Act.
2 The spe­cial com­pet­ence un­der Art­icle 11 para­graph 2 let­ter f RPO66 is re­served.67

3 The De­part­ment is re­spons­ible for con­clud­ing the agree­ment un­der in­ter­na­tion­al law in ac­cord­ance with Art­icle 34 para­graph 3 let­ter a NEA in the case of the ex­port of low and in­ter­me­di­ate-level waste for con­di­tion­ing pur­poses.68

66 SR 814.501

67 In­ser­ted by No I of the O of 7 Dec. 2018, in force since 1 Feb. 2019 (AS 2019 183).

68 In­ser­ted by No I of the O of 29 Nov. 2023, in force since 1 Jan. 2024 (AS 2023 765).

Art. 56 Application and related documentation  

1 Ap­plic­a­tions for a li­cence for the trans­port and for the im­port, ex­port or trans­it of ra­dio­act­ive waste must be sub­mit­ted jointly by the con­signor, the con­sign­ee, the car­ri­er and the trans­port or­gan­iser.

2 The doc­u­ment­a­tion must provide the ne­ces­sary in­form­a­tion for as­sess­ing the ap­plic­a­tion, in­clud­ing in par­tic­u­lar:

a.
the com­pos­i­tion and prop­er­ties of the ra­dio­act­ive waste;
b.
the per­son re­spons­ible for waste man­age­ment, con­signor and con­sign­ee;
c.
the place of ori­gin and des­tin­a­tion;
d.
the mode of trans­port, in par­tic­u­lar evid­ence of com­pli­ance with re­quire­ments on the car­riage of dan­ger­ous goods.
Art. 57 Preliminary clarifications, validity, retention of documents and reporting obligation  

Art­icles 16, 18, 20 and 21 ap­ply by ana­logy with re­spect to the hand­ling of ra­dio­act­ive waste.

Section 4 Geological Investigations

Art. 58 Application documents  

Ap­plic­a­tions for a li­cence for geo­lo­gic­al in­vest­ig­a­tions must be ac­com­pan­ied by the fol­low­ing doc­u­ment­a­tion:

a.
an in­vest­ig­a­tion pro­gramme;
b.
a geo­lo­gic­al re­port;
c.
a re­port on the po­ten­tial im­pacts of the in­vest­ig­a­tions on the geo­lo­gic­al con­di­tions and the en­vir­on­ment;
d.
maps and plans;
e.
an in­dic­a­tion of de­sired valid­ity of the li­cence.
Art. 59 Investigation programme  

The in­vest­ig­a­tion pro­gramme must con­tain de­tails con­cern­ing:

a.
the ob­ject­ives of the in­vest­ig­a­tions;
b.
the an­ti­cip­ated scope of the in­vest­ig­a­tions;
c.
the start­ing date and ex­pec­ted dur­a­tion of the in­vest­ig­a­tions.
Art. 60 Geological report  

The geo­lo­gic­al re­port must con­tain the fol­low­ing de­tails:

a.
a de­scrip­tion of the geo­logy of the re­gion con­cerned;
b.
a sum­mary of geo­lo­gic­al in­vest­ig­a­tions already car­ried out in the re­gion con­cerned and ac­cess­ible to the ap­plic­ant, to­geth­er with a sum­mary of the find­ings ob­tained from such in­vest­ig­a­tions;
c.
a de­scrip­tion of the geo­lo­gic­al and hy­dro-geo­lo­gic­al factors that are de­cis­ive for the choice of the re­gion con­cerned.
Art. 61 Exemptions from licensing obligation  

1 The fol­low­ing geo­lo­gic­al in­vest­ig­a­tions do not re­quire a li­cence:

a.
seis­mic and oth­er geo­phys­ic­al meas­ure­ments, e.g. gra­vi­met­ric, geo­elec­tric and elec­tro­mag­net­ic re­cord­ings;
b.
geo­lo­gic­al stud­ies on the sur­face and in ex­ist­ing un­der­ground struc­tures, in­clud­ing ex­trac­tion of rock samples;
c.
col­lec­tion of ground­wa­ter and well-wa­ter samples, meas­ure­ments of wells, shal­low piezo­met­ric meas­ure­ments and mark­ing tests;
d.
meas­ure­ments of ground gases.

2 The above ex­emp­tions re­main sub­ject to any au­thor­isa­tions that may be re­quired for the activ­it­ies con­cerned in ac­cord­ance with can­ton­al or fed­er­al le­gis­la­tion.

Section 5 Special Provisions for Deep Geological Repositories

Art. 62 Application for a general licence  

In ad­di­tion to the ap­plic­a­tion doc­u­ments in ac­cord­ance with Art­icle 23, ap­plic­ants for a gen­er­al li­cence for a deep geo­lo­gic­al re­pos­it­ory must also sub­mit a re­port con­tain­ing the fol­low­ing in­form­a­tion:

a.
a com­par­is­on of avail­able op­tions from the point of view of safety of the planned re­pos­it­ory;
b.
an eval­u­ation of the de­cis­ive prop­er­ties for the se­lec­tion of the site;
c.
the costs of the re­pos­it­ory.
Art. 63 Suitability criteria  

The cri­ter­ia to be spe­cified in the gen­er­al li­cence in ac­cord­ance with Art­icle 14 para­graph 1 let­ter f num­ber 1 of the Nuc­le­ar En­ergy Act re­late to:

a.
the ex­tent of suit­able host rock;
b.
the on-site hy­dro-geo­lo­gic­al con­di­tions;
c.
the age of deep ground­wa­ter.
Art. 64 Elements of a deep geological repository  

A deep geo­lo­gic­al re­pos­it­ory com­prises a main in­stall­a­tion for the em­place­ment of the ra­dio­act­ive waste, a pi­lot in­stall­a­tion and test areas.

Art. 65 Test areas  

1 In test areas, the prop­er­ties of the host rock of rel­ev­ance to safety must be ex­amined in depth in or­der to con­firm the safety.

2 Be­fore a deep geo­lo­gic­al re­pos­it­ory may be put in­to op­er­a­tion, the tech­no­lo­gies of rel­ev­ance to safety must be tested and their func­tion­al ca­pa­city must be as­cer­tained. This con­cerns in par­tic­u­lar:

a.
the em­place­ment of back­fill ma­ter­i­al;
b.
the re­mov­al of back­fill ma­ter­i­al for the pur­pose of re­cov­ery of waste pack­ages;
c.
the meth­od of re­cov­ery of waste pack­ages.

3 Dur­ing the op­er­a­tion of the re­pos­it­ory, the seal­ing of cav­erns and gal­ler­ies must be tested and its func­tion­al ca­pa­city must be as­cer­tained.

Art. 66 Pilot installation  

1 In the pi­lot in­stall­a­tion, the be­ha­viour of waste, back­fill ma­ter­i­al and host rock must be mon­itored un­til the ex­piry of the mon­it­or­ing peri­od. Dur­ing mon­it­or­ing, data must be col­lec­ted in or­der to con­firm long-term safety with a view to clos­ure.

2 The ob­tained find­ings must be trans­fer­able to the pro­cesses go­ing on in the main sec­tion. They form the basis for the de­cision on the clos­ure of the re­pos­it­ory.

3 The fol­low­ing prin­ciples must be ob­served in con­nec­tion with the design of the pi­lot sec­tion:

a.
The geo­lo­gic­al and hy­dro-geo­lo­gic­al con­di­tions must be com­par­able to those of the main sec­tion.
b.
The pi­lot sec­tion must be spa­tially and hy­draul­ic­ally sep­ar­ated from the main sec­tion.
c.
The con­struc­tion of the pi­lot sec­tion and the em­place­ment pro­ced­ure of waste and back­fill ma­ter­i­al must cor­res­pond to those of the main sec­tion.
d.
The pi­lot sec­tion must con­tain a small but rep­res­ent­at­ive quant­ity of waste.
Art. 67 Backfilling  

1 The own­er of a deep geo­lo­gic­al re­pos­it­ory must back­fill the stor­age cav­erns and gal­ler­ies after the waste pack­ages have been em­placed.

2 Back­filling must be car­ried out in such a man­ner that long-term safety is as­sured and the re­cov­ery of the waste is pos­sible without un­due ef­fort.

Art. 68 Monitoring period  

1 The own­er of a deep geo­lo­gic­al re­pos­it­ory must de­scribe in an up-dated pro­ject the planned meas­ures for mon­it­or­ing the re­pos­it­ory after em­place­ment of the waste has been com­pleted. He must also pro­pose a dur­a­tion for the mon­it­or­ing peri­od.

2 The De­part­ment or­ders the start of the mon­it­or­ing peri­od and spe­cifies its dur­a­tion. It may also ex­tend this peri­od as re­quired.

Art. 69 Closure  

1 When clos­ing a deep geo­lo­gic­al re­pos­it­ory, its own­er must back­fill all ex­cav­a­tions of the re­pos­it­ory and seal the sec­tions rel­ev­ant for long-term safety and se­cur­ity.

2 The clos­ure pro­ject must de­scribe the fol­low­ing as­pects in par­tic­u­lar:

a.
the back­filling and seal­ing of the ac­cesses to the dis­pos­al areas;
b.
the trans­form­a­tion of the pi­lot sec­tion in­to a state suit­able for long-term safety;
c.
the back­filling and seal­ing of the ac­cesses to the re­pos­it­ory;
d.
the as­sur­ance of long-term safety.

3 When clos­ing the re­pos­it­ory, the own­er must in par­tic­u­lar en­sure:

a.
that no in­ad­miss­ible re­lease of ra­di­o­nuc­lides takes place via the back­filled ac­cesses;
b.
that the sep­ar­a­tion of wa­ter-con­duct­ing rock lay­ers ex­ist­ing pri­or to the con­struc­tion of the deep geo­lo­gic­al re­pos­it­ory is re­stored over the long-term;
c.
that the mark­ing of the deep geo­lo­gic­al re­pos­it­ory is per­man­ent.
Art. 70 Protection zone  

1 The pro­tec­tion zone of a deep geo­lo­gic­al re­pos­it­ory must be defined on the basis of the re­port on long-term safety sub­mit­ted with the li­cence ap­plic­a­tion. The pro­tec­tion zone must en­com­pass:

a.
all parts of the re­pos­it­ory, in­clud­ing ac­cesses;
b.
the rock volumes that provide the hy­draul­ic con­tain­ment of the re­pos­it­ory;
c.
the rock volumes that sig­ni­fic­antly con­trib­ute to the re­ten­tion of ra­di­o­nuc­lides that could be re­leased from the re­pos­it­ory over the course of time.

2 After is­su­ing the gen­er­al li­cence, the Fed­er­al Of­fice shall re­quest the rel­ev­ant land re­gistry to add the fol­low­ing note to the entries for the plots of land situ­ated with­in the peri­met­er of the pro­tec­tion zone: «Pro­vi­sion­al pro­tec­tion zone of a deep geo­lo­gic­al re­pos­it­ory». After is­su­ing the op­er­at­ing li­cence, the Fed­er­al Of­fice shall re­quest the rel­ev­ant land re­gistry to add the note, «Defin­it­ive pro­tec­tion zone for a deep geo­lo­gic­al re­pos­it­ory».

3 The de­cision on the re­peal of a pro­vi­sion­al or defin­it­ive pro­tec­tion zone is made by the De­part­ment. In the event of such a de­cision, the Fed­er­al Of­fice shall re­quest the rel­ev­ant land re­gistry to de­lete the cor­res­pond­ing note.

4 The De­part­ment shall is­sue li­cences for activ­it­ies that af­fect the pro­tec­tion zone. A li­cence may only be is­sued if the activ­it­ies con­cerned do not im­pair the long-term safety of the deep geo­lo­gic­al re­pos­it­ory.

Art. 71 Documentation  

1 The own­er of a deep geo­lo­gic­al re­pos­it­ory must com­pile doc­u­ment­a­tion that is suit­able for se­cur­ing in­form­a­tion about the re­pos­it­ory over the long term.

2 This doc­u­ment­a­tion must con­tain the fol­low­ing:

a.
the loc­a­tion and ex­tent of un­der­ground struc­tures;
b.
an in­vent­ory of dis­posed ra­dio­act­ive waste by type, quant­ity and dis­pos­al area;
c.
the design of safety bar­ri­ers, in­clud­ing seal­ing of ac­cesses;
d.
the basis for and find­ings of the defin­it­ive ana­lys­is of long-term safety.

3 The own­er must hand over all doc­u­ment­a­tion to the De­part­ment after clos­ure or on ex­piry of the ad­di­tion­al mon­it­or­ing peri­od.

Art. 72 Use of geological data  

1 The find­ings ob­tained from geo­lo­gic­al in­vest­ig­a­tions or dur­ing the con­struc­tion of a deep geo­lo­gic­al re­pos­it­ory must be passed on to the Swiss Fed­er­al Geo­lo­gic­al In­form­a­tion Centre.

2 The lat­ter and the per­son who is re­quired to sup­ply the in­form­a­tion in ac­cord­ance with para­graph 1 con­trac­tu­ally reg­u­late the con­di­tions of ac­cess to and use of said data.

Chapter 6 Procedures, Information and Promotion

Art. 73 Review by ENSI 69  

EN­SI shall re­view ap­plic­a­tions sub­mit­ted for li­cences and ap­provals in ac­cord­ance with Art­icles 49 to 63 of the Nuc­le­ar En­ergy Act.

69 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Art. 74 Deadlines for dealing with applications  

The fol­low­ing dead­lines gen­er­ally ap­ply for deal­ing with ap­plic­a­tions for li­cences and ap­provals in ac­cord­ance with Art­icles 49 to 63 of the Nuc­le­ar En­ergy Act:

a.
from date of re­ceipt of com­plete ap­plic­a­tion un­til it is passed on to the can­tons and fed­er­al au­thor­it­ies con­cerned, or un­til pub­lic­a­tion and present­a­tion for pub­lic con­sulta­tion: one month;
b.
from com­ple­tion of in­struc­tion pro­ced­ure un­til a de­cision is taken: six months.
Art. 75 Procedure for permits and for type or individual approvals  

1 The fol­low­ing are not pub­lished or presen­ted for pub­lic con­sulta­tion:

a.
ap­plic­a­tions for per­mits in ac­cord­ance with Art­icles 26, 29, 40 and 47 of this Or­din­ance, and Art­icle 36, para­graph 1 let­ter b, Nuc­le­ar En­ergy Act;
b.
ap­plic­a­tions for type or in­di­vidu­al ap­provals in ac­cord­ance with Art­icle 54, para­graph 4.

2 EN­SI shall if ap­plic­able trans­mit the ap­plic­a­tion to the spe­cial­ist de­part­ments of the Con­fed­er­a­tion for re­view. For this it shall set an ap­pro­pri­ate dead­line.70

3 The pre­con­di­tion for grant­ing a per­mit is that the re­quire­ments of an un­der­ly­ing li­cence or or­der con­tin­ue to be met and that the con­di­tions spe­cified in the li­cence or or­der are taken in­to ac­count.

471

70 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

71 Re­pealed by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, with ef­fect from 1 Jan. 2009 (AS 2008 5747).

Art. 76 Obligation to provide information about special events and findings relating to nuclear safety 72  

1 EN­SI shall no­ti­fy the gen­er­al pub­lic without delay of any spe­cial events and find­ings in nuc­le­ar in­stall­a­tions that:

a.
rep­res­ent a haz­ard to the in­stall­a­tion or its per­son­nel, or have sig­ni­fic­ant ra­di­olo­gic­al im­pacts on the en­vir­on­ment (events and find­ings of cat­egory 3 or great­er of the INES scale, ac­cord­ing to An­nex 6);
b.
are of sig­ni­fic­ance in terms of safety, but have no or only a neg­li­gible ra­di­olo­gic­al im­pact on the en­vir­on­ment (events and find­ings of cat­egory 2 or great­er of the INES scale, ac­cord­ing to An­nex 6).

2 In the case of spe­cial events and find­ings of pub­lic in­terest that are not covered by para­graph 1 above, EN­SI shall ar­range for the pro­vi­sion of in­form­a­tion to the pub­lic.

72 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Art. 77 Promotion of research, education and training  

1 With­in the scope of ap­proved cred­its, the su­per­vis­ory au­thor­it­ies shall sup­port pro­jects in the area of ap­plied re­search, edu­ca­tion­al activ­it­ies and the train­ing of per­son­nel in the areas of safety and se­cur­ity of nuc­le­ar in­stall­a­tions and nuc­le­ar waste man­age­ment.

2 Their sup­port shall take the form of fin­an­cial aid or the as­sist­ance provided by per­son­nel from the Fed­er­al Of­fice or EN­SI.73

73 Amended by An­nex No 12 of the O of 12 Nov. 2008 on the SwissFed­er­al Nuc­le­ar Safety In­spect­or­ate, in force since 1 Jan. 2009 (AS 2008 5747).

Chapter 7 Criminal Provisions and Final Provisions

Art. 78 Criminal provision  

Any per­son who wil­fully or neg­li­gently fails to com­ply with the ob­lig­a­tion to keep re­cords in ac­cord­ance with Art­icles 20, 27 para­graph 2 and 41 para­graph 3 shall be li­able to the pen­al­ties in ac­cord­ance with Art­icle 93 of the Nuc­le­ar En­ergy Act.

Art. 79 Amendments to Annexes 2 and 6  

The De­part­ment may amend An­nexes 2 and 6 on the basis of de­cisions taken by ex­port con­trol au­thor­it­ies sup­por­ted by Switzer­land and re­com­mend­a­tions of the In­ter­na­tion­al Atom­ic En­ergy Agency.

Art. 80 Repeal of current legislation  

The fol­low­ing Or­din­ances are re­pealed:

1.
Or­din­ance of 11 Ju­ly 197974on the Gen­er­al Li­cens­ing Pro­ced­ure for Nuc­le­ar In­stall­a­tions with Site Li­cence;
2.
Or­din­ance of 27 Novem­ber 198975on Pre­par­at­ory Meas­ures;
3.
Atom­ic En­ergy Or­din­ance of 18 Janu­ary 198476;
4.
Or­din­ance of 14 March 198377on the Su­per­vi­sion of Nuc­le­ar In­stall­a­tions.
Art. 81 Amendments to current legislation  

Amend­ments to cur­rent le­gis­la­tion are dealt with in An­nex 7.

Art. 82 Transitional provision  

For the spe­cific­a­tion of the scope of back­fit­ting activ­it­ies in nuc­le­ar in­stall­a­tions that were com­mis­sioned pri­or to the en­act­ment of the Nuc­le­ar En­ergy Act, the re­quire­ments and prin­ciples laid down in Art­icles 7 to 12 must be met in ac­cord­ance with Art­icle 22 para­graph 2 let­ter g of the Nuc­le­ar En­ergy Act.

Art. 82a Transitional provision to the Amendment of 26 April 2017 78  

EN­SI may on re­quest ex­tend the dead­line for sub­mis­sion of the PSR with proof of safety for long-term op­er­a­tions in ac­cord­ance with Art­icle 34 para­graph 4 in con­junc­tion with Art­icle 34 para­graph 3 un­til the end of 2019 at the latest.

78 In­ser­ted by No I of the O of 26 April 2017, in force since 1 June 2017 (AS 2017 2829).

Art. 83 Commencement  

This Or­din­ance comes in­to force on 1 Feb­ru­ary 2005.

Annex 1 79

79 Revised by Annex 8 No I of the Goods Control Ordinance of 3 June 2016 (AS 2016 2195) and Annex 11 No 4 of the Radiological Protection Ordinance of 26 April 2017, in force since 1 Jan. 2018 (AS 2017 4261).

(Art. 4)

Definitions

In this Ordinance:

a.
Finding means the identification of a condition of components that may have an impact on safety but have not given rise to an event.
b.
Event means an occurrence in the operation of a installation or during transport that may have an impact on safety.
c.
Clearance measurement means proof of clearance from mandatory licensing and supervision in accordance with Article 106 RPO80.
d.
Maintenance means all measures to preserve and restore the required condition of equipment and systems, and to determine and assess their current status.
e.
Core coolingmeans the removal of heat from the reactor core via cooling systems in order to ensure that the design temperature of all core components is not exceeded.
f.
Core damage frequency means the frequency per annum of damage to the reactor core caused by accidents as calculated by a probabilistic safety analysis.
g.
Normal operation means the operating state within specified operating limits and in accordance with applicable regulations.
h.
Safety classificationmeans the classification of structures, systems and components of a nuclear installation into building, safety and earthquake classes in line with their relevance to nuclear safety.
i.
Accidentsmeans any condition deviating from normal operation that requires the intervention of a safety system.
j.
System means a combination of mechanical or electrical equipment that is required for performing a specific function.
k.
Technology means specific knowledge that is not generally accessible or does not serve the purpose of basic research in the form of technical data or technical support that is required for development, manufacture or utilisation.
l.
Partner Statemeans a state that participates in international control measures that are non-binding under international law but which are supported by Switzerland.

Annex 2 81

81 Revised in accordance with Annex No 12 of the O of 12 Nov. 2008 on the SwissFederal Nuclear Safety Inspectorate, in force since 1 Jan. 2009 (AS 2008 5747).

(Art. 9, para. 2)

Principles for the security of nuclear installations, nuclear materials and radioactive waste

1. Technical security of nuclear installations

The arrangement of security zones, areas and barriers must be based on the following model:

The various security barriers perform the following functions:

The vehicle barrier protects against attacks using vehicles and obstructs the transport of heavy arms or explosives through the no access zone to the perimeter.
The perimeter surrounds the protected area. It detects intruders, identifies the location of the attack and triggers the alarm.
Security barriers D, C and B provide increasingly higher levels of resistance towards the inner and vital area. They protect and surround the corresponding areas containing systems and equipment important to safety.

In the case of interim storage installations and deep geological repositories, ENSI shall decide whether it is possible to waive any security barriers.

Security systems (e.g. central alarm stations, guard-houses) that permit pedestrian or vehicle access to security zones must be located behind a barrier with the same level of resistance that is required for the protection of the corresponding zone.

The level of resistance of a barrier must be maintained, and for this reason, application of the two door interlock principle is required. If by way of exception it is necessary to deviate from or deactivate this method, access must be controlled by the security guards

2. Security of nuclear materials and radioactive waste

Categorisation of nuclear materials and radioactive waste

Material

Form

Category

I

II

III

1.
Plutoniuma

Unirradiatedb

2 kg or more

Less than 2 kg but more than 500 g

500 g or less, but more than 15 g

2.
Uranium-235

Unirradiatedb

uranium enriched to 20% 235U or more

5 kg or more

Less than 5 kg but more than 1 kg

1 kg or less, but more than 15 g

uranium enriched to at least 10% 235U but to less than 20% 235U

10 kg or more

Less than 10 kg but more than 1 kg

uranium enriched above natural content, but to less than 10% 235U

10 kg or more

3.
Uranium-233

Unirradiatedb

2 kg or more

Less than 2 kg but more than 500 g

500 g or less, but more than 15 g

4.
Irradiated fuel

Depleted or natural uranium, thorium or low-enriched fuel (less than 10% fissile content)

5.
Radioactive waste

vitrified

High-level activity

a
All plutonium except that with isotopic concentration exceeding 80% 238Pu.
b
Material not irradiated in a reactor or material irradiated in a reactor but with a radiation level of equal to or less than 1 Gy/hour at one metre unshielded.

Category I

Material in this category must be protected against unauthorised removal with extremely reliable systems as follows:

Use and storage within a highly protected inner area i.e. a protected zone for the type of material defined for category II, access to which is restricted to persons whose integrity has been verified, and which is surveyed by guard personnel who are in close contact with the relevant emergency crews. The aim of the various measures in this connection is to identify and prevent malicious acts unauthorised access and the unauthorised removal of nuclear material.

Movement of nuclear material in accordance with special precautionary measures for the described method for the transport of material in categories II and III, and under constant surveillance by accompanying personnel and under conditions that guarantee close contact with the relevant emergency crews.

Category II

Use and storage within a protected area access to which is monitored, i.e. a zone that is under constant surveillance by security personnel or electronic devices, and is surrounded by a physical perimeter with a limited number of adequately controlled points of access, or a zone with an equivalent level of physical protection.

Movement of nuclear material in accordance with special precautionary measures, including prior arrangements between sender, recipient and carrier, plus prior agreement between the legal entities subject to the jurisdiction and regulatory authorities of the country of origin and destination for cross-border transport, concerning the time, place and procedure for the transfer of responsibility for the consignment.

Category III

Use and storage within a zone, access to which is under surveillance.

Movement of nuclear material in accordance with special precautionary measures, including prior arrangements between sender, recipient and carrier, plus prior agreement between the legal entities subject to the jurisdiction and regulatory authorities of the country of origin and destination for cross-border transport, concerning the time, place and procedure for the transfer of responsibility for the consignment.

Annex 3 82

82 Revised in accordance with Annex No 12 of the O of 12 Nov. 2008 on the SwissFederal Nuclear Safety Inspectorate (AS 2008 5747) and Annex 11 No 4 of the Radiological Protection Ordinance of 26 April 2017, in force since 1 Jan. 2018 (AS 2017 4261).

(Art. 28 and 41)

Operational documentation

The documentation relating to the operation of a nuclear installation comprises organisational and technical documents, plus operational records.

1. Organisational documents

Power plant or overall operating regulations

Power plant regulations or operating regulations document the organisational and personnel requirements for safe operation, including organisational shut-down criteria.

Emergency preparedness regulations

Regulations governing emergency procedures document the organisational structure and responsibilities for dealing with emergencies. Instructions for the emergency team form an integral part of these regulations.

Radiation protection regulations

Regulations governing protection against radiation specify the duties of the holder of the operating licence with regard to radiation protection, in particular measurement of radioactivity released into the atmosphere and protection of personnel working in the controlled zone of the nuclear installation.

Quality management manual

The quality management manual describes a comprehensive and systematic quality management system for the operation of the nuclear installation.

Regulations and directives relating to security

Regulations and directives relating to security contain general instructions concerning the security of nuclear installations and regulations for the security guards

Mission statement on safety culture

The mission statement specifies how the management staff of the nuclear installation interpret and promote safety culture, and define the factors and criteria that are used for assessing its effectiveness.

2. Technical documents

Safety Analysis Report (SAR)

A Safety Analysis Report (SAR) describes technical and organisational aspects of the nuclear installation. It forms the basis for ongoing safety assessment. For a deep geological repository, this report specially encompasses the demonstration of long-term safety of the repository after closure.

Security report

The security report of a nuclear installation describes the current status of security measures in accordance with the requirements of ENSI. Security reports must be classified.

Technical specifications

Technical specifications contain regulations for the operation of a nuclear installation and its safety systems, including technical shutdown criteria.

In-service inspection programme

A test programme describing in-service inspections on pressure-bearing components and systems in security categories 1 to 4.

Ageing management programme

A programme for monitoring ageing describes the status and monitoring of mechanical and electrical components as well as the structures of the nuclear installation.

Normal- and emergency operating procedures

These procedures govern the safe operation of the installation, both in normal operating mode and in the event of accidents in accordance with Article 8.

Severe Accident Management Guidelines (SAMG)

SAMG help staff deal with accidents that may result in the release of unacceptable amounts of radioactive substances into the atmosphere.

Current PSA

The current plant-specific PSA (probabilistic safety analysis) of a nuclear power plant considers all relevant operating modes:

a.
a probabilistic analysis of accidents in accordance with Article 8 initiated by internal or external events and as a result of which radioactive substances may be released into the atmosphere;
b.
a quantitative evaluation of preventive and mitigating measures to prevent such accidents;

c. a quantitative evaluation of the risk of a large release of radioactive substances (release risk).

Technical descriptions

Technical descriptions contain diagrams, drawings, plans, documentation of design basis including layout plans, building plans, maintenance schedules, lists of components, zoning plans and other technical documents describing the actual plant state.

3. Operational records

Activity logs

Activity logs provide information about the course of operations. They include operating data and measurements, key operating data of the installation, controls of on-site doses and contamination, monitoring of the surroundings and analyses of solid, liquid and gaseous substances and waste.

Shifts log

The shifts log contains the names and allocated duties of shift workers, plus significant operational events and switching operations, as well as any noted deviations from operating data and measurements important to safety.

Guard report

The guard report contains the names of guard personnel and the duties to which they are assigned, plus details of routine controls, patrol activities, unusual observations and events, and contacts with external authorities.

Annex 4

(Art. 24, 26, 28, 29, 40)

Documentation for licences and permits, safety classification

For applications for the issue of licences and permits for nuclear installations, the documents in accordance with Sections 1 and 2 that are necessary for the assessment of each application must be submitted.

Section 2 lists the most important documents.

Key to table in Section 1

G
Overall plant
R
Reactor engineering
B
Civil engineering
S
Systems engineering
M
Mechanical engineering
E
Electrical engineeringand instrumentation & control
U
Radiation protection, waste and emergency preparedness
D
Security
P
Organisation and personnel
SA
Systems with safety classification 1, 2, 3 and 1E
SB
Systems with safety classification 4 and safety related OE systems
MA
Mechanical equipment with influence on initial construction permit, e.g. reactor pressure vessels, steel containments, primary piping, steam generators, pressurisers, main coolant pumps
MB
Other mechanical equipment in safety classes 1 to 4

1. Documents by type of application and by area

Area

Application
for

G

R

B

S

M

E

U

D

P

Construction licence or permit of concept (in the event of modifications)

G1

R1/R2

B1

S1

M1

E1

U1

D1

P1

Initial construction permit or permit for design specifications

G2

B2 and B3 for 1st building section

S2 for SA

M2 for MA

E2

U2

P2

Other construction permits (building or sections)

B2/B3

S2 for SB, if relevant for building section

D2

Manufacturing permits

M2 for MB

M3

D3

Installation permit

S2 for SB

S3 for SA

E3

U3

Operating licence

G3

R3

P3

Permits for commissioning and power or permanent operation

G4

R4

B4

S4

M4

E4

U4

D4

P4

2. Documents by area

Overall plant

G1

G2

G3

G4

Installation concept/layout concept

Design and layout of complete installation

Documentation for operating licence

Documentation for start‑up and permanent operation

Safety analysis report (SAR) for construction licence

PSA for construction licence

Concept for complete installation

Hazard specifications

Layout plans for complete installation

Applicable regulations

Concepts for maintenance and ageing monitoring

Construction and layout plans for buildings and main installations

Specification of ambient conditions

Quality management programmes of main suppliers

Commissioning programmes

Report on quality assurance during construction and evaluation of findings

Results of preliminary tests and nuclear commissioning tests

R Reactor engineering

R1

R2

R3

R4

Layout concept

Provisional safety assessment

Definitive safety assessment

Evaluation of nuclear commissioning

Fuel element design

Provisional core design

Definition of accidents and safety limits

Definition of main general conditions

Analysis of operating modes and accidents that determine layout, and their impacts on the installation and its surroundings

Assumptions, models concerning behaviour of radioactive substances

Analysis of accidents and their impacts

Accident analyses and safety specifications

Commissioning programmes

Definitive core design

Evaluation of commissioning tests and results

B Civil engineering

B1

B2

B3

B4

Layout concept

Building layout

Component arrangement and installation

Building documentation

Classification of buildings and structures

Conversion of hazard specifications into engineering parameters

Foundation properties

Groundwater protection concept

Layout concepts

Requirements on shielding walls

Layout specifications / measurement criteria

Assumed loads

Supporting framework models / preliminary calculations

Main dimensions

Floor response spectra

Requirements on impermeability, groundwater protection, drainage, lightning conductors, fire prevention

Fastening concept

Detailed statics measurements and tension tests, load bearing capacity and suitability tests

Structural design

Formwork and shielding plans

Procedure test

Special manufacturing requirements

Quality testing plans

Documentation relating to construction work

Report on quality assurance

Monitoring report

Maintenance programmes

S Systems engineering

S1

S2

S3

S4

System concepts

System design

System implementation

System start-up

System classification / concepts

Provisional system specifications

System circuit diagrams

Functions diagrams

List of mechanical and electrical components

Safety assessment following modifications

Definitive system specifications, including technical data

Layout plans

System circuit diagrams

Function diagrams

List of mechanical components

System descriptions, including analysis of interactions

Logic diagram

List of electrical components

Test procedures for preliminary operation tests

Results of system test

Procedures for periodical function tests of systems and components

Definitive system circuit diagrams and function diagrams

M Mechanical engineering

M1

M2

M3

M4

Layout concepts

Layout

Implementation

Start-up and documentation

Applicable regulations and standards

Constructive implementation

Choice of material for main components

Design specifications

Overview drawings of safety-relevant components

Programmes for special certificates or qualifications

Pre-test documentation of manufacturer of components important to safety for construction and manufacture

Basic test programme

Results of special type and qualification tests

Final documentation on component manufacture, basic test, subsequent assembly control and quality assurance

Stress analyses

In-service inspection programme

Construction monitoring report

Maintenance programmes

E Electrical engineering and instrumentation & control

E1

E2

E3

E4

Principles of electrical equipment

Layout

Implementation certificates

Start-up and documentation

Applicable technology for main components and instrumentation & control

Train assignment scheme

Layout principles of 1E components

Applicable regulations

Qualification procedure for single and series-production parts

Specifications and data sheets

Qualification criteria

Results of qualification procedures

Test programmes for start-up of special components

Test results

Technical documentation

Report on quality assurance

Maintenance programmes

U Radiation protection, waste management, emergency preparedness

U1

U2

U3

U4

Layout criteria and concepts

Layout of radiological installations

Implementation certificate

Start-up and documentation

Concepts for radiological zones, shielding, monitoring of surroundings, surveillance of rooms, systems, monitoring of emissions, emergency preparedness, waste water

Waste conditioning procedure

Interim storage of waste

Layout specifications

Estimate of collective dose for operation, periodic tests and revisions

Test and acceptance records

Results of special tests

Training and in-service training of guard personnel

Operation, testing and maintenance programmes

D Security

D1

D2

D3

D4

Security concept

Specifications (for structures, systems, components)

Implementation documents (for security installations)

Operating documents (for start-up)

Risk analysis

Project documents (site plan, building plans, construction schedule, etc.)

Principles for security zones, sequence of barriers, access and escape routes, security during construction and operation, security organisation (management and communication, equipment and provision of weapons)

Training and in-service training

Specifications (building and layout, shafts, pipelines, ventilation, means of communication, functions and processes diagram, energy supply, test certificates)

Security regulations

List of duties of security personnel

Implementation plans

Regulations for start‑up

Test reports for security installations

Test and approval records

Education of security personnel

Integration into security report

P Personnel

P1

P2

P3

P4

Concept of organisation and deployment of personnel

Organisational structure

Qualifications

Stipulations for permanent operation

Organisational structure

No. of employees

Staff training and deployment during construction phase

Initial training and continuing training concept

Organisational arrangements

Lists of duties

Training programme for start-up

Provisional operating documents, internal regulations, work processes

Suitability and qualifications of management staff, licensed personnel, radiation protection personnel and other employees

No. of employees

Initial training and continuing training programmes for permanent operation

3. Safety classification

3.1 Safety classes (SC)

In view of its significance for nuclear safety and radiation protection, mechanical equipmentis classified in four safety classes:

a.
SC 1: equipment in the pressure-bearing boundary of the reactor cooling system up to and including the second isolation valve, the failure of which could result in a non-isolatable loss of primary coolant;
b.
SC 2: equipment of systems with safety functions or important to safety, that is not classified in safety class 1;
c.
SC 3: equipment of support (auxiliary) systems for safety functions or important to safety;
d.
SC 4: equipment that contains or may contain activity and which is intended for retention, reprocessing or storage of liquid or solid radioactive substances, and is not classified in safety class 1, 2 or 3;
e.
Unclassified equipment: equipment that is not classified in safety class 1, 2, 3 or 4.

In view of its significance for nuclear safety, electrical equipmentis classified in two safety classes:

a.
Class 1E: electrical equipment for mechanical systems and components classified in SC 1 to 3, plus electrical and instrumentation & control safety systems;
b.
Class 0E: other electrical equipment and systems that can also perform functions important to safety.

3.2 Earthquake classes (EC)

In view of its safety functions, mechanical and electrical equipment is classified in 2 earthquake classes:

a.
EC I: mechanical equipment in safety classes 1 to 3 and electrical equipment classified 1E. Safety functions and the integrity of the equipment must be assured during and after a safe shutdown earthquake (SSE);
b.
EC II: mechanical equipment classified in safety class 4. The integrity of the equipment must be assured during and after an operating basis earthquake (OBE);
c.
Equipment and structures not classified in earthquake classes I or II are not classified for earthquakes.

3.3 Nuclear building classes (BC)

In view of their significance for nuclear safety and radiation protection, buildings are classified in two nuclear building classes:

a.
BC I: buildings in which mechanical and electrical equipment classified in earthquake class I is installed;
b.
BC II: buildings in which mechanical equipment classified in earthquake class II or equipment that is not classified for earthquakes, is installed.

Annex 5 83

83 Amended by Annex No 12 of the O of 12 Nov. 2008 on the SwissFederal Nuclear Safety Inspectorate, in force since 1 Jan. 2009 (AS 2008 5747).

(Art. 37)

Periodical reporting

Report

Content / deadline for submission

Periodicity

Annual report on safety

Report from each nuclear installation containing a summary and an assessment of operations and safety, operating state of the installation, site-related changes, organisational structure and personnel, radiation protection, radioactive waste, radiological situation and findings from observation of the state of the art in science and technology. It contains results of systematic safety assessments and reports on the status of pending matters with ENSI, events and findings, modifications and maintenance operations.

Safety reports must be submitted by 1 March the following year.

Calendar year

Annual report on security

Report from each nuclear installation containing key information about the installation’s security organisation, plus a summary of all security-related events that took place during the previous year. Provides information about personnel and security organisation, special activities by security corps, outsourcing of surveillance duties to external companies, findings relating to security during downtimes for maintenance and inspection operations, frequency and results of inspections and tests of security installations, failure of important security components, structural modifications, special events and findings, statistics for IDs for security personnel. Annual security reports must be classified.

Security reports must be submitted by 1 March the following year.

Calendar year

Quarterly report

Report from the central storage installation, deep geological repositories and Paul Scherrer Institute focusing on personal doses, dosimetry of installation and site, discharge of radioactive substances with exhaust air and waste water, surveillance of the surroundings, radioactive waste, conditioning campaigns, events and findings, modifications and maintenance operations.

Quarterly reports must be submitted by not later than the end of month after the reporting period.

Quarterly

Monthly report

Report by nuclear power plants on the operation of the installation and comparisons with previous months (trends), especially concerning operation and safety, chemistry, radiation protection, with data relating to personal dosimetry, discharge of radioactive substances, radioactive waste, events and findings, organisation, personnel and training, as well as projects, analyses, operating experience feedback, events and findings in similar installations, activities and results of maintenance tasks.

Monthly reports must be submitted by not later than the end of the following month.

Monthly

Outage report: engineering

Report by nuclear power plants with description and evaluation of all measures important to safety, results and findings from activities during the outage.

Submission:

a.
initial report 4 working days prior to planned restart of installation;
b.
complete report by not later than 3 months after restart of the installation.

With each outage

Outage report: radiation protection

Report of nuclear power plants on outage, with detailed information about radiation protection measurements and findings, an assessment by the operator and including proposals for additional measures to reduce doses.

To be submitted not later than 3 months after restart of the installation.

With each outage

Outage report: physics

Report by nuclear power plants with the results and evaluation of physical reactor measurements for various output levels upon restart following the outage.

Submission:

a.
results of zero-load and starting measurements prior to restart of installation above 5 percent nominal output;
b.
complete report by not later than 3 months after restart of the installation.

With each outage

Dosimetry report

Report by nuclear installations with details of collective doses, dose distribution, individual doses and collective work-related doses.

Dosimetry reports must be submitted by 1 March the following year.

Calendar year

Report on surveillance of surroundings

Report of nuclear power plants, central storage installation, deep geological repositories and Paul Scherrer Institute concerning surveillance of the surroundings, with details concerning the discharge of radioactive substances, monitoring of radioactivity and direct radiation in the vicinity of the installations. This report may form part of the monthly or quarterly reports.

Surveillance reports must be submitted by not later than the end of month after the reporting period.

Quarterly

Report on radioactive sources

Report by nuclear installations containing a list of all radioactive sources in the installation.

Reports must be submitted by 1 March the following year.

Calendar year

Comprehensive safety review report

Report by nuclear power plants on the periodical safety review, including results and evaluation.

To be submitted in accordance with the instructions of ENSI.

Every 10 years

Unavailability data of systems and components

Report by nuclear power plants on the date and duration of unavailability of PSA-relevant components, including description of components and brief description of the cause for the unavailability.

Reports must be submitted by 1 March the following year.

Calendar year

List of PSA-relevant modifications to the installation

Report by nuclear power plants with a list of modifications to the installation that could be of relevance to the PSA but have not yet been incorporated into the PSA model.

Reports must be submitted by 1 March the following year.

Calendar year

Annex 6 84

84 Amended by Annex 11 No 4 of the Radiological Protection Ordinance of 26 April 2017, in force since 1 Jan. 2018 (AS 2017 4261). The correction of 16 October 2019 concerns the French text only (AS 2019 3441).

(Art. 21 and 38)

Reporting on events and findings relating to safety

A. Event report and report on follow-up measures

Report

Contents

Periodicity

Event report

Report about events and findings, with the following content:

a.
classification based on the criteria aforementioned below, summary of events or finding and current state of knowledge;
b.
status of the installation prior to the event or at the time of the finding;
c.
course of the event and behaviour of the installation or type of finding;
d.
cause of event or origin of finding;
e.
immediate measures;
f.
enclosures.

Following each event or finding subject to reporting requirement

Report on follow-up measures

Report about events and findings, with the following content:

a.
follow-up measures;
b.
evaluation of relevance to safety;
c.
enclosures.

Following each event or finding subject to reporting requirement

B. Categorisation of events and findings

1. Classification:

Events and findings in terms of Article 21 paragraph 1 and Article 38 paragraph 3 letters a and c must be classified as follows:

Class

Criteria

General Emergency

An event that constitutes a serious current or projected radiological hazard to the environment and which mandatorily requires preparation for or the implementation of protective measures in the vicinity of nuclear installations.

Site Area Emergency

An event that could develop into a General Emergency or which constitutes a serious radiological hazard on the site area.

A future (projected) radiological hazard to the environment that necessitates the deployment of the nuclear installation’s emergency team and external emergency services is possible.

Alert

An event that leads to a significant decrease in the level of protection for on-site personnel, or which could develop into an installation emergency or serious emergency and which, depending on the event, requires the deployment of all or part of the emergency team at the nuclear installation.

Reportable Event

An event or finding with significance for nuclear safety but which does not constitute an emergency (i.e. General Emergency, Site Area Emergency, or Alert).

2. Classification on the IAEA’s International Nuclear Event Scale (INES)

Events and findings in terms of Article 21 paragraph 1 and Article 38 paragraph 3 letters a and c must also be classified in accordance with the IAEA’s International Nuclear Event Scale (see INES User’s Manual 2008 Edition, IAEA, Vienna 2009).

Level

Descriptor

Nature of events

7

Major accident

External release of a large fraction of the radioactive material in the form of a mixture of short-lived and long-lived radioactive fission products (more than 50,000 TBq iodine-131 equivalent).

6

Serious accident

External release of radioactive material (5,000 to 50,000 TBq iodene-131 equivalent).

5

Accident with off-site risk

External release of radioactive material (500 to 5,000 TBq iodene-131 equivalent).
Severe damage to reactor core with release of large quantities of radioactivity within the installation.

4

Accident without significant off‑site risk

Release of radioactive material that is above the permitted dose limits that may result in a dose of several millisieverts for those persons most exposed.
Partial damage to reactor core due to mechanical effects or melting.
Irradiation of personnel probably serious enough to lead to an acute death.

3

Serious incident

Release of radioactive substances above the permitted dose limits resulting in a dose to the critical group of the order of a few tenths of millisieverts.
On-site events resulting in doses to workers sufficient to cause acute health effects and/or an event resulting in a severe spread of contamination within the installation.
Incidents in which a further failure of safety systems could lead to accident conditions, or a situation in which safety systems would be unable to prevent an accident if certain initiators were to occur.

2

Incident

Event or finding with significant failure in safety provisions but with sufficient defence in depth remaining to cope with additional failures. These include events where the actual failures would be rated at level 1, but which reveal significant additional organizational inadequacies or safety culture deficiencies.
An event resulting in a dose to a worker exceeding a statutory annual dose limit and/or an event which leads to the presence of significant quantities of radioactivity in the installation in areas not expected by design.

1

Anomaly

Anomaly beyond the authorised regime. This may be due to equipment failure, human error or procedural inadequacies. Event or finding without direct safety consequences that reveal significant inadequacies in the organisational system or safety culture.

0

Deviation

Events and findings where operational limits and conditions are not exceeded and which are properly managed in accordance with adequate procedures.

Examples: a single random failure in a redundant system discovered during periodic inspections or tests, an automatic reactor trip proceeding normally, leakages within the operational limits;

all examples with no significant correlation with safety culture.

3. Assessment of public interest

In the case of events and findings in terms of Article 21 paragraph 1 and Article 38 paragraph 3 letters a and c, and in the case of other events, an assessment must be made of whether there is a public interest.

Deadlines for notification and reporting:

Nuclear Safety

S

Serious incident

A

Installation incident

B

Alert

M

Event subject to reporting requirement

Ö

Public event

Initial notification by telephone

Immediately

Immediately

Immediately

24 hours1

Immediately2

Written confirmation of notification

As part of the communication with the ENSI emergency organisation

As part of the communication with the ENSI emergency organisation

As part of the communication with the ENSI emergency organisation

24 hours1

Within 2 hours of receiving initial notification

Event report

36 hours

36 hours

10 days

30 days

Monthly report3

Report on follow-up measures

As required

As required

30 days

30 days

Monthly report3

1
Within 24 hours between 8am and 5pm.
2
If there is both a reporting requirements owing to the significance for nuclear safety and to a public interest, the shorter deadline applies.
3
If no monthly report is required, in quarterly or annual report.

Annex 7

(Art. 81)

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