Commentaries: 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 1^stbuilding 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 equipment is classified in four safety classes:

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;
SC 2: equipment of systems with safety functions or important to safety, that is not classified in safety class 1;
SC 3: equipment of support (auxiliary) systems for safety functions or important to safety;
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;
Unclassified equipment: equipment that is not classified in safety class 1, 2, 3 or 4.

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

Class 1E: electrical equipment for mechanical systems and components classified in SC 1 to 3, plus electrical and instrumentation & control safety systems;
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:

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);
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);
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:

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

Annex 4