Preparation and Issue of Licence Instruments and Associated Project Assessment Reports
Inspection and Enforcement
INS/001 - Issue 2
- Issue Date:
- 01/10/04
- Review Date:
- 06/05/10
- Open Government Status:
- Fully open
- Approved By:
- R Gray
1. Purpose and scope
1.1 Licence instruments are a set of regulatory tools, available to and issued by NSD, to effect regulatory control by permissioning, specifying, directing etc. the activities of licensees. It achieves this by utilising the conditions attached to a site licence. This procedure describes the process for the preparation and issue of licence instruments and their associated Project Assessment Reports (PARs).
1.2 This procedure applies to all staff undertaking work which results in the issue of a licence instrument.
2. Policy
2.1 A PAR shall be raised as part of the process for the issue of all licence instruments, unless the licence instrument is only required to rectify minor changes, such as a typographical error. In such cases a file memorandum will suffice.
2.2 A PAR, recording the rationale for the regulatory decision and approved by a Superintending Inspector, shall be produced before the associated licence instrument is issued.
2.3 A quality check sheet (Form QC LI 2) shall be completed and independently checked as part of the process for the issue of a licence instrument.
2.4 A previous 'Consent', 'Approval' or 'Direction' shall only be withdrawn if the whole is replaced. If only a part is changed the 'Consent', 'Approval' or 'Direction' needs to indicate clearly which part of the preceding 'Consent', 'Approval' or 'Direction' remains extant.
2.5 The withdrawal of a 'Consent', 'Approval' or 'Direction' shall be processed in a similar manner to its issue as per this procedure.
2.6 Documents shall be stored, maintained etc in line with NSD's Information Management Policy (Records Management Section), refer to BSS/IMT/FWD.
3. Responsibilities
3.1 The site inspector, or other inspector to whom the regulatory responsibility has been delegated e.g. allocated project inspector, is responsible for ensuring that:
1) the PAR, licence instrument and any other associated documents, are prepared correctly and filed on the appropriate subject file(s);
2) other government departments or agencies have been consulted if relevant (i.e. EA, SEPA, OCNS, MoD etc);
3) the information identified in Annex 4 is provided to their divisional admin. support team;
4) the check sheet (Form QCLI2 attached as Annex 1 ) is completed signed and countersigned by another inspector as `checker' (where NII is initiating action some boxes may not be applicable);
5) where it is proposed to issue a 'non routine' licence instrument he/she initials the draft prior to submitting it to the Solicitor's Office to check its legal accuracy;
6) comments and alterations proposed by the Solicitor's Office are incorporated into a revised draft of a 'non routine' licence instrument;
7) a press brief has been prepared as required and Press Office consulted;
8) he/she is satisfied with and supports the case for issuing the licence instrument.
1) the audit trail set out in the check sheet has been complied with;
2) the appropriate standard and format has been used for the draft licence instrument and that the information contained therein is correct.1) an appropriate justification has been made to support the issue of the licence instrument;
2) the procedures and processes set out in this instruction and associated guidance G/INS/001
have been complied with;
3) where areas of significant professional differences arise that the procedures and processes set out in INS/031 have been invoked;
4) approving the issue of the relevant PAR;
5) the Solicitor's Office has been consulted on the drafting of `non routine' licence instruments and for initialling the final draft after the Solicitor's Office check (thereby agreeing that the draft is to the required standard) before the final document is presented to the inspector with delegated authority for signature.
1) satisfying him / herself that the case for the issue of the licence instrument has been adequately justified and has been properly made.
1) supplying the appropriate unique number for the licence instrument (BSS/CAN/005);
2) keeping the register/record of the issue numbers of licence instruments;3) issuing the appropriate unique number for the PAR (BSS/CAN/004);
4) despatching and distributing documentation. (Where a copy of the licence instrument has been faxed to the nuclear installation the original must subsequently be forwarded as soon as possible).
4. Definitions
4.1 Licence instrument: Generic term for formal documents issued by NSD to a licensee which either permissions the licensee to carry out an activity, or requires some form of action to be taken. They are also applied in order to 'freeze' a procedure or document by 'Approving' it, thus reflecting a judgement that at that time and on balance the document/procedure was adequate. These instruments comprise those utilising the primary licence condition powers of `Consent', 'Approval', 'Direction', 'Specification', 'Notification' and 'Agreement' as well as those utilising powers derived from the licensee's arrangements. Commonly used licence instruments utilising derived powers are 'agreement', `specification' and 'acknowledgement'. A description of the powers available to inspectors is set out in Annex 1 to G/INS/001.
4.2 Routine Licence instrument: Those licence instruments for which the general wording and format has been agreed with the Solicitor's Office and hence do not need to be referred to the Solicitor's Office for checking prior to issue. A list of 'routine' licence instruments is attached as Annex 2 and the specific format and contents for each is included in G/INS/001.
4.3 Non Routine Licence instrument: All other licence instruments not listed in Annex 2.
5. Procedure
5.1 The process for issuing licence instruments is set out in the flowchart attached as Annex 3 .
5.2 Guidance on the production of PARs and licence instruments together with the general format and contents for specific 'routine' licence instruments is given in G/INS/001.
5.3 Consultation with the line manager or appropriate alternative and the preparation of a brief for, and consultation with, the Press Office and/or the Secretariat should be considered where the circumstances of the issue of the licence instrument is likely to be contentious. Such circumstances include ;
1) where the issue is politically or commercially sensitive;
2) where the site has attracted considerable media attention in the recent past;3) the situation giving rise to the issue of the licence instrument is unusual, e.g., a reactor start up following a prolonged outage for significant repairs.
6. Target Completion Dates
6.1 The HSE Balanced Scorecard and Operations Management Forum requires NSD to report against its performance on safety submissions. The NSD Management Board has agreed to use Consents, Approvals and Agreements for this purpose. For performance purposes the Balanced Scorecard requires numbers completed and percentage completed to time. This is a new output performance measure and a new monitoring and tracking system (Ref 7.6) will be introduced concurrently with this revised procedure. Further information is provided in Annex 4 .
7. Associated documents
7.2 BSS/CAN/005 - Licence Instrument - Numbering and Issue
7.3 INS/031 - Resolving Differences of Professional Opinion in NSD
7.4 Business Management Manual - Annex 2 Delegated Authorities
7.5 BSS/IMT/FWD - Information Management Foreword
7.6 BSS/CAN/006 - Consents/Approvals/Agreements - recording of performance management information
Annex 1: Check sheet for production of licence instruments
NAME OF SITE:
SITE LICENCE NUMBER:
LICENCE INSTRUMENT:(Description and Number)
LICENCE INSTRUMENT TITLE:
| NO | CHECK | SIGNED | COUNTERSIGNED |
| 1 | Licensee's application letter received and refers to correct Licence Condition | ||
| 2 | All pre-conditions have been met, e.g. preliminary licence instruments | ||
| 3 | All project documentation referenced is available on file in NSD | Not Required | |
| 4 | Licence instrument satisfies requirements of licence condition and/or licensees' arrangements | ||
| 5 | Number of licence instrument obtained from Administrative support | Not Required | |
| 6 | Licence and licence condition numbers, text and references in text checked correct | ||
| 7 | References in licence instrument same as those on relevant documents | ||
| 8 | Minutes of appropriate licensee committee on file | Not Required | |
| 9 | Project Assessment Report prepared | Not Required | |
| 10a | If a non routine licence instrument, the draft has been stamped by administrative support, seen and signed by HSE Solicitor | Not Required | |
| 10b | Solicitor's amendments taken on board | ||
| 11 | OGD liaison complete where required | ||
| 12 | Documentation assembled on file with draft licence instrument ready for signature | Not Required |
Signed Site/Project Inspector
Date
Signed Checker
Date
Form QC LI 2
Annex 2: List of routine licence instruments for which format and contents have been agreed with the solicitor's office
A.'Specification' and initial 'Approval' of Licensee's Arrangements
LC 2(2) Marking of the site boundary
LC 4(3) Restrictions on nuclear matter on the site
LC 6(3) Documents, records, authorities and certificates
LC 7(2) Incidents on the site
LC 10(2) Training
LC 11(2) Emergency Arrangements
LC 12(3) Duly Authorised and other suitably qualified and experienced persons
LC 14(2) Safety Documentation
LC 15(2) Periodic Review
LC 17(2) Quality Assurance
LC 18(2) Radiological Protection
LC 19(2) Construction or Installation of New Plant
LC 20(2) Modification to design of plant under construction
LC 21(2) Commissioning
LC 22(2) Modification or experiment on existing plant
LC 24(5) Operating Instructions
LC 28(2) Examination, Inspection, Maintenance and Testing
LC 32(2) Accumulation of radioactive waste
LC 35(3) Decommissioning
LC 36(2) Control of Organisation Change
B.'Approvals' of alterations or amendments to licensees 'Approved' arrangements
LC 2(3) Marking of the site boundary
LC 4(4) Restrictions on nuclear matter on the site
LC 6(4) Documents, records, authorities and certificates
LC 7(3) Incidents on the site
LC 10(3) Training
LC 11(3) Emergency Arrangements
LC 12(4) Duly Authorised and other suitably qualified and experienced persons
LC 14(3) Safety Documentation
LC 15(3) Periodic Review
LC 17(3) Quality Assurance
LC 18(3) Radiological Protection
LC 19(3) Construction or installation of new plant
LC 20(3) Modification to design of plant under construction
LC 21(3) Commissioning
LC 22 (3) Modification or experiment on existing plant
LC 24(6) Operating instructions
LC 28 (3) Examination, inspection, maintenance and testing
LC 32(3) Accumulation of radioactive waste
LC 35(4) Decommissioning
LC 36(3) Control of organisation change
C.'Specification' and 'Consent'
LC 30(3) Periodic Shutdown
D.'Specification' and 'Approval'
LC 23(4) Operating rules
LC 23(5) Operating rules
LC 28(4) Examination, Inspection, maintenance and testing
LC 28(5) Examination, Inspection, maintenance and testing
E. 'Notification' and 'Consent'
LC 21(8) Commissioning
F.'Approvals'
LC 13(2) Nuclear Safety Committee
LC 13(3) Nuclear Safety Committee
LC 13(11) Nuclear Safety Committee
LC 13(12) Nuclear Safety Committee
G.'Specifications '
LC 6(5) Documents, records, authorised certificates
LC 13(1)(b) Nuclear Safety Committee
LC 13(1)(c) Nuclear Safety Committee
LC 13(9) Nuclear Safety Committee
LC 14(4) Safety documentation
LC 16(4) Site plans, designs and specifications
LC 17(4) Quality Assurance
LC 23(2) Operating rules
LC 24(3) Operating instructions
LC 25(3) Operational records
LC 25(4) Operational records
H. 'agreement', 'acknowledgement' or 'specification' derived from implementation of licensee's arrangements
LC 19(1) Construction or installation of new plant
LC 20(1) Modification to design of plant under construction
LC 21(1) Commissioning
LC 22(1) Modification or experiment on existing plan
LC 35(1) Decommissioning
Annex 3: Flow chart for issue of licence instruments required by conditions attached to nuclear site licences
Annex 4: Recording of performance management information
This process allows NSD to report against the Output Performance Measure for both the HSE Balanced Scorecard and the Operations Management Forum.
1. When a letter requesting a Consent, Approval or Agreement is received, the site inspector, or other inspector to whom the regulatory responsibility has been delegated, must alert, from the outset, their divisional admin. support team and advise them of:
- the receipt date of the letter requesting Consent, Approval or Agreement;
- the date (if appropriate) when the licensee either requires the Consent, Approval, or Agreement, or wishes to commence the related activity;
- the NSD target completion date for issue of the Consent, Approval, or Agreement;
- any variance from the target completion date and actual issue date.
2. The admin. support team must record this information on their tracking system (BSS/CAN/006). This system will raise a warning to each site inspector 4 weeks before the target completion date.
3. The site inspector, or other inspector to whom the regulatory responsibility has been delegated, is responsible for ensuring that the target completion date is met, and for alerting any colleagues, who are providing assistance, of the deadline that needs to be met.
4. The target completion date may change, but only due to non-HSE delays e.g. where the quality or timeliness of the licensee's submission(s) requires the work to be delayed.
5. The site inspector, or other inspector to whom the regulatory responsibility has been delegated, must advise the admin. support team of any change to the target completion date, and the reasons for the change, immediately to ensure that the tracking system does not report the Consent, Approval or Agreement as being late.
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