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ARCHIVED - RPP 2006-2007
Canadian Nuclear Safety Commission


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Section II - Plans and Priorities

The CNSC Strategic Plan 2006-2009

The following plan reflects the strategic priorities that need to be addressed, the range of activities to be undertaken and the respective resource implications for each of CNSC’s immediate outcomes discussed in the CNSC Logic Model (Section IV).

1. A clear and pragmatic regulatory framework

The CNSC's regulatory framework is composed of:

  • The Nuclear Safety and Control Act (NSCA), regulations and regulatory documents
  • The Safeguards Agreement and Additional Protocol between Canada and the International Atomic Energy Agency (IAEA); and Canada's bilateral and multilateral Nuclear Cooperation Agreements
  • The Canadian Environmental Assessment Act (CEAA)
  • The Nuclear Liability Act (NLA)

The cornerstone of the CNSC's regulatory framework is the NSCA, which was passed into law in 2000.  This Act is modern, comprehensive and world class.

The Government of Canada has entered into bilateral agreements with the IAEA on nuclear safeguards verification and with numerous countries on nuclear non-proliferation frameworks for nuclear trade. The CNSC is identified as Canada’s Competent Authority on these matters.

The Government of Canada has also made multilateral commitments through treaties, codes of conduct, conventions and arrangements on transportation, nuclear export controls, physical protection, power reactor safety as well as the safety of spent fuel and radioactive waste management, radioactive materials and research reactors.

The CNSC is mandated to implement Canada’s bilateral and multilateral commitments on the peaceful use of nuclear energy in each of these areas.

The CEAA stipulates that an environmental assessment of a project is required before any federal department or agency issues a permit or licence, grants an approval or takes any other action for the purpose of enabling the project to be carried out in whole or in part. The NSCA is listed in Schedule I of the CEAA Law List regulations and therefore, environmental assessments are required when the CNSC, pursuant to certain subsections of the NSCA, issues or amends a licence or grants an approval under a licence for the purpose of enabling a project to proceed.

With respect to protecting the environment, both the CNSC (under the NSCA) and Environment Canada (under the CEAA) have the mandate to prevent or control the amount of uranium and uranium compounds released into the environment from uranium mines and mills. Under an agreement between the CNSC and Environment Canada, the CNSC has been assigned primary responsibility to ensure that preventive or control measures are developed and implemented in a manner that is consistent with and comparable to the Canadian Environmental Protection Act.

The CNSC also administers the NLA on behalf of the federal government. Under the NLA, operations of designated nuclear installations are required to possess basic and/or supplementary insurance coverage. Premiums for any required supplementary coverage are credited to the Nuclear Liability Reinsurance Account in the Consolidated Revenue Fund. This account is administered by the CNSC, however, the insurance coverage is provided directly by the federal government.

The CNSC has the following plans for its regulatory framework, some of which are to be completed in a specific timeframe and others which are in the nature of ongoing work. These plans are described in terms of (1) legislation, (2) regulations and (3) regulatory standards and documents.


1.1 Legislation


Plans

06-07

07-08

08-09

Review the effectiveness of the NSCA on an ongoing basis and assess aspects for possible improvement

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Work with the Canadian Environmental Assessment Agency to contribute to any changes to the CEAA which impact either the CNSC’s role as a regulatory authority or its environmental planning oversight responsibilities under the NSCA

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There is no statutory review period for the NSCA and the Commission has no plans at this time to request such a review by the government in the period of this plan. However, in line with good governance, the CNSC regularly reviews the NSCA to ensure that it provides a sufficiently vigorous mandate, regulation-making powers and the administrative tools required to effectively and efficiently carry out the responsibilities assigned to it by Parliament. If it becomes clear that the NSCA fails to meet these expectations, the CNSC will recommend to the Minister of Natural Resources that amendments to the NSCA be introduced to Parliament.

The CNSC is the Responsible Authority for all nuclear projects and has designed a process to efficiently integrate CEAA and NSCA requirements. The CNSC is working with the Canadian Environmental Assessment Agency to ensure that the process remains effective and efficient.


1.2 Regulations


Plans*

06-07

07-08

08-09

Develop Nuclear Safeguards Regulations based upon the requirements of appropriate regulatory oversight and reflecting the commitments in the Canada/IAEA Safeguards Agreement and Additional Protocol.

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Amend the following existing regulations:

 
  • Nuclear Security Regulations

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  • Nuclear Substances and Radiation Devices Regulations
  • Class II Nuclear Facilities and Prescribed Equipment Regulations

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  • Nuclear Non-Proliferation Import and Export Control Regulations
  • Canadian Nuclear Safety Commission Rules of Procedure and Canadian Nuclear Safety Commission By-laws

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  • Miscellaneous nuclear regulatory amendments

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* See also Section III, Table 6, Major Regulatory Initiatives

The CNSC performs a risk-informed review of existing and potential new regulations on a continued cycle. It focuses on amendments to those regulations of greatest benefit to protecting health and safety, security and the environment and to respecting Canada’s international commitments on the non-proliferation of nuclear weapons. Consistent with the Government of Canada’s Regulatory Policy, the development and amendment of regulations is performance-based and, in line with international standards and recommendations on nuclear regulations, where practical.

In accordance with the IAEA’s verification system, there is an increased need for States to demonstrate to the international community, as well as to their national constituencies, that all nuclear material within their jurisdiction is solely for peaceful, non-explosive use and is appropriately accounted for. The CNSC is continuing its efforts to update its regulatory framework by developing Nuclear Safeguards Regulations to reflect these requirements. In addition, the Nuclear Non-Proliferation Import and Export Control Regulations will be amended over the next two years to reflect the current regulatory environment.

Work continues in the revision of a number of regulations, including Nuclear Security Regulations (expected to be submitted to the Governor in Council in 2006), Nuclear Substances and Radiation Devices Regulations and Class II Nuclear Facilities and Prescribed Equipment Regulations (which will result in their publication in the Canada Gazette in 2006-2007).

Based on a 2005 benchmark analysis conducted to compare the Commission tribunal’s hearing and meeting processes against those of 12 other Canadian federal and provincial administrative tribunals and a consultation process with stakeholders, the Secretariat is determining the extent of amendments required to the Commission Rules of Procedure. In 2006-07, the Secretariat will proceed with the formal review of the CNSC Rules of Procedure and CNSC By-laws. The goal is flexible rules and practices (such as an expedited licensing process for more routine applications) with new guidance documents.


1.3 Regulatory Standards and Documents


Plans

06-07

07-08

08-09

Review on an ongoing, systematic and consultative basis, regulatory practices codified in regulatory documents

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Develop regulatory policies, standards and guides and influence and adopt international standards where applicable to the Canadian context

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Strengthen the multilateral guidelines and export control lists on nuclear supply to counter contemporary nuclear proliferation threats

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There has been a sustained effort by the CNSC, in the development of regulatory documents that elaborate on requirements in the NSCA and the supporting regulations. The documents to be prepared over the planning period have been identified and prioritized in a risk-informed, multi-year plan.

Over the planning period there will be a significant need for new and revised regulatory documentation in the areas of power reactor life-extension, construction of new power reactors, new uranium mines and geological repositories for nuclear waste.

CNSC staff evaluates and participates in the development of international and national standards and guides that are relevant to the regulation of the Canadian nuclear industry.

The CNSC, in collaboration with Foreign Affairs and International Trade Canada, will continue work to strengthen the multilateral nuclear supply guidelines and control lists that are the basis of CNSC control measures and regulations in this area.

2.  Individuals and organizations that operate safely and conform to safeguards and non-proliferation requirements

The NSCA authorizes the CNSC to issue licences or certify persons to conduct nuclear-related activities in Canada. In order to issue a licence or perform a certification, the CNSC must obtain evidence of the licensees’ ability to operate safely and conform to safeguards and non-proliferation obligations.


2.1 Licensing by the Canadian Nuclear Safety Commission Tribunal


Plans

06-07

07-08

08-09

Evaluation on an ongoing basis of the Commission Tribunal licensing process to identify and implement improvements in effectiveness and efficiency.

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2.2 Licensing and Certification activities by the CNSC Staff organization


Plans

06-07

07-08

08-09

Complete implementation of a consistent, risk-informed methodology for licensing across all licensing areas

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Formulate strategies for licensing of new nuclear power plants

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Formulate strategies for licensing of long-term waste management and disposal facilities

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Formulate an approach for the regulatory oversight of aging nuclear power facilities

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Provide regulatory oversight of licensee life extension projects

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Clarify licensing and certification expectations through improved documentation of processes and clearer communication with licensees

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Prepare licensing recommendations as required for Tribunal Hearings or Designated Officer consideration

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Implement electronic technology solutions for submission and information management of licensee documentation

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Risk-informed licensing methodologies have already been put in place in two of the CNSC’s three licensing directorates, specifically in the Directorate of Nuclear Substance Regulation and in the Directorate of Nuclear Cycle and Facilities Regulation. The implementation of the risk-informed licensing methodology for power reactors is planned for completion in 2007-2008.

CNSC published the Licensing Process for New Nuclear Power Plants in Canada, an information document in February 2006. As resources become available, strategies will be developed for regulation of the construction and operation of new power reactors.

In addition, a strategy will be developed for regulatory oversight of activities leading up to the eventual construction and operation of long-term waste management and disposal facilities, whether they are low-, medium- or high-level waste management and disposal facilities. The strategy will include a review of the scope of the CNSC’s regulatory requirements in this area.

Canadian nuclear power plants are aging and some are coming close to the end of their “useful” life. Aging affects nuclear plants in many ways, by changing material properties and equipment characteristics. The CNSC has in place measures that provide for the systematic regulatory oversight of aging facilities. CNSC staff is also clarifying standards in the area of maintenance and aging management of nuclear power reactors. This will lead to regulatory guidance and an oversight approach that ensures that the refurbishment work and subsequent extended operations are done to acceptable standards and pose no unreasonable risk to public health, safety, security or the environment.

The CNSC is clarifying licensing and certification steps by mapping key processes, and resolving inconsistencies or unclear steps. Communication of these expectations will improve licensing efficiency.

The CNSC will also continue to perform its ongoing licensing work including analysis of licensing submission and preparation of licensing recommendation for tribunal hearing or for consideration by a Designated Officer. Under the NSCA, certain licensing function may be assigned by the tribunal to a designated officer, a member of the CNSC staff.

The CNSC will also, as resources permit, implement electronic documentation systems, including e-filing of regulatory information. In order to provide comprehensive and timely regulatory reviews and approvals and ongoing compliance and communications with licensees, secure communications networks, new electronic document handling technologies and the necessary administrative procedures will be created and implemented.

3.  High levels of compliance with the regulatory framework 

Achieving high levels of compliance is fundamental to the CNSC and therefore the largest allocation of resources is devoted to this outcome. Effective oversight of compliance with regulatory requirements is critical to providing assurance to Parliament and the Canadian public that nuclear energy and materials are being used safely and securely and in a manner which respects Canada’s international commitments concerning their peaceful use.

In addition to overseeing the compliance of licensees with the CNSC’s regulatory regime, an important aspect of the CNSC’s compliance work involves ensuring that Canada meets the international commitments made by the Government of Canada.


3.1 Compliance by licensees with the CNSC's Regulatory Regime


Plans

06-07

07-08

08-09

Complete the implementation in all regulated sectors of a consistent, risk-informed approach for the selection of level and type of compliance verification required, with a focus on power reactor regulation

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Finalize the development and implementation of a revised baseline compliance program for nuclear facilities

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Strengthen the CNSC's safety performance rating system for applicable licensees through more consistent application, as well as better communication of the rating basis to licensees and the Canadian public

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Conduct ongoing compliance promotion, verification and enforcement activities

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Develop and implement a licensee information management system for CNSC staff to record, report and access current compliance information, inspection results and trends

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Risk-informed approaches are systematically applied by the CNSC in the planning and conduct of compliance activities in most regulated sectors. A focus for the CNSC for the planning period is to expand its systematic risk-informed approach to the area of power reactor regulation. The baseline compliance program establishes the minimum regulatory effort required to maintain and confirm performance levels for a facility/licensee that consistently meets safety performance expectations. The baseline program is risk-informed with the result that decreasing safety performance by a facility/licensee would typically require a risk-informed selection of additional compliance activities above the minimum baseline.

Currently, the CNSC reviews and reports on compliance program results by the nuclear power plant sector through the Annual CNSC Staff Report on the Safety Performance of the Canadian Nuclear Power Industry. The safety performance and compliance of these major licensees are reported in public meetings before the Commission Tribunal and are published in report cards and annual reports in paper format and on the CNSC Web site (http://www.nuclearsafety.gc.ca). Efforts are underway to strengthen the performance rating system and to provide more information on the rating basis used by the CNSC so that applicable licensees will be better informed in order to improve their respective ratings.

With the increase in workload, the complexity and volume of information maintained about licensees is increasing. The CNSC must invest in an effective licensee information management system across the various regulated sectors to consistently capture compliance information and inspection results and to integrate information from licensees. The CNSC will take an Integrated Information Management/Information Technology Systems approach. Additionally, to provide consistent, more effective and timely analysis, the selection and implementation of an enterprise-wide business intelligence (BI) solution is currently underway. This will improve on the levels of performance measures and reporting.


3.2 Compliance by Canada with the international regulatory regime


 Plans

06-07

07-08

08-09

Apply the requirements of multilateral conventions and arrangements

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Exercise non-proliferation controls with bilateral partners in transfers of nuclear items

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Implement the requirements of the Canada-IAEA Safeguards Agreement and Additional Protocol for the verification of the peaceful use of nuclear energy in Canada

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Develop and implement a comprehensive regulatory regime for high-risk radioactive sealed sources and nuclear materials

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Implement the electronic information management solutions to assist in compliance reporting for international safety and security obligations. Further development and implementation of a Nuclear Materials Accounting System

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The CNSC is responsible on behalf of the Government of Canada for applying the requirements of multilateral conventions relating to; the Physical Protection of Nuclear Material; Nuclear power reactor safety; spent fuel and radioactive waste management safety; and the safe transportation of radioactive material. Reports on compliance with the obligations in these multilateral conventions such as the Convention on Nuclear Safety and the Joint Convention on Spent Fuel Management and Radioactive Waste Management will be submitted by the CNSC for peer review at regular meetings of Contracting Parties during this period.

The CNSC’s responsibility for the negotiation and implementation of Administrative Arrangements to implement reciprocal nuclear non-proliferation provisions of bilateral Nuclear Corporation Agreements between Canada and its nuclear trading partners will continue to be exercised. Assuring compliance with these reciprocal provisions includes exercising controls on nuclear transfer notifications and reporting, and the maintenance of verified nuclear inventory accounts.

The CNSC will continue to fulfil its role as the State System of Accounting and Control for nuclear material in Canada. CNSC will meet requirements for; reporting on nuclear activities and nuclear material; facilitating and managing IAEA safeguards inspector access; and ensuring that safeguards inspections and inspector access are consistent with agreed approaches. The CNSC will assure compliance by the nuclear industry with CNSC safeguards requirements established in facility licences.

The Government of Canada has endorsed the IAEA Code of Conduct on the Safety and Security of High Risk Radioactive Substances. To meet the requirement and to assure Canadians, the CNSC will; enhance its comprehensive regulatory regime for control and licensing of high-risk radioactive sealed sources; and develop and implement a comprehensive regulatory regime for nuclear material. The regulatory controls will include: enhanced import and export control measures; enhanced verification of security measures in place during the transport and storage of radioactive sources; security checks to verify the trustworthiness of persons with unrestricted access to those sources; and e-business applications for sealed source tracking and Nuclear Materials Management and Accounting.

4.  CNSC cooperates and integrates its activities in national/international nuclear fora

The CNSC works cooperatively, on an ongoing basis, with a number of other domestic and international organizations.

At the international level, the CNSC’s cooperation and involvement in international nuclear organizations includes the IAEA and the Nuclear Energy Agency of the Organization for Economic Co-Operation and Development (OECD). The CNSC’s role is to promote Canadian interests and evaluate international recommendations, standards and guides for adoption in the CNSC’s regulatory framework. The CNSC also contributes technical and policy advice and expertise on nuclear non-proliferation and export control activities to Foreign Affairs and International Trade Canada, other government departments and international stakeholders on implementation of Canadian policies and on strengthening multilateral non-proliferation and export control regimes, treaty instruments and control measures. The CNSC is instituting an enhanced system to track and report on its international activities.

At a national level, cooperation by the CNSC with appropriate federal, provincial and private sector organizations contributes to more effective and efficient nuclear regulation. Such cooperation makes the best use of relevant expertise on specific regulatory issues, while at the same time minimizes the potential for duplication of regulatory effort. These organizations include Environment Canada, the Canadian Environmental Assessment Agency, Fisheries and Oceans Canada, Human Resources and Social Development Canada, Health Canada, Public Safety Canada, Foreign Affairs and International Trade Canada and the Canadian Standards Association, among others.


4.1 Contributing to a safe and secure world on an international level


Plans

06-07

07-08

08-09

Track and report CNSC participation in international activities on nuclear-related matters

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Provide technical advice to Foreign Affairs Canada, other government departments and international stakeholders.

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Internationally, the CNSC has cooperative relationships with international organizations (including the IAEA and the OECD’s Nuclear Energy Agency) and with a number of foreign nuclear regulators for the sharing of regulatory information and best practices. CNSC staff conducts training in other countries on the CNSC’s regulatory approach to the use of nuclear technology and materials. These activities involve a number of CNSC staff with technical expertise across the fields of nuclear science. One example of information sharing is with the OECD’s Nuclear Energy Agency (NEA) involving their Committee on Nuclear Regulatory Activities and the Committee on Safety of Nuclear Installations.

The CNSC is also an active member of the CANDU Senior Regulators Group, an organization established under the auspices of the IAEA to enable sharing of regulatory information specific to CANDU reactors.

In addition, the CNSC continues to work closely with its counterpart, the United States Nuclear Regulatory Commission, on a range of issues of mutual interest. This includes physical security and emergency management, regulatory assessment and controlling the use, export and import of radioactive sources.


4.2 Contributing to safe and secure communities domestically


Plans

06-07

07-08

08-09

Work with federal, provincial, municipal and international emergency management organizations to ensure an effective, efficient and cooperative CNSC emergency management framework and infrastructure

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Establish and review cooperative arrangements with federal and provincial organizations, departments and agencies, and foreign nuclear regulators on an evergreen basis 

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There are a number of federal departments and agencies, including the CNSC, with defined responsibilities under the Federal Nuclear Emergency Plan. There are also provincial and municipal departments and organizations with legislated responsibilities for emergency management.

The CNSC is reviewing its current program and will implement improvements to the CNSC Nuclear Emergency Management Program by April 2007. The central element of this program is the Nuclear Emergency Management Policy which provides guiding principles and direction for CNSC activities relating to nuclear emergencies. A final version was presented to the Commission for approval in early 2006. Once the policy is in place, the improved response plan, detailed response procedures and program-related documents will be developed. Until a revised Emergency Management Plan has been completed and implemented, the CNSC’s current Emergency Management Plan will remain in effect.

Domestically, the CNSC’s mandate is clearly outlined in the NSCA which specifies that nuclear regulatory activities are a federal responsibility. However, there are areas where other federal and provincial departments have parallel or complementary responsibilities. These include security, emergency management, environmental protection and regulatory oversight of uranium mining. The CNSC has in place a number of agreements to coordinate involvement in these cases such as an Administrative Agreement with the Province of Saskatchewan related to regulatory activities at uranium mines. The CNSC also participates on the Federal/ Provincial/Territorial Radiation Protection Committee which comprises of Radiation Protection Authorities from all of the provinces and territories, Health Canada, the Department of National Defence, Human Resources and Skills Development Canada and the CNSC.

5.   Stakeholders' understanding of the regulatory program

The CNSC is committed to operating with a high level of transparency. This involves engaging stakeholders through a variety of appropriate consultation processes, effective information sharing and communications.


5.1 Awareness of and participation in the licensing and hearings process by stakeholders


Plans

06-07

07-08

08-09

Explore improvements to processes for Commission proceedings

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Citizens are encouraged to participate in licensing hearings for major nuclear facilities to ensure that the diverse concerns of Canadians are taken into account when licensing decisions for these major facilities are made. Notices of upcoming hearings are posted on the CNSC Web site and are publicized in the area surrounding the facility. Members of the public are welcome to observe hearings, and are encouraged to participate orally or in writing in the official language of their choice.

All hearing documentation such as notices, agendas, transcripts of the proceedings, news releases, Records of Decisions, the hearing process and the CNSC Rules of Procedure can be found on the CNSC Web site at www.nuclearsafety.gc.ca. The CNSC is exploring other methods including web-casting (which was tested in 2005-2006).


5.2 Communications, consultation and outreach with stakeholders


Plans

06-07

07-08

08-09

Conduct a well-structured and sustainable Outreach Program

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Monitor the public environment and issues and develop and implement proactive and reactive communications plans for external stakeholders.

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Develop and implement a strategic communications plan

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Develop a CNSC External Communication Regulatory Policy

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A formalized Outreach Program was implemented in 2004 to ensure that the CNSC’s outreach activities are focused, effective and make the best use of resources. Outreach activities include meetings with town councils, public hearings of the tribunal, consultations with licensees and other stakeholders, presentations by the CNSC and participation in international conferences. The CNSC will continue these activities during this planning period. An active communications program uses various tools such as an up-to-date Web site and general, plain-language brochures about the CNSC to increase Canadians’ level of awareness of the CNSC and its role as Canada’s nuclear regulator and to enhance public confidence.

In parallel with the Outreach Program, the CNSC will continue to monitor the public environment and issues. A strategic communications plan for external stakeholders will enhance the information for Canadians. The CNSC will continue to provide information to the media on both a proactive and reactive basis.

A CNSC External Communications Policy will be developed, as a Regulatory Policy, to describe the philosophy, principles and fundamental factors used by the CNSC in its communications, consultation and outreach programs.

6.  Management and Enabling Infrastructure

The CNSC’s management and enabling infrastructure ensures that the Commission and CNSC staff have the necessary leadership, resources, information, processes and infrastructure to perform the activities required to achieve the CNSC’s strategic outcomes.

In 2005, the CNSC proactively undertook a self-assessment against the ten elements of the Treasury Board’s Management Accountability Framework (MAF) using indicators provided by the Treasury Board Secretariat. The results of this assessment, which were provided to the Treasury Board Secretariat, indicated that governance, accountability and stewardship are strong at the CNSC. The Secretariat staff noted the progress of the CNSC in instituting risk-informed regulatory practices that help ensure good governance and in actively engaging stakeholders and other partners to inform its cost recovery regime. Treasury Board staff noted the following challenge for the CNSC:

“The CNSC recently received partial funding to address increased regulatory workload associated with nuclear industry growth. The CNSC will need to secure the remaining funding through the Budget process in order to ensure a stable financial footing to support its future operations. The CNSC will also need to manage significant financial and human resource challenges caused by the significant increase to its funding and staffing levels.”


6.1 Governance, Accountability and Stewardship


Plans

06-07

07-08

08-09

Implement a Quality Management System

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Perform a self-assessment of the CNSC’s management system and develop a follow-up action plan as appropriate

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Undergo an independent peer review by an International Regulatory Review Team (IRRT) from the IAEA to determine level of effectiveness of CNSC’s management system as applied for the regulation of power reactors

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In 2005, the CNSC formally committed to the establishment of a corporate-wide Quality Management System (QMS). The QMS will be developed in accordance with the requirements and guidance in the IAEA Safety Standard GS-R-1 and accompanying safety guides. The Quality Management System (QMS) will capitalize on, and integrate the numerous improvement initiatives currently underway within the CNSC, facilitating the development, implementation and continuous improvement of its business processes and practices. In addition, the QMS will include clear performance measurement and benchmarking of CNSC’s practices and performance against its international peers. Ultimately, the QMS will enable sustainable measured improvements toward CNSC’s vision of being one of the best nuclear regulators in the world.

The CNSC has undergone, in 2006-2007, an independent self-assessment of its management system against the IAEA standards. It is developing and implementing a follow-up action plan.

The CNSC has requested the IAEA to send an International Regulatory Review Team (IRRT) to assess the CNSC’s regulatory practices against international safety standards with respect to nuclear power reactors. In 2007-2008, the CNSC will undergo an independent peer review by the IRRT to determine the level of effectiveness of the CNSC management system as it is applied to the regulation of nuclear power reactors.


6.2 Values and Ethics


Plans

06-07

07-08

08-09

Continue to implement a Values and Ethics Strategy ●▬▬▬▬●

Internal disclosure

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A Values and Ethics Strategy tailored specifically to the CNSC was launched in March 2005 and will be fully implemented in 2006-2007. Under the theme "Helping good people do the right thing", the Values and Ethics Strategy fits well into the CNSC's culture of professionalism, integrity and service to Canadians. The Strategy advocates personal commitment and engagement on the part of all leaders and employees and includes practical tools and techniques for building and maintaining ethical actions and habits.

Values and Ethics training has already been completed by current CNSC staff and will be integrated into the orientation process for all new employees. This will be especially important as the CNSC will be hiring a significant number of new employees over the planning period.

The CNSC is developing guidance on the building of ethical relationships with stakeholders. This guidance is being prepared in consultation with licensees, contractors, public interest groups and other departments and agencies.

The CNSC has recently developed an internal disclosure function to help staff disclose wrongdoing in a safe and constructive manner. An annual report will be prepared which provides an overview of case management and operations of the internal disclosure process.


6.3 Results and Performance


Plans

06-07

07-08

08-09

Manage the integration of significant new financial and human resources ●▬▬▬▬▬▬▬▬▬●
Implement an integrated planning and performance management framework which includes a financial and non-financial corporate performance measurement framework and improved accountability processes ●▬▬▬▬▬▬▬▬▬●

Implement an integrated information management improvement plan including electronic records management

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With its substantial increase in workload, funding and staffing levels, the CNSC will need to manage significant financial and human resource challenges. The CNSC requires all growth initiatives to be supported by a results-based business case. Resource allocation decisions are based on a risk-informed analysis of corporate priorities. The CNSC will manage and report on performance for each growth initiative based on results achieved against required deliverables.

The CNSC recognizes that successful integration of significant numbers of new staff will change the organization. Orientation programs are being enhanced, targeted training is a priority and a renewed leadership development program is being developed to ensure front-line managers are able to maximize the effectiveness of recruitment and retention efforts. The CNSC’s enabling functions such as Human Resources, Information Management and Technology, Finance and Administration and Communications will adjust services, as required, to accommodate the increased volume of new staff.

The CNSC has identified Integrated Planning and Performance Management as a key corporate priority under the Quality Management System. A cross functional Integrated Planning and Performance Management Committee (IPPMC) was formed in 2006 with a strong mandate and appropriate resources to develop and implement the required processes, procedures and tools that ensure integration of all levels of planning and performance management including a comprehensive performance measurement framework. This will build upon and integrate the wide number of related initiatives that have been undertaken in many areas of the CNSC, adopting consistent best practices across the agency. With its growth, CNSC is committed to implementing a more results-based management approach to determine priorities, allocate resources and measure success.

The CNSC actively monitors changes to its operating environment in all areas of regulatory oversight. This is a critical input into the planning and resource management processes. The CNSC maintains evergreen documentation of the potential changes, risks and opportunities that may affect it, measures the potential impacts, and drives changes to plans as required. In 2006-07, under the direction of the Regulatory Affairs Division, the CNSC will implement a renewed and more structured Environmental Scanning Framework as part of the Integrated Planning and Performance Management Initiative.


6.4 Risk Management


Plans

06-07

07-08

08-09

Integrate a corporate risk framework into the strategic planning and management processes

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Formal risk management methodologies have been implemented in certain of the regulatory and support processes and further implementation over the planning period has been discussed in earlier sections of this report. In 2006-2007, the CNSC management team will incorporate an integrated risk management framework into the strategic planning and management processes.


6.5 People


Plans

06-07

07-08

08-09

Leadership and Learning

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Sustain proactive approaches for recruitment and retention initiatives

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Implement the first collective agreement upon completion of arbitration process

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Continuous improvement to human resources planning including management accountabilities

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Develop and Implement an Informal Conflict Management System (ICMS)

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It is important for the organization to have excellent managers and leaders to design and implement policies and programs for the staff. In order to strengthen leadership and management capacities, the Leadership Development Program, which is in place, will be strengthened. The leadership team assembles two times per year to address timely issues of leadership importance; for example - management improvement; values and ethics; and communications.

Staff, with their specialized knowledge, is the main resource of the CNSC. Many knowledgeable individuals with specific scientific expertise are expected to retire over the next ten years. Continuing industry and therefore CNSC growth will intensify the competition for the same diminishing pool of expertise. The CNSC is addressing this issue through an increased focus on knowledge management, training and recruitment of both experienced and junior staff.

In 2004, the Professional Institute of the Public Service of Canada (PIPSC) was certified to represent part of the CNSC workforce. The rest of the employees remain non-unionized. The CNSC’s management is in negotiations with the PIPSC for the first collective agreement with employees in the bargaining unit.

Consistent with the Integrated Planning and Performance Management initiative discussed previously, the CNSC will strengthen its processes for identifying immediate and longer-term human resource needs. A Human Resources Planning Tool will be implemented in 2006-2007 to assist managers in linking their future business needs to human resource requirements. The action plans which will follow this process will address both short and long-term human resource requirements in support of business plans. The CNSC will explore new strategies for recruiting, including job fairs in international markets.

The CNSC will develop an Informal Conflict Management System (ICMS) adapted to its needs in consultation with bargaining agent representatives and representatives of non-unionized staff. The goal in implementing an ICMS is to prevent disputes from arising wherever possible, and when they do arise, to facilitate their resolution informally, and quickly, while preserving the right of all parties to seek assistance at any time through existing formal dispute resolution mechanisms.

Measures of Performance

The CNSC recognizes the importance of being able to measure both the effectiveness and the efficiency of its programs and has initiated the development of an integrated performance management framework. Overall effectiveness of regulatory oversight requires outcome measures relating to the collective impact of activities conducted by, not only the CNSC, but also by licensees and other stakeholders. As stated in the CNSC’s Regulatory Fundamentals Policy (P-299) those persons and organizations that are subject to the NSCA and regulations are directly responsible for managing regulated activities in a manner that protects health, safety, security, and the environment, while respecting Canada’s international obligations. The CNSC is responsible for regulatory policies and programs which assure that these responsibilities are properly discharged. Since CNSC is not in control of all results, its measures reflect expectations of sound risk-informed oversight.

Efficiency, on the other hand, will be measured using ongoing monitoring of the CNSC’s performance against external and internal performance standards relating to individual activities undertaken and their associated outputs.

Outcome Measures

The outcome measurement framework is derivative of the CNSC Logic Model (see Section IV). Table 1 (Immediate Outcome Measures) presents the list of outcome measures to be published in the 2006-07 Annual Report and Departmental Performance Report. Certain of the CNSC’s outcome measures indicate licensee performance within the regulatory framework. These measurements inform firstly, the licensee and the CNSC on the licensee’s performance and secondly, the CNSC on the overall effectiveness of the regulatory framework. The outcome measurement framework will undergo Significant development in the planning period under the direction of the Integrated Planning and Performance Management project discussed earlier in the document.

Table 1 - Immediate Outcome Measures (see logic model Section IV)


  Immediate Outcome Outcome Measures Target
2006-07
1. A clear and pragmatic regulatory framework Percentage of regulations under review / revision in each year (This will ensure a complete rolling review over 5 years)

20%

Number of regulations published in Canada Gazette 3
Number of regulatory documents finalized and published 15
2. Individuals and organizations that operate safely and conform to safeguards and non-proliferation requirements. Number of cases of delays in implementing effective regulatory control (licensing action) pursuant to the NSCA or Significant Development Reports subsequent to licence approval.
3. High levels of compliance with the regulatory framework

Level of licensee performance ratings assessed by the CNSC on each of the power reactors, as per the CNSC Report Card on Nuclear Power Plant Performance. (The CNSC publishes an annual report on the performance of nuclear power plants http://www.nuclearsafety.gc.ca/eng/safety/RC_01_05.cfm in established safety areas. The CNSC measures separately (i) the quality of the existing safety program and (ii) its implementation. The ratings provided are:

  • A = Exceeds requirements
  • B = Meets requirements
  • C = Below requirements
  • D = Significantly below requirements
  • E = Unacceptable

Levels of performance of non-power reactor licensees as measured by the CNSC through inspections, events, assessments, and evaluations of compliance with licence requirements. Performance ratings are recorded in formal licensing documents.

Annual IAEA statement indicating Canada’s compliance with international standards with respect to safeguards and non-proliferation.

100% provision by the CNSC of nuclear transfer notifications and reports pursuant to bilateral Administrative Arrangements

4. CNSC cooperates and integrates its activities in national/international nuclear fora 100 % Verification by the CNSC of bilateral nuclear material inventory reports, annually.
5. Stakeholder understanding of the regulatory program

Level of stakeholder confidence in the CNSC’s ability to regulate the use of nuclear energy and materials.

Level of stakeholder participation in the CNSC’s decision-making process.

To obtain this information, the CNSC will conduct a survey of stakeholders every three years and will publish the results.


Performance Standards

Performance standards have been developed for interactions with both external and internal stakeholders. It is important to note that as an independent regulator, it is inappropriate for the relationship between licensees and the CNSC to be considered a service; hence there are no service standards. In line with the Users Fees Act (2004) and the Treasury Board Policy on Service Standards for External Fees, an initial list of performance standards focusing on the needs and expectations of external stakeholders has been developed in consultation with stakeholders and work continues to progress on implementing such standards. Internal reporting has commenced and the CNSC will report in the 2005/06 Departmental Performance Report – in line with reporting commitments included in the Users Fees Act. In addition, internal performance standards have been put in place to monitor and report on the ability of corporate service functions to meet the needs and expectations of internal clients in supporting the delivery of the overall regulatory program. Performance against all standards is monitored on a regular basis to ensure continual progress is made and that all performance standards accurately reflect the operational reality.

Table 2 - External performance standards to be reported against during the planning period include:


Activity Performance
standard
Target

Compliance

Verification: upon completion of the verification activity, the CNSC will:

Issue Type I Inspection Report

Within 60 business days

80%

Issue Type II Inspection Report1

Within 40 business days

80%

Issue Desktop Review Report

Within 60 business days

90%

     

Complete review(s) of Annual Compliance Report(s) 

Within 60 business days (of receipt)

80%

Enforcement: upon an Order being made, the CNSC will  

Confirm, amend, revoke or replace the Order (see Regulatory Guide – G-273)

Within 10 business days

100%

Licensing – for requests pertaining to an existing licence, the CNSC will

Screen the request for completeness and issue notification that the licensing request is / is not complete

Within 20 business days

90%

Issue a licensing decision when a public hearing is not required (assuming an environmental assessment under the CEAA is not required)

Within 80 business days

80%

Issue a licensing decision when a public hearing is required (assuming an environmental assessment under the CEAA is not required) (see INFO-0715)

Within 160 business days

90%

Publish the Records of Proceedings, including Reasons for Decisions, upon conclusion of the public hearing

Within 30 business days

90%

Access to Information (ATI)

Respond to requests under the ATI and Privacy Acts

Within legislated time periods as stated in the Acts

90%

External Communications 

Place Public Hearings Advertisements

Within deadlines stipulated in the regulations

100%

Response time to public inquiries

Same-day acknowledgement of request with response time for completion of request depends on complexity:

Low – same day;

Medium – within 5 business days;

High – within 10 business days

100%

External Reporting to Central Agencies

File annual Report on Plans and Priorities (Strategic Plan) and Departmental Performance Report (Annual Report on Performance)

Within required timelines

100%


Note 1: In Power Reactors, unless major issues arise, findings from Field Inspections and Control Room Inspections will be reported on a quarterly basis, within 40 business days of end of quarter.