Regulatory Guide - Possess or Control and Extended Shutdown of a Facility or Source (ARPANSA-GDE-1757)

1. Introduction

This document describes the purpose of a ‘possession or control’ licence and the principles that determine the scope of activities that may be undertaken by a licence holder during a period of possession or control. This document also describes ARPANSA’s expectations for periods of extended shutdown outside of a possession or control licence. Licence holder plans and arrangements should include information on how it will manage safety and security during an extended shutdown (both planned and unexpected) and the return to operation or the transition to a possession or control licence, decommissioning or disposal. These plans and arrangements should be in place during normal operation or use in readiness for an unexpected period of extended shutdown.

A possession or control licence most often applies to nuclear installations and prescribed radiation facilities, but the same general principles may also be applied to controlled material and controlled apparatus (sources). A possession or control licence is a type of facility licence (see s30 of the Australian Radiation Protection and Nuclear Safety Act 1998 (the Act)). It is most commonly issued for a prolonged period (usually years) of safe enclosure between periods of routine operations or leading to decommissioning of the facility. It is usually characterised by a period of minimal activity. An extended shutdown is a significant period (usually months) where a facility is not used, usually due to some unforeseen circumstance, but where the normal licence/authorisation remains in place and where operation or use may resume.

The general principles described in this document are based on international guidance and the principles of the International Atomic Energy Agency (IAEA).  This document provides supplementary information relating specifically to extended shutdown, or possession or control licences, and must be read in conjunction with other applicable Regulatory Guides. Particular attention is drawn to the ARPANSA Regulatory Guide: Plans and Arrangements for Managing Safety, and the Holistic Safety Guidelines.

This guide assists ARPANSA to provide a predictable and consistent approach with the assessment and inspection of controlled facilities and sources. It provides information to ARPANSA’s assessment and inspection team that should be considered in assessing licensing and compliance requirements. This guide also provides information to applicants and licence holders on ARPANSA’s expectations for possession or control licences and extended shutdown of controlled facilities. While focussing on facilities, the principles described in this guide can also be applied to the control of radioactive sources and controlled apparatus and is consistent with the requirements of codes and standards applying to source licences.

2. Guideline structure 

This guide comprises four main sections.

• Section 3 provides information on ARPANSA’s expectations for activities and arrangements that should be undertaken during an often unplanned, extended shutdown of operation (without a possession or control licence).
• Section 4 provides information regarding the general intent and principles of a possession or control licence. It provides definitions and how a possession or control licence relates to specific authorisations under the Act.
• Section 5 discusses ARPANSA’s expectations on preparation of an application for a possession or control licence and particularly on reducing the reliance on active safety systems to provide safety.
• Section 6 discusses the scope of activities that are usually permitted under possession or control licences for facilities.

3. Extended shutdown under an operating licence

From time to time it may become necessary to shutdown normal operation of a controlled facility. Commonly the shutdown is short-lived and counted in days to perhaps a few weeks. In these short-term shutdowns, it is acceptable for licence holders to continue with normal operational safety controls and arrangements. 

Occasionally, a facility may need to be shut down for an extended period. Where the reasons for the extended shutdown cannot be quickly resolved, a decision regarding the long-term future of the facility may be made, for example to transition to a possession or control licence or a decommissioning licence. This decision should be made within an appropriate period during which the facility, and its operating organisation, should be maintained so that operation may resume safely.

This section of guidance regards an extended shutdown before a decision is made on the long-term future of the facility. As a component of its normal operating plans and arrangements, the licence holder should assess the risks associated with an extended shutdown (including the transition to and from the shutdown) and provide plans and arrangements which ensure safety during an extended shutdown, including that:

• appropriate measures are undertaken so that SSCs (structures, systems, components) or materials important to safety or security of controlled material do not prematurely or unknowingly seriously degrade, possibly leading to an impairment of functionality, loss of integrity including shielding integrity, or release of radioactive material.
• the organisation retains the competencies necessary to operate the facility or have detailed plans on how these competences will be re-established prior to resuming routine operations.
• where practicable, the facility is made passively safe so that reliance on active safety or security systems is minimised. Measures may include: the removal and secure storage of bulk process materials including fissile materials and radioactive waste; post operational cleaning to remove non-fixed and readily removable surface contamination; and the removal of energising systems where appropriate to render the apparatus inoperable. Where this is impracticable, normal operational safety controls should be maintained or interim measures should be implemented to ensure the safety and security of the facility or source.
• operational limits and conditions, surveillance, and maintenance requirements appropriately reflect the safety requirements of an extended shutdown.

Where a source licence is issued, ARPANSA expects controlled apparatus and sources to be managed in accordance with the licence. This licence will usually require compliance with relevant codes and standards that contain specific requirements for its safe and secure storage when it is not being used. In other instances, ARPANSA expects controlled apparatus or sources to be managed similarly to a facility, i.e. the source should be safely and securely stored, and inadvertent use should be prevented. The licence holder is expected to maintain a capability to look after the source and demonstrate that it remains safe and secure at all times. 

In implementing these arrangements, due attention must be made to compliance with the Act, Regulations and relevant licence conditions.

4. Possess or control: general principles

A possession or control licence is one of five types of facility licence that may be issued for a nuclear installation or prescribed radiation facility under subsection 32(1) of the Act. Possession or control is also a type of ‘dealing’ relevant to source licences that may be authorised under subsection 33(1) of the Act.

Possess or control for facilities

A facility possession or control licence may be used to authorise a period of care and maintenance between other licensed activities for nuclear installations or prescribed radiation facilities (see Figure 1). A possession or control licence is most commonly relevant to that period of safe enclosure between the operation of a facility and its decommissioning and ultimate disposal (or deferred dismantling). However, it may also be issued to cover other circumstances including a prolonged period of shutdown pending a resumption of operation, or periods between decommissioning phases. A possession or control licence may also be issued if the CEO reduces the authority granted by a facility licence under subsection 36(2) of the Act.  

Figure 1: Transition through facility licence types. The blue arrows show the preferred route for licensed activities. The red arrows show other possible alternative routes for a possession or control licence. This figure accounts for the majority of cases in which a possession or control licence may be used.

Possess or control for sources

Unlike facilities, there is no specific possession or control licence for sources. However, Section 13 of the Act describes three dealings which may be authorised by a source licence: to possess or have control; to use or operate; or to dispose of the apparatus or material (which is then subject to s65 of the Regulations). The CEO of ARPANSA may exclude one or more of the dealings authorised by a source licence under subsection 33(1) of the Act. This approach may be taken for various reasons, for example “use or operate” may be excluded following the acquisition of a source before the organisation has established a capability to use it, or where safety concerns in its operation have become apparent. In these examples any risks of use or operation are removed whilst maintaining the controlled apparatus or radioactive source under regulatory control. See Figure 2. 

Figure 2: Three Dealings are usually permitted under a source licence. However, where appropriate, the CEO may exclude one or more from the authorisation.  

Objective of possess or control

The objective of a possession or control licence is to ensure that, despite not being in use, a controlled facility remains safe and secure.

It is important that the controlled facility or apparatus is not operated, and controlled material is not used or disposed of, where a possession or control licence has been issued. Any facility decommissioning activities require separate approvals under the Act and are therefore prohibited under a possession or control licence.

Consistent with the definitions in the table below, possession or control ‘activities’ are generally regarded as those in which any parts of a facility containing radioactive contaminants are either processed or placed in a condition for safe storage and maintenance until subsequently approved for operation or decommissioning. Decommissioning is the subsequent decontamination and/or dismantling of structures, systems and components to levels that permit the facility to be released for unrestricted use or with ongoing restrictions imposed by the CEO of ARPANSA.

In general, ARPANSA takes the position that the dismantling or removal of any radioactive or contaminated item¹ within a facility with the intention of never reassembling it or replacing it is decommissioning and is not permitted under a possession or control licence. The sections below explain certain exemptions from this position. 

5. Preparation for possess or control

Any application for a possession or control licence must meet the requirements of the Act. 

To remove or reduce the reliance on active safety and monitoring systems ARPANSA expects a prescribed radiation facility or nuclear installation, wherever possible, to be made passively safe before it is placed under a possession or control licence. Where this is not possible, the controlled person should provide justification along with a detailed plan of how this will be achieved including completion dates and acceptance criteria.

The measures to achieve passive safety that will usually be permitted include:

• Removal of bulk process materials directly related to the previous operational period (including fissile material, process liquids and operational waste).
• Post operational cleaning to remove non-fixed and readily removable surface contamination.  
• Where pre-existing operational practices exist, the in-situ decontamination or temporary removal for decontamination within another facility provided the decontaminated item will return to the original system afterward.
• The removal of readily removable activated or contaminated items where the controlled person can demonstrate that the removal is necessary to the ongoing safe storage of the remaining parts of the facility. 
• The installation of additional structures, systems or components required for safety purposes during the possession or control period. Examples may include the installation of additional shielding, containment, or special monitoring systems.

In instances where an application for a possession or control licence is made and there remains a possibility to resume operation at some future date, the applicant should ensure that the facility or source is maintained so that no SSCs, or materials important for safety, unknowingly degrade so as to cause the safety of future operation to be compromised. The operating organisation should ensure that worker competencies can be demonstrated before routine operations are resumed/reinstated.

6. Activities permitted under a possess or control licence

Possession or control periods are typically periods of low activity especially when a state of passive safety has been achieved and there is little or no reliance on active safety systems. However, ARPANSA expects that monitoring and maintenance is appropriately resourced and managed in order to maintain the source inventory (all sources held) in a safe state. These arrangements should cover all systems, structures and components (regardless of their radiological state) which are necessary to maintain the facility, apparatus or material in accordance with the relevant possession or control safety case and any licence conditions.

In addition to the requirement to maintain the controlled facility and source inventory in a safe state, the table below identifies other activities which are commonly permitted at a facility under a possession or control licence. The table must be read in conjunction with any licence conditions imposed on the licence.

While the above information generally relates to facilities, the general principles can also be applied to sources. See section 4 for further information. 

¹ Radioactive materials that are under regulatory control are those above the exemption limits in Schedule 1 Part 1 of the Australian Radiation Protection and Nuclear Safety Regulations 2018 unless otherwise exempted.