IAEA Safety Standards

for protecting people and the environment

Construction for
Nuclear Installations

Specific Safety Guide

No. SSG-38
IAEA SAFETY STANDARDS AND RELATED PUBLICATIONS

IAEA SAFETY STANDARDS

Under the terms of Article III of its Statute, the IAEA is authorized to establish or adopt
standards of safety for protection of health and minimization of danger to life and property, and
to provide for the application of these standards.
The publications by means of which the IAEA establishes standards are issued in the
IAEA Safety Standards Series. This series covers nuclear safety, radiation safety, transport
safety and waste safety. The publication categories in the series are Safety Fundamentals,
Safety Requirements and Safety Guides.
Information on the IAEA’s safety standards programme is available on the IAEA Internet
site
http://www-ns.iaea.org/standards/
The site provides the texts in English of published and draft safety standards. The texts
of safety standards issued in Arabic, Chinese, French, Russian and Spanish, the IAEA Safety
Glossary and a status report for safety standards under development are also available. For
further information, please contact the IAEA at: Vienna International Centre, PO Box 100,
1400 Vienna, Austria.
All users of IAEA safety standards are invited to inform the IAEA of experience in their
use (e.g. as a basis for national regulations, for safety reviews and for training courses) for the
purpose of ensuring that they continue to meet users’ needs. Information may be provided via
the IAEA Internet site or by post, as above, or by email to Official.Mail@iaea.org.

RELATED PUBLICATIONS
The IAEA provides for the application of the standards and, under the terms of Articles III
and VIII.C of its Statute, makes available and fosters the exchange of information relating
to peaceful nuclear activities and serves as an intermediary among its Member States for this
purpose.
Reports on safety in nuclear activities are issued as Safety Reports, which provide
practical examples and detailed methods that can be used in support of the safety standards.
Other safety related IAEA publications are issued as Emergency Preparedness and
Response publications, Radiological Assessment Reports, the International Nuclear Safety
Group’s INSAG Reports, Technical Reports and TECDOCs. The IAEA also issues reports
on radiological accidents, training manuals and practical manuals, and other special safety
related publications.
Security related publications are issued in the IAEA Nuclear Security Series.
The IAEA Nuclear Energy Series comprises informational publications to encourage
and assist research on, and the development and practical application of, nuclear energy for
peaceful purposes. It includes reports and guides on the status of and advances in technology,
and on experience, good practices and practical examples in the areas of nuclear power, the
nuclear fuel cycle, radioactive waste management and decommissioning.
 CONSTRUCTION FOR
NUCLEAR INSTALLATIONS
 The following States are Members of the International Atomic Energy Agency:

AFGHANISTAN GERMANY OMAN

ALBANIA GHANA PAKISTAN
ALGERIA GREECE PALAU
ANGOLA GUATEMALA PANAMA
ARGENTINA GUYANA PAPUA NEW GUINEA
ARMENIA HAITI PARAGUAY
AUSTRALIA HOLY SEE PERU
AUSTRIA HONDURAS PHILIPPINES
AZERBAIJAN HUNGARY POLAND
BAHAMAS ICELAND PORTUGAL
BAHRAIN INDIA QATAR
BANGLADESH INDONESIA REPUBLIC OF MOLDOVA
BELARUS IRAN, ISLAMIC REPUBLIC OF ROMANIA
BELGIUM IRAQ RUSSIAN FEDERATION
BELIZE IRELAND RWANDA
BENIN ISRAEL SAN MARINO
BOLIVIA, PLURINATIONAL ITALY SAUDI ARABIA
STATE OF JAMAICA SENEGAL
BOSNIA AND HERZEGOVINA JAPAN SERBIA
BOTSWANA JORDAN SEYCHELLES
BRAZIL KAZAKHSTAN SIERRA LEONE
BRUNEI DARUSSALAM KENYA SINGAPORE
BULGARIA KOREA, REPUBLIC OF SLOVAKIA
BURKINA FASO KUWAIT SLOVENIA
BURUNDI KYRGYZSTAN
SOUTH AFRICA
CAMBODIA LAO PEOPLE’S DEMOCRATIC
SPAIN
CAMEROON REPUBLIC
SRI LANKA
CANADA LATVIA
SUDAN
CENTRAL AFRICAN LEBANON
SWAZILAND
REPUBLIC LESOTHO
SWEDEN
CHAD LIBERIA
SWITZERLAND
CHILE LIBYA
CHINA SYRIAN ARAB REPUBLIC
LIECHTENSTEIN
COLOMBIA LITHUANIA TAJIKISTAN
CONGO LUXEMBOURG THAILAND
COSTA RICA MADAGASCAR THE FORMER YUGOSLAV
CÔTE D’IVOIRE MALAWI REPUBLIC OF MACEDONIA
CROATIA MALAYSIA TOGO
CUBA MALI TRINIDAD AND TOBAGO
CYPRUS MALTA TUNISIA
CZECH REPUBLIC MARSHALL ISLANDS TURKEY
DEMOCRATIC REPUBLIC MAURITANIA UGANDA
OF THE CONGO MAURITIUS UKRAINE
DENMARK MEXICO UNITED ARAB EMIRATES
DJIBOUTI MONACO UNITED KINGDOM OF
DOMINICA MONGOLIA GREAT BRITAIN AND
DOMINICAN REPUBLIC MONTENEGRO NORTHERN IRELAND
ECUADOR MOROCCO UNITED REPUBLIC
EGYPT MOZAMBIQUE OF TANZANIA
EL SALVADOR MYANMAR UNITED STATES OF AMERICA
ERITREA NAMIBIA URUGUAY
ESTONIA NEPAL UZBEKISTAN
ETHIOPIA NETHERLANDS VENEZUELA, BOLIVARIAN
FIJI NEW ZEALAND REPUBLIC OF
FINLAND NICARAGUA VIET NAM
FRANCE NIGER YEMEN
GABON NIGERIA ZAMBIA
GEORGIA NORWAY ZIMBABWE

The Agency’s Statute was approved on 23 October 1956 by the Conference on the Statute of the
IAEA held at United Nations Headquarters, New York; it entered into force on 29 July 1957. The
Headquarters of the Agency are situated in Vienna. Its principal objective is “to accelerate and enlarge the
contribution of atomic energy to peace, health and prosperity throughout the world’’.
IAEA SAFETY STANDARDS SERIES No. SSG-38

CONSTRUCTION FOR
NUCLEAR INSTALLATIONS

SPECIFIC SAFETY GUIDE

INTERNATIONAL ATOMIC ENERGY AGENCY

VIENNA, 2015
 COPYRIGHT NOTICE

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© IAEA, 2015

Printed by the IAEA in Austria

July 2015
STI/PUB/1693

IAEA Library Cataloguing in Publication Data

Construction for nuclear installations : specific safety guide. — Vienna : International
Atomic Energy Agency, 2015.
p. ; 24 cm. — (IAEA safety standards series, ISSN 1020–525X ;
no. SSG-38)
STI/PUB/1693
ISBN 978–92–0–102715–3
Includes bibliographical references.
1. Nuclear power plants — Design and construction — Safety measures.
2. Nuclear reactors — Design and construction. 3. Nuclear facilities — Design
and construction. I. International Atomic Energy Agency. II. Series.
IAEAL15–00972
 FOREWORD

by Yukiya Amano
Director General
The IAEA’s Statute authorizes the Agency to “establish or adopt…
standards of safety for protection of health and minimization of danger to life and
property” — standards that the IAEA must use in its own operations, and which
States can apply by means of their regulatory provisions for nuclear and radiation
safety. The IAEA does this in consultation with the competent organs of the
United Nations and with the specialized agencies concerned. A comprehensive
set of high quality standards under regular review is a key element of a stable and
sustainable global safety regime, as is the IAEA’s assistance in their application.
The IAEA commenced its safety standards programme in 1958. The
emphasis placed on quality, fitness for purpose and continuous improvement
has led to the widespread use of the IAEA standards throughout the world. The
Safety Standards Series now includes unified Fundamental Safety Principles,
which represent an international consensus on what must constitute a high level
of protection and safety. With the strong support of the Commission on Safety
Standards, the IAEA is working to promote the global acceptance and use of its
standards.
Standards are only effective if they are properly applied in practice.
The IAEA’s safety services encompass design, siting and engineering safety,
operational safety, radiation safety, safe transport of radioactive material and
safe management of radioactive waste, as well as governmental organization,
regulatory matters and safety culture in organizations. These safety services assist
Member States in the application of the standards and enable valuable experience
and insights to be shared.
Regulating safety is a national responsibility, and many States have
decided to adopt the IAEA’s standards for use in their national regulations. For
parties to the various international safety conventions, IAEA standards provide
a consistent, reliable means of ensuring the effective fulfilment of obligations
under the conventions. The standards are also applied by regulatory bodies and
operators around the world to enhance safety in nuclear power generation and in
nuclear applications in medicine, industry, agriculture and research.
Safety is not an end in itself but a prerequisite for the purpose of the
protection of people in all States and of the environment — now and in the
future. The risks associated with ionizing radiation must be assessed and
controlled without unduly limiting the contribution of nuclear energy to equitable
and sustainable development. Governments, regulatory bodies and operators
everywhere must ensure that nuclear material and radiation sources are used
beneficially, safely and ethically. The IAEA safety standards are designed to
facilitate this, and I encourage all Member States to make use of them.
 THE IAEA SAFETY STANDARDS

BACKGROUND

Radioactivity is a natural phenomenon and natural sources of radiation are

features of the environment. Radiation and radioactive substances have many
beneficial applications, ranging from power generation to uses in medicine,
industry and agriculture. The radiation risks to workers and the public and to the
environment that may arise from these applications have to be assessed and, if
necessary, controlled.
Activities such as the medical uses of radiation, the operation of nuclear
installations, the production, transport and use of radioactive material, and the
management of radioactive waste must therefore be subject to standards of safety.
Regulating safety is a national responsibility. However, radiation risks may
transcend national borders, and international cooperation serves to promote and
enhance safety globally by exchanging experience and by improving capabilities
to control hazards, to prevent accidents, to respond to emergencies and to mitigate
any harmful consequences.
States have an obligation of diligence and duty of care, and are expected to
fulfil their national and international undertakings and obligations.
International safety standards provide support for States in meeting their
obligations under general principles of international law, such as those relating to
environmental protection. International safety standards also promote and assure
confidence in safety and facilitate international commerce and trade.
A global nuclear safety regime is in place and is being continuously
improved. IAEA safety standards, which support the implementation of binding
international instruments and national safety infrastructures, are a cornerstone
of this global regime. The IAEA safety standards constitute a useful tool
for contracting parties to assess their performance under these international
conventions.

THE IAEA SAFETY STANDARDS

The status of the IAEA safety standards derives from the IAEA’s Statute,
which authorizes the IAEA to establish or adopt, in consultation and, where
appropriate, in collaboration with the competent organs of the United Nations
and with the specialized agencies concerned, standards of safety for protection of
health and minimization of danger to life and property, and to provide for their
application.
 With a view to ensuring the protection of people and the environment
from harmful effects of ionizing radiation, the IAEA safety standards establish
fundamental safety principles, requirements and measures to control the radiation
exposure of people and the release of radioactive material to the environment, to
restrict the likelihood of events that might lead to a loss of control over a nuclear
reactor core, nuclear chain reaction, radioactive source or any other source of
radiation, and to mitigate the consequences of such events if they were to occur.
The standards apply to facilities and activities that give rise to radiation risks,
including nuclear installations, the use of radiation and radioactive sources, the
transport of radioactive material and the management of radioactive waste.
Safety measures and security measures1 have in common the aim of
protecting human life and health and the environment. Safety measures and
security measures must be designed and implemented in an integrated manner
so that security measures do not compromise safety and safety measures do not
compromise security.
The IAEA safety standards reflect an international consensus on what
constitutes a high level of safety for protecting people and the environment
from harmful effects of ionizing radiation. They are issued in the IAEA Safety
Standards Series, which has three categories (see Fig. 1).

Safety Fundamentals
Safety Fundamentals present the fundamental safety objective and principles
of protection and safety, and provide the basis for the safety requirements.

Safety Requirements
An integrated and consistent set of Safety Requirements establishes
the requirements that must be met to ensure the protection of people and the
environment, both now and in the future. The requirements are governed by the
objective and principles of the Safety Fundamentals. If the requirements are not
met, measures must be taken to reach or restore the required level of safety. The
format and style of the requirements facilitate their use for the establishment, in a
harmonized manner, of a national regulatory framework. Requirements, including
numbered ‘overarching’ requirements, are expressed as ‘shall’ statements. Many
requirements are not addressed to a specific party, the implication being that the
appropriate parties are responsible for fulfilling them.

1
See also publications issued in the IAEA Nuclear Security Series.
 Safety Fundamentals
Fundamental Safety Principles

General Safety Requirements Specific Safety Requirements

Part 1. Governmental, Legal and 1. Site Evaluation for

Regulatory Framework for Safety Nuclear Installations

Part 2. Leadership and Management

2. Safety of Nuclear Power Plants
for Safety
2/1 Design
Part 3. Radiation Protection and 2/2 Commissioning and Operation
Safety of Radiation Sources

Part 4. Safety Assessment for 3. Safety of Research Reactors

Facilities and Activities

Part 5. Predisposal Management 4. Safety of Nuclear Fuel

of Radioactive Waste Cycle Facilities

Part 6. Decommissioning and 5. Safety of Radioactive Waste

Termination of Activities Disposal Facilities

Part 7. Emergency Preparedness 6. Safe Transport of

and Response Radioactive Material

Collection of Safety Guides

FIG. 1. The long term structure of the IAEA Safety Standards Series.

Safety Guides
Safety Guides provide recommendations and guidance on how to comply
with the safety requirements, indicating an international consensus that it
is necessary to take the measures recommended (or equivalent alternative
measures). The Safety Guides present international good practices, and
increasingly they reflect best practices, to help users striving to achieve high
levels of safety. The recommendations provided in Safety Guides are expressed
as ‘should’ statements.

APPLICATION OF THE IAEA SAFETY STANDARDS

The principal users of safety standards in IAEA Member States are

regulatory bodies and other relevant national authorities. The IAEA safety
standards are also used by co-sponsoring organizations and by many organizations
that design, construct and operate nuclear facilities, as well as organizations
involved in the use of radiation and radioactive sources.
 The IAEA safety standards are applicable, as relevant, throughout the entire
lifetime of all facilities and activities — existing and new — utilized for peaceful
purposes and to protective actions to reduce existing radiation risks. They can be
used by States as a reference for their national regulations in respect of facilities
and activities.
The IAEA’s Statute makes the safety standards binding on the IAEA in
relation to its own operations and also on States in relation to IAEA assisted
operations.
The IAEA safety standards also form the basis for the IAEA’s safety review
services, and they are used by the IAEA in support of competence building,
including the development of educational curricula and training courses.
International conventions contain requirements similar to those in
the IAEA safety standards and make them binding on contracting parties.
The IAEA safety standards, supplemented by international conventions, industry
standards and detailed national requirements, establish a consistent basis for
protecting people and the environment. There will also be some special aspects
of safety that need to be assessed at the national level. For example, many of
the IAEA safety standards, in particular those addressing aspects of safety in
planning or design, are intended to apply primarily to new facilities and activities.
The requirements established in the IAEA safety standards might not be fully
met at some existing facilities that were built to earlier standards. The way in
which IAEA safety standards are to be applied to such facilities is a decision for
individual States.
The scientific considerations underlying the IAEA safety standards provide
an objective basis for decisions concerning safety; however, decision makers
must also make informed judgements and must determine how best to balance
the benefits of an action or an activity against the associated radiation risks and
any other detrimental impacts to which it gives rise.

DEVELOPMENT PROCESS FOR THE IAEA SAFETY STANDARDS

The preparation and review of the safety standards involves the IAEA
Secretariat and four safety standards committees, for nuclear safety (NUSSC),
radiation safety (RASSC), the safety of radioactive waste (WASSC) and the
safe transport of radioactive material (TRANSSC), and a Commission on
Safety Standards (CSS) which oversees the IAEA safety standards programme
(see Fig. 2).
All IAEA Member States may nominate experts for the safety standards
committees and may provide comments on draft standards. The membership of
the Commission on Safety Standards is appointed by the Director General and
 Outline and work plan
prepared by the Secretariat;
review by the safety standards
committees and the CSS

Secretariat and
consultants:
drafting of new or revision
of existing safety standard

Draft

Review by Draft
safety standards Member States
committee(s)
Comments

Final draft

Endorsement
by the CSS

FIG. 2. The process for developing a new safety standard or revising an existing standard.

includes senior governmental officials having responsibility for establishing

national standards.
A management system has been established for the processes of planning,
developing, reviewing, revising and establishing the IAEA safety standards.
It articulates the mandate of the IAEA, the vision for the future application of
the safety standards, policies and strategies, and corresponding functions and
responsibilities.

INTERACTION WITH OTHER INTERNATIONAL ORGANIZATIONS

The findings of the United Nations Scientific Committee on the Effects

of Atomic Radiation (UNSCEAR) and the recommendations of international
expert bodies, notably the International Commission on Radiological Protection
(ICRP), are taken into account in developing the IAEA safety standards. Some
safety standards are developed in cooperation with other bodies in the United
Nations system or other specialized agencies, including the Food and Agriculture
Organization of the United Nations, the United Nations Environment Programme,
the International Labour Organization, the OECD Nuclear Energy Agency, the
Pan American Health Organization and the World Health Organization.

INTERPRETATION OF THE TEXT

Safety related terms are to be understood as defined in the IAEA Safety

Glossary (see http://www-ns.iaea.org/standards/safety-glossary.htm). Otherwise,
words are used with the spellings and meanings assigned to them in the latest
edition of The Concise Oxford Dictionary. For Safety Guides, the English version
of the text is the authoritative version.
The background and context of each standard in the IAEA Safety
Standards Series and its objective, scope and structure are explained in Section 1,
Introduction, of each publication.
Material for which there is no appropriate place in the body text
(e.g. material that is subsidiary to or separate from the body text, is included
in support of statements in the body text, or describes methods of calculation,
procedures or limits and conditions) may be presented in appendices or annexes.
An appendix, if included, is considered to form an integral part of the
safety standard. Material in an appendix has the same status as the body text,
and the IAEA assumes authorship of it. Annexes and footnotes to the main text,
if included, are used to provide practical examples or additional information or
explanation. Annexes and footnotes are not integral parts of the main text. Annex
material published by the IAEA is not necessarily issued under its authorship;
material under other authorship may be presented in annexes to the safety
standards. Extraneous material presented in annexes is excerpted and adapted as
necessary to be generally useful.
 CONTENTS

1. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Background (1.1–1.4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Objective (1.5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Scope (1.6–1.10) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Structure (1.11) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

2. GENERAL CONSIDERATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Use of terms (2.1–2.4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Prerequisites for the construction of a nuclear installation
(2.5–2.20) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Interactions with interested parties (2.21) . . . . . . . . . . . . . . . . . . . . . . 9

3. REGULATORY OVERSIGHT OF CONSTRUCTION

ACTIVITIES (3.1–3.13) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

4. THE MANAGEMENT SYSTEM FOR THE CONSTRUCTION

OF NUCLEAR INSTALLATIONS (4.1) . . . . . . . . . . . . . . . . . . . . . . 12

Safety culture (4.2–4.7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Application of a graded approach (4.8–4.9) . . . . . . . . . . . . . . . . . . . . 14
Responsibilities of the licensee (4.10–4.15) . . . . . . . . . . . . . . . . . . . . 15
Activities of the construction organization (4.16) . . . . . . . . . . . . . . . . 17
Project management (4.17–4.25) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Control of design information (4.26–4.34) . . . . . . . . . . . . . . . . . . . . . 20
Management of interfaces (4.35–4.37) . . . . . . . . . . . . . . . . . . . . . . . . 22
Transfer of responsibility (4.38–4.42) . . . . . . . . . . . . . . . . . . . . . . . . . 23
Resources for construction (4.43–4.45) . . . . . . . . . . . . . . . . . . . . . . . . 24
Control and supervision of contractors (4.46–4.53) . . . . . . . . . . . . . . 25
Measurement, assessment and improvement (4.54–4.61) . . . . . . . . . . 27

5. MANAGEMENT OF CONSTRUCTION ACTIVITIES . . . . . . . . . . 29

General considerations (5.1–5.14) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Manufacturing and assembly (5.15–5.45) . . . . . . . . . . . . . . . . . . . . . . 31
On-site construction processes (5.46–5.52) . . . . . . . . . . . . . . . . . . . . . 38

REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
CONTRIBUTORS TO DRAFTING AND REVIEW . . . . . . . . . . . . . . . . . . 45
 1. INTRODUCTION

BACKGROUND

1.1. The goal of construction is to build correctly an approved design. This

Safety Guide sets out an appropriate management process that focuses on the
implementation of various aspects of construction activities. It provides specific
guidance and recommendations to meet the requirements established in The
Management System for Facilities and Activities (GS-R-3) [1], and supplements
the recommendations provided in Application of the Management System
for Facilities and Activities (GS-G-3.1) [2] and The Management System for
Nuclear Installations (GS-G-3.5) [3]. Appendix V of GS-G-3.5 [3] provides some
guidance on the specific processes to be covered in the management system for
the construction of a nuclear installation.

1.2. This Safety Guide is broadly applicable to nuclear installations and

is intended for application in the construction of new nuclear installations and
in carrying out major design modifications1 and refurbishments of existing
nuclear installations. Nuclear installations differ greatly in type, size, radiation
risks, utilization and other characteristics, so that judgement has to be exercised
as to the degree of applicability of this Safety Guide to specific installations
and sites.

1.3. To ensure that newly constructed structures, systems and components

or nuclear installations can be commissioned and operated safely, it is necessary
to meet the relevant safety requirements established in Safety of Nuclear Power
Plants: Design (SSR-2/1) [5], Safety of Nuclear Power Plants: Commissioning
and Operation (SSR-2/2) [6], Safety of Research Reactors (NS-R-4) [7], Safety
of Nuclear Fuel Cycle Facilities (NS-R-5) [8] and Predisposal Management
of Radioactive Waste (GSR Part 5) [9]. For example, Requirement 11 of
SSR-2/1 [5], on provision for construction, states that “Items important to safety
for a nuclear power plant shall be designed so that they can be manufactured,
constructed, assembled, installed and erected in accordance with established
processes that ensure the achievement of the design specifications and the

1
Modifications to Nuclear Power Plants (NS-G-2.3) [4] provides guidance on the
control of activities relating to modifications at nuclear power plants and deals with the
intended modification of structures, systems and components, operational limits and conditions,
procedures and software, and the management systems and tools for the operation of a nuclear
power plant.

1
required level of safety.” This Safety Guide provides recommendations on how
the objective of “achievement of the design specifications and required level
of safety” can be met in practice. In addition, the regulatory authorization
described in Governmental, Legal and Regulatory Framework for Safety
(GSR Part 1) [10] is granted for specific installations in accordance with each
State’s regulatory framework.

1.4. It is recognized that even if the design and commissioning are fully
compliant with all safety requirements, a high level of safety can only
be achieved when the construction is carried out with high quality and care, since
commissioning cannot test all aspects of the design. Therefore, all construction
activities have a potential impact on safety, even though there may be no nuclear
material present during the construction.

OBJECTIVE

1.5. The objective of this Safety Guide is to provide recommendations and

guidance based on international good practices in the construction of nuclear
installations, as currently followed in Member States, which will enable
construction to be of high quality, consistent with the design requirements, and
as agreed by the regulatory body in issuing the authorization for construction.

SCOPE

1.6. This Safety Guide is applicable to the construction stage of a new nuclear
installation and to major modifications and refurbishments of an existing
nuclear installation, including the processes of manufacturing and assembling
of components, carrying out of architectural and civil works, installation and
maintenance of structures, systems and components, and performance of the
associated tests to demonstrate their acceptability. Neither the design stage nor
the commissioning stage is addressed in this Safety Guide, although these stages
may overlap with the construction stage. The specific definition of each stage
may vary for each organization or State.

1.7. This Safety Guide identifies and explains safety significant construction
management activities that should be considered, checked and reviewed to ensure
the quality and safety of a new or modified nuclear installation.

2
1.8. This Safety Guide may be applied to nuclear installations in the
following ways:

—— To support the development, implementation and assessment of construction

methods and procedures and the identification of good practices for ensuring
the quality of the construction to meet the design intent and ensure safety;
—— To assist the regulatory body in its oversight and evaluation of the
construction activities performed;
—— To assist the licensee in providing specifications to a contractor, via
contractual documentation;
—— To assist the licensee in understanding the management aspects that should
be considered when assessing contractors’ qualifications and performance;
—— To assist the licensee in its oversight of the whole supply chain and its
verification of the compliance of contractors with the licensee’s quality and
safety requirements;
—— To assist interested parties in understanding the roles and responsibilities
of different types of contractors.

Contractors may be construction organizations, technical support organizations

or consultants responsible for independent review and assessment, and
organizations responsible for performing third party inspections.

1.9. In this Safety Guide, it is considered that all relevant safety requirements
have to be met in accordance with a graded approach.

1.10. While this Safety Guide focuses on achieving high quality during
construction, which is a prerequisite for the safe and reliable operation of a nuclear
installation, nuclear security aspects should also be considered and evaluated
during construction. Publications in the IAEA Nuclear Security Series provide
guidance on nuclear security issues and should be taken into consideration
throughout the lifetime of the installation, including during site selection, design
and construction [11–16].

STRUCTURE

1.11. Section 2 sets out general considerations including explanations of terms

used and prerequisites for the start of construction. Section 3 provides guidance
on the regulatory oversight of construction activities. Section 4 provides
recommendations on the management system for construction. Section 5 provides

3
recommendations for the management of construction activities, focusing
on construction works on the site and at off-site locations.

2. GENERAL CONSIDERATIONS

USE OF TERMS

Construction

2.1. Construction is the process of manufacturing and assembling the

components of a facility, the carrying out of civil works, the installation
of components and equipment and the performance of associated tests [17]. The
associated tests are those carried out to ensure that the structures, systems and
components have been constructed, manufactured and installed in accordance
with design specifications. Guidance on such tests can be found in the annex
of SSG-28 [18] entitled Listing of Typical Commissioning Tests. Owing
to differences in the construction schedule for each item, the commissioning
and construction stages for the installation may take place concurrently. Hence,
it is difficult to define a precise ‘end of construction’, but the licensee should
ensure that items have been installed, inspected and tested and should obtain
an authorization from the regulatory body before carrying out significant steps
in the commissioning process [19].

Construction organization

2.2. The construction organization is the entity managing the construction

activities, such as civil and architectural works and manufacturing, assembly,
installation and testing of items important to safety at the installation itself.
The construction organization may be part of the licensee or may be a separate,
contracted organization (see Fig. 1). If the licensee appoints a contractor
or contractors to carry out specific functions for construction of part or all of the
installation, the responsibilities of the contractor(s) should be clearly specified
and the work of the contractor should be controlled by the licensee. The
licensee retains the prime responsibility for safety and this responsibility
cannot be delegated through the use of contractors [20]. The licensee, in order
to meet this responsibility, should put in place an oversight process that covers
the management of activities by the contractor or any subcontractors, and the
activities themselves.

4
 Licensee Licensee

Construction organization

Contracted construction organization

Contractors Contractors Subcontractors

FIG. 1. Possible organizational structures for a construction organization.

Contractor

2.3. A contractor is any individual or organization that provides items or renders

services in accordance with a contract or a procurement document. Contractors
may include designers, architects, engineers, manufacturers, assemblers,
installers, distributors, importers, suppliers, technical support organizations and
other consultants and their subcontractors or subsidiaries.

Design organization

2.4. The design organization is the organization responsible for preparation

of the detailed design of the installation to be built.

PREREQUISITES FOR THE CONSTRUCTION OF A

NUCLEAR INSTALLATION

2.5. To ensure the highest level of safety in the construction of a nuclear

installation, the following are necessary:

—— An appropriate legal and governmental infrastructure, including

an independent regulatory body with well-defined responsibilities, authority
and functions;
—— An established regulatory framework, including necessary regulations and
guides, to ensure competent regulation during construction;
—— A well-resourced and technically competent licensee;
—— Well-established safety culture in all involved parties;
—— Suitably qualified and experienced contractors;
—— A technical support infrastructure for the regulatory body and the licensee,
as necessary.

5
2.6. All relevant authorizations should be obtained before construction starts.
If this is not done, the licensee bears the risk that structures, systems and
components may fail to meet the necessary regulatory requirements. However,
in some instances, manufacturing of some items with a long lead time begins
before authorization for the construction is granted by the regulatory body. Such
activity should be brought to the attention of the regulatory body. The licensee
should verify that the design of such items with a long lead time is of the
appropriate standard and is sufficiently complete before construction starts. Any
major safety issues should be resolved prior to construction, when there is greater
flexibility for design changes.

2.7. All applicable licences, permits and approvals required

to initiate construction activities should be in place before construction starts.
Recommendations and guidance for the processes of granting a licence for the
construction and for the required documentation are provided in SSG-12 [19].

2.8. The licensee should identify and understand jurisdictional boundaries and
responsibilities in cases where there is more than one regulatory body governing
a particular area (e.g. regulation at national and provincial levels for occupational
health and safety; regulation of pressure boundaries; regulation of protection
of the environment; and regulation of nuclear security).

2.9. All efforts should be made to ensure that an adequate level of safety
culture is achieved by all parties. This includes the licensee, the regulatory body,
contractors and other interested parties.

2.10. A design schedule, including verification of acceptance criteria and

engineering work, commensurate with the authorization process, should
be drawn up by the design organization and should be verified by the licensee
prior to the start of construction, so that late procurement will not adversely affect
the construction process. Before construction starts, a review of readiness should
be carried out by the licensee or its construction organization to verify that the
design is sufficiently complete and that all engineering documents are available,
and to identify any areas where the design is incomplete. The design organization
should develop an action plan covering any remaining design and engineering
work, and the necessary resource requirements should be agreed with the licensee
and monitored by the licensee as construction proceeds. Changes to the action
plan should be agreed only if safety would not be compromised by any time and
cost pressures resulting from the late completion of design work. Design changes
that could have an impact on safety should be minimized after construction starts

6
and should be recorded by means of a well-defined process, so that demonstration
of the safety of the as built design is achievable.

2.11. The development and qualification of well-defined methods of construction,

transport, inspection or testing that are relevant to safety should be completed
before commencement of these activities, especially for the application
of first-of-a-kind technology2. Non-conformances and deviations should
be minimized by early planning. Adequate resources should be provided for
qualification activities such as research and development activities or verification
tests using mock-ups or full-sized models. The design and construction should
take into consideration the future decommissioning of the installation, as stated
in Requirement 12 of SSR-2/1 [5].

2.12. Particular consideration should be given to nuclear security arrangements

on sites with existing nuclear installations. Guidance on nuclear security
measures is provided in Refs [11–16].

2.13. For sites with existing nuclear installations, the regulatory body should
ensure that the licensees3 of all installations carry out a risk assessment
to determine the possible effects of the construction site on the existing nuclear
installations and the effect of existing installations on the construction site.
Each site should be analysed for site specific risks and for construction method
risks. Possible risks are presented by, but are not limited to, dredging, quarrying,
excavation, blasting, piling, dust, transport and lifting and creation of connections
between the existing installations and the construction site. Preventive measures
should be taken by the affected licensee(s) of the construction site and of other
installations to manage the risks associated with the construction. Further
guidance on interaction with existing installations is provided in paras 5.48–5.50.

2.14. Construction processes and methods should take account of internal

and external hazards. Installations on the site in which potentially hazardous
materials such as explosive, flammable, corrosive, toxic or radioactive materials
are handled, processed or stored should be identified in the risk assessment. The
maximum amount of hazardous material present at any given time and the process
in which it is used should be taken into account. The aggregate effects of such
materials should also be considered. Pipelines for hazardous materials should
be included in the category of items to be identified in the risk assessment. Other

2
Increases in non-conformances and rework are expected when new methodologies are
applied for the first time.
3
In some cases, there may be multiple licensees on the same site or on nearby sites.

7
sources of hazards that should be considered are construction yards, mines and
quarries in which explosives are used and stored, which may cause the temporary
damming of water courses, with possible subsequent flooding or collapse
of ground at the site. GS-G-4.1 [21] and NS-G-3.1 [22] provide further guidance
on other potential sources of external human induced events. To ensure adequate
mitigation of environmental effects and effects from generation of waste from
construction activities at the site, measures for environmental monitoring and
protection and processes to minimize generation of waste should be put in place.

2.15. Necessary fire protection measures at the construction site should remain
available until the fire detection, protection and suppression systems for the
installation are operational. Details of these measures should be included in the
arrangements for emergency preparedness and response.

2.16. For sites with existing nuclear installations, the licensee is required to put
in place arrangements for emergency preparedness and response to ensure the
safety of workers and the public in the case of an accident occurring at or
affecting the construction site [23].

2.17. For sites with existing nuclear installations, arrangements for emergency
preparedness and response should take into account the following:

—— The average and peak employment at the site throughout the construction
or modification project;
—— Training of construction site personnel;
—— Appropriate provision of alarms to alert all personnel at the site, with
account taken of specific construction activities;
—— The risks associated with the various phases of construction.

2.18. In addition, the following issues should be taken into account by the
licensee and the necessary arrangements should be made subject to approval
by the regulatory body, as appropriate, before on-site construction begins,
to ensure quality of the construction:

—— Infrastructure:
●● 
The location of the site and the transport routes, especially for the
transport of large components;
●● 
All arrangements necessary to accommodate the workforce for the
construction site and for later operation of the nuclear installation;
●● 
All necessary infrastructure support systems, including electricity, gas
and water supply.

8
 —— Site characteristics:
●● The marking of the site boundary within which the authorized installation
will be constructed and operated.
●● Procedures for protection or coverage of the site from the weather and
other external conditions after completion of the work and the necessary
environmental qualification.
●● Special construction processes and equipment for which there
is a specific nuclear safety issue. In other cases, normal construction
processes and equipment can be used.
—— The management system and the safety of workers:
●● Provisions of the management system relating to on-site construction
activities;
●● The work hazard analysis report;
●● The manual on construction safety management, including for
management of the handling of radiation sources;
●● The plan for radiation protection of workers, if relevant (for construction
at sites with existing nuclear installations);
●● Design reports of items important to safety identified in the authorization
for construction.

2.19. In cases where construction on a suspended project is being resumed,

special consideration should be given to factors that may affect the restart
of construction. More detailed information can be found in Refs [24] and [25].

2.20. Some site preparation activities, such as geological investigation, may

be carried out before a licence has been granted. Arrangements should be put
in place by the potential applicant for a licence to ensure that, if the results
of these activities are to be incorporated into the permanent works or can have
an influence on them, they are planned, executed, monitored and documented
to standards equivalent to activities that would later be carried out under
the licence.

INTERACTIONS WITH INTERESTED PARTIES

2.21. It is recognized as relevant good practice that interaction with interested

parties of all kinds is continued from the siting stage throughout the construction
stage by both the regulatory body and the licensee.

9
 3. REGULATORY OVERSIGHT OF CONSTRUCTION
ACTIVITIES

3.1. Four related IAEA Safety Guides provide recommendations on meeting

the requirements (now established in GSR Part 1 [10]) concerning particular
responsibilities and functions of the regulatory body in the regulation
of nuclear installations. These four Safety Guides cover, respectively, the
organization and staffing of the regulatory body [26], regulatory review and
assessment [27], regulatory inspection and enforcement [28], and documentation
relating to the regulatory process [29]. In addition, SSG-12 [19] provides details
of the documentation that is required to obtain an authorization for construction
from the regulatory body. GSG-4 [30] provides guidance on the use of external
expert support by the regulatory body. The recommendations in this present
Safety Guide refer specifically to regulatory oversight of construction and are
supplementary to, and should be read in conjunction with, the recommendations
provided in these publications.

3.2. The aim of regulatory oversight is to verify that the licensee is in compliance
with the conditions set out in, for example, the authorization or regulations.
In addition, regulatory oversight should take into account, as necessary, the
activities of contractors of services and products to the licensee. Regulatory
oversight does not relieve the licensee of its prime responsibility for ensuring
safety [20].

3.3. Regulatory oversight during construction should include the management

system of the licensee and its control of contractors and subcontractors, as well
as the monitoring and direct observation of construction work practices and items
and equipment used in construction. It should include inspection and assessment
of safety related construction activities through such methods as discussions
and interviews with relevant personnel, and examination of procedures, records
and documentation. The oversight should also include inspecting results
of measurements and tests, and witnessing selected activities.

3.4. Well in advance of the start of construction, the regulatory body should
schedule resources to ensure consistent and responsive oversight, in accordance
with the progress of the construction activities. Inspectors should be suitably
qualified, trained and experienced in order that their competencies are consistent
with the planned construction activities.

10
3.5. The regulatory body should develop requirements or guidelines governing
its oversight of construction activities in accordance with a graded approach
(see para. 4.8). The graded approach should extend to contractors that are
manufacturing and assembling items important to safety.

3.6. The regulatory body should implement an oversight programme that

is consistent with the construction plan detailed by the licensee as part of its
application for authorization for construction.

3.7. In order to properly implement an oversight programme during construction,

the arrangements for communication between the licensee and the regulatory
body and any other authorized bodies, as appropriate, should be formally defined
and agreed before construction begins. Communication should take place
on a regular basis and detailed information on scheduling should be transmitted,
so that the regulatory body can plan to inspect specific construction activities and
review relevant documentation.

3.8. Prior to authorizing construction, the regulatory body should review and
assess the arrangements, procedures and quality assurance programmes for
implementing or modifying the design.

3.9. During construction, the regulatory body should review, assess and inspect
the following, as appropriate:

—— Proposed design changes, non-conformances or safety significant events,

as reported through the licensee’s management system;
—— On a systematic basis, the development of the design of the installation
as demonstrated in the reports and safety documentation submitted by the
applicant or licensee in accordance with an agreed schedule;
—— The progress of research and development programmes relating
to demonstration of the design, if applicable;
—— Documents relating to the detailed design, to ensure that such documents
are adequate and produced in a timely manner so that they can be properly
incorporated into the construction project.

3.10. To gain assurance that the licensee has met the regulatory requirements
and may be permitted to move forward in the construction project, or following
a major deviation from the requirements, the regulatory body may impose ‘hold
points’ on the licensee, such as excavation to rock head or formation level,
first concrete, installation of major safety significant equipment, fuel on-site
or entering commissioning. Hold points should be specified by the regulatory

11
body and communicated to the licensee as early as possible to allow them to be
taken into account in planning and scheduling activities. Hold points should
be carefully selected to:

—— Enable observability or testability of the construction, especially before

irreversible steps of safety significance are taken;
—— Check preparations of the construction organization to progress to the
next stage.

If non-conformances are identified, the regulatory body may require the licensee
to establish an action plan to correct deficiencies, in order to be permitted
to progress beyond a hold point. It is key to the timely addressing of such
issues that the licensee provides the regulatory body in a timely manner with
information on all non-conformances.

3.11. The regulatory body should put in place provisions to receive and address
any matters raised by other parties concerning the safety of construction.

3.12. The regulatory body should require appropriate corrective actions

to be carried out by the licensee to correct non-conformances and to prevent the
recurrence of safety significant events.

3.13. The regulatory body should arrange for analysis to be carried out to identify
lessons from the experience gained by the regulatory body and by the licensee
during construction. The regulatory body should establish arrangements
to disseminate lessons within the regulatory body and to authorized parties and
other relevant interested parties.

4. THE MANAGEMENT SYSTEM FOR THE

CONSTRUCTION OF NUCLEAR INSTALLATIONS

4.1. The following recommendations provide a means of meeting the

requirements of GS-R-3 [1] for the construction of nuclear installations. They are
supplementary to, and should be read in conjunction with, the recommendations
provided in GS-G-3.1 [2] and GS-G-3.5 [3]. Since construction work has
significant impact on the future safety of a nuclear installation, an integrated
management system covering construction should be implemented to ensure that

12
safety matters are not dealt with in isolation but are considered within the context
of all construction activities.

SAFETY CULTURE

4.2. A strong safety culture is important for all stages of the lifetime of a
nuclear installation. In the construction stage, a strong safety culture includes
the characteristics and attitudes that promote high quality construction to ensure
safety in the future commissioning, operation and decommissioning stages. This
involves an understanding by all individuals that deviations from procedures and
specifications or a lack of appreciation of the safety significance of structures,
systems and components may have unforeseen consequences in the future.

4.3. A construction project involves challenges such as planning and execution

of work under time and budget pressures, managing the employment of temporary
workers with various levels of skill and, on some occasions, from various cultures
and with various languages, and of numerous contractors, and undertaking work
influenced by weather conditions and the external environment. In addition,
construction necessarily involves managing change and people on a continual
basis. Such factors are known to be some of the main challenges to safety culture.
Conflicts between schedules, costs and safety goals should not adversely affect
conservative decision making or the open and questioning attitudes of individuals.

4.4. Safety culture should be developed in all individuals in all participating

organizations, with account taken of their roles in terms of safety significance.
The construction project and the construction methods should be developed
and implemented in such a way as to help all interested parties involved in the
construction project to strengthen safety culture, particularly in organizations less
familiar with nuclear safety requirements. A system should be established for the
training of personnel who have transferred to projects for the construction of a
nuclear installation from other industries, to make them aware of the additional
issues associated with nuclear safety.

4.5. Safety culture and its promotion should be considered as part

of the evaluation of contractors by the licensee. Evaluation should cover not only
contractors’ organizations but also their staff. The licensee should put in place
adequate systems and procedures to monitor the safety culture in contractors’
organizations and among their staff throughout the construction process.

13
4.6. The licensee should ensure that all contractors and subcontractors are fully
aware of the safety significance of the work that they have been contracted to do.
Such awareness of safety should be ensured for all tasks, including common
construction work such as anchoring or cable sheathing, since contractors may
not have experience of working for the nuclear industry. The licensee should
encourage contractors to demonstrate a questioning attitude if any aspect of the
work specified seems unusual or is not fully understood, or if any situation
occurs during the course of the work that could affect the quality of the finished
component or service.

4.7. The licensee should put in place a process that enables workers to report
non-conformances and safety concerns to the contractor management, the
construction organization or the licensee itself. A good safety culture would
encourage open reporting, but some States have determined that it is good
practice to enable anonymous reporting. All workers should also be aware of the
process for reporting safety concerns directly to the regulatory body.

APPLICATION OF A GRADED APPROACH

4.8. A graded approach to the application of the safety requirements, based

on the relative importance to safety of each item, service or process, should
be taken during all construction activities. The graded approach should reflect
a planned and recognized difference in the application of specific management
system requirements, for example, those relating to quality assurance.

4.9. In developing the graded approach, the following aspects should also
be considered:

(a) The qualification of special construction processes, such as welding

or non-destructive testing, and the qualification of the personnel that will
carry out these processes;
(b) The need for and extent of plans for inspection and testing, and the
necessary level of detail;
(c) The safety significance of equipment, materials, procedures, records and
other documents;
(d) The extent of in-process controls and the need for hold points;
(e) The level of complexity of the activity;
(f) Whether the activity is a first-of-a-kind activity;
(g) The risks associated with the activity.

14
RESPONSIBILITIES OF THE LICENSEE

4.10. SSR-2/2 [6] states:

“During construction and commissioning, the plant shall be monitored,

preserved and maintained so as to protect plant equipment, to support
the testing stage and to maintain consistency with the safety analysis
report” (para. 6.14).

This requirement is applicable to the licensee for the construction of nuclear

installations in general.

4.11. The licensee has a responsibility to ensure that the nuclear installation
is built in accordance with all legal and regulatory requirements.4 The licensee
may contract construction but it retains the prime responsibility for safety, quality
and security.

4.12. The licensee should develop and maintain its capability to control all
activities for which the licence has been granted.

4.13. During construction, the licensee should retain responsibility for all
activities that could affect the safety of the installation, irrespective of the location
where the activities are carried out. This includes:

—— The development and implementation of a management system covering

construction activities to ensure the required quality for safety of the
installation [1–3]. The licensee should establish a plan for supervision
of construction for the items important to safety that includes independent
audits, surveillance of the quality of products, hold points and walk downs.
—— The specification and retaining of its core capability to be an ‘intelligent
customer’5 in its oversight and contracting processes.

4
Where multiple jurisdictions and requirements exist, requirements or standards may
not be aligned in all cases. In such cases, all applicable legal and regulatory requirements have
to be met.
5
An ‘intelligent customer’ capability is the capability of the organization to have a clear
understanding and knowledge of the product or service being supplied. The intelligent consumer
concept mainly relates to a capability required of the organization when using contractors or
external expert support [30].

15
 —— The taking and maintaining of ownership of the safety case, especially for
the information provided by contractors, the design organization or the
construction organization.
—— Internal and external audits [2, 3] of the management system of contractors
on the basis of a graded approach. The licensee should conduct surveillance
to verify that the contractors’ activities are in compliance with all relevant
safety requirements from both a technical perspective and the perspective
of the management system.
—— The establishment of a construction project with hold points in the
construction processes, where approval may be required (possibly by the
regulatory body) prior to proceeding to the next stage.
—— Inspections, tests and verification of items important to safety. The
regulatory body itself verifies such inspections, tests and verifications but
this does not remove the licensee’s responsibility for performing them.
—— A process for dealing with design changes, non-compliances and events.
—— The reporting of safety significant design changes, non-compliances and
events, as required by the regulatory body.
—— Ensuring that appropriate records relevant to safety are established and
preserved, in particular appropriate records that are relevant to each stage
in the lifetime of the installation and to ageing management.
—— The preparation for the commissioning programme, with account taken
of tests performed during construction.
—— The transfer of documentation when moving from construction
to commissioning.

Construction manager

4.14. The licensee should formally appoint an individual from its own
organization as the construction manager to be responsible for construction
activities. The construction manager has the responsibility of ensuring that the
construction meets all relevant safety requirements.

4.15. The construction manager should have access to the necessary resources
to establish a construction organization that may include contracted staff
or even comprise a fully contracted organization (see Fig. 1). If the construction
organization is a fully contracted organization, its roles and responsibilities and
those of the licensee should be defined and documented and should be subject
to agreement by the licensee’s construction manager. The management structure
of the construction organization should specify the levels of responsibility
of groups within it, including the responsibilities of all its contractors.

16
ACTIVITIES OF THE CONSTRUCTION ORGANIZATION

4.16. The principal activities of the personnel in the construction organization

should include the following, as a minimum:

(a) Controlling and monitoring contractors involved in safety significant

issues both on the site and off the site, including in activities involving
manufacturing and assembly;
(b) Ensuring that the construction organization and contractors are established
on the site in a controlled manner in allocated areas and are provided,
where appropriate, with the necessary site services, information and
instructions with regard to the applicable nuclear safety and industrial
safety requirements;
(c) The identification of generic construction activities, and the development
and maintaining of guides on the use of standardized instructions and
procedures and on good practices;
(d) The preparation of safety related working procedures, including
industrial, environmental and safety procedures, for issue
to the personnel of the construction organization and contractors, and the
verification that the industrial safety arrangements of the construction
organization and contractors on the construction site comply with the
applicable requirements;
(e) The monitoring of nuclear safety and industrial safety policies and
of the activities of all personnel, to ensure compliance with statutory and
regulatory requirements with regard to quality and safety;
(f) The planning and monitoring of the progression of work to fulfil the
construction project and meet the schedule, including, where appropriate,
coordination of the activities of contractors responsible for constructing
structures, systems and components that interface with other installations
on the site;
(g) Ensuring that work carried out by the construction organization itself
or by its contractors is in accordance with procedures, specifications
and drawings, and that safety and quality requirements are specified and
implemented and that inspections and tests, including those conducted at the
facilities of suppliers, are appropriate and in accordance with inspection
and test plans and associated surveillance schedules;
(h) Ensuring preservation of installed equipment, by carrying out maintenance
of the equipment as required, ensuring proper care of equipment that could
deteriorate during construction, such as equipment for dehumidification
of electrical equipment and preservation of critical surfaces that could rust,

17
 and the performance of adequate housekeeping activities to protect open
equipment against intrusion of foreign materials and contaminants;
(i) The conduct of inspections of structures, systems and components to obtain
relevant baseline data for comparative purposes during in-service inspection;
(j) Arrangement of the controlled handover of work and records from one
group to another;
(k) The acquisition, installation or maintaining of material samples for a long
term monitoring and analysis programme of ageing material;
(l) Ensuring that adequate documentation is produced to demonstrate
such aspects as due diligence, compliance with regulations, filing
of non-conformance reports and corrective actions, through auditing
of procedures and surveillance of construction activities.

PROJECT MANAGEMENT

4.17. The following recommendations are provided in addition to those provided

in paras 5.43–5.61 of GS-G-3.5 [3] and the information provided in Ref. [31].

Construction management

4.18. Construction management is a leadership function primarily concerned

with the organization of processes, the coordination of activities and the control
of resources (human, informational and material resources) on a large scale and
under many external constraints, in order to build an approved design correctly.

4.19. The construction organization should put in place contingency plans for
critical on-site construction activities, including measures to cope with electrical
power outages, loss of water supply, disruption of concrete batching or pumping
and any other interruptions that may cause unexpected deterioration in the quality
of work.

4.20. Construction management processes as well as construction work processes

should be defined and documented. They should take due account of safety,
security and environmental impact.

4.21. The licensee, the construction organization and other contractors should
have adequate organization, resources, experience, competence and procedures
to manage the construction of a nuclear installation and should maintain
documentation to demonstrate these. Experience has shown that construction

18
projects can involve the use of temporary workers with various skills, within
multiple layers of contractors and subcontractors, from various States, with
various languages, cultures and legal and regulatory backgrounds, and different
conventions for measurements (e.g. units, measurement methodologies,
measurement equipment or devices). Such types of difference should be taken
into account in developing the project management system and in selecting
project managers.

Management to ensure compliance with all requirements

4.22. A system should be established to ensure that applicable inputs, such as legal
and regulatory requirements and requirements of the licensee for ensuring safety
and quality, are correctly translated into specifications, drawings, procedures and
instructions. The application of the technical design requirements in separate
project disciplines should be reviewed for its coherence by competent personnel
before the start of construction. The requirements and any changes thereto should
be controlled, so that safety related activities and items important to safety are
consistent with the applicable requirements6.

4.23. Compliance with all relevant safety requirements, including the

establishment of a strong safety culture and quality management, should
be ensured for all relevant parties, including contractors, from the time
of awarding of contracts to completion of the work. GS-G-3.1 [2] provides
recommendations on procurement requirements.

4.24. The regulatory body and the licensee in the State in which components will
be used may each impose specific requirements that differ from the specification
that would be normal for the State in which the component is manufactured
or assembled. The licensee should ensure that the relevant requirements are
known, understood and accepted by all parties that make up the supply chain. Any
conflict or difference of opinion should be resolved during the planning stage.

4.25. The licensee should ensure that all information supplied by the design
organization is sufficiently clear and explicit to convey all the relevant requirements
to the contractors selected for the construction and, where appropriate, for the

6
The word ‘requirements’ refers to requirements not only from applicable laws and
regulations, or derived from the IAEA Safety Fundamentals and Safety Requirements, but
also from contractual agreements, applicable codes and standards, and any other source of
requirements to which the licensee must conform.

19
testing and commissioning of items important to safety. Excessive reliance should
not be placed on mere quoting of codes and standards. Additional supervision
should be provided in cases where the supply of components for subcontracted
equipment is further subcontracted down the supply chain, to ensure competence
and compliance with the original requirements.

CONTROL OF DESIGN INFORMATION

4.26. SSR-2/1 [5] states:

“The operating organization shall establish a formal system for

ensuring the continuing safety of the plant design throughout the
lifetime of the nuclear power plant” (Requirement 3).7
“The formal system for ensuring the continuing safety
of the plant design shall include a formally designated entity
responsible for the safety of the plant design within the operating
organization’s management system” (para. 3.5).

4.27. SSR-2/2 [6] states:

“During construction and commissioning, a comparison shall

be carried out between the as built plant and its design parameters.
A comprehensive process shall be established to address
non-conformities in design, manufacturing, construction and
operation. Resolutions to correct differences from the initial design
and non-conformities shall be documented” (para. 6.15).

4.28. Furthermore, NS-R-5 [8] states:

“The operating organization shall specify a formal procedure for

design changes such that those made to the facility during construction
are accurately recorded and their impacts are assessed” (para 7.6).
“‘As built’ drawings of the facility shall be provided to the operating
organization. Following construction of the facility, the operating

7
In practice, for an authorized facility, the operating organization is normally also the
licensee [17].

20
 organization shall review the as built drawings to confirm that, as far
as can be assessed, the design intent has been met and the safety
functions specified will be fulfilled. The operating organization shall,
as required, seek agreement by the regulatory body to proceed to the
commissioning stage” (para. 7.7).

4.29. Arrangements for communication should be established between the design

organization(s)8 and the construction organization, and between the construction
organization, its contractor(s) and the licensee, where appropriate, to deal with
queries concerning the design.

4.30. The licensee should control the drawings, the use of design codes and the
construction documentation that describe the basis for licensing the construction,
commissioning and operation of the nuclear installation in order to maintain
control of the design.

4.31. A process should be established to address proposals from the contractor(s)

for changes to the design. If a proposal has an implication for safety during
commissioning, operation or decommissioning, the design organization(s),
licensee and regulatory body, as appropriate, should be involved in its resolution.

4.32. Comprehensive photographic records and, where appropriate, video records

and computer simulations should be compiled, particularly for areas that will later
be inaccessible or will be subject to high levels of radiation. Such information will
facilitate the planning of work in these areas during commissioning, operation
and decommissioning. Such visual records of as built conditions made during
construction should show identification marks and should be comprehensively
catalogued with descriptive captions. This will ensure that visual records made
during subsequent inspections or maintenance work can be easily compared, and
will help in any preparation for work.

Traceability

4.33. The traceability of items important to safety from their initial design
through to construction and then to commissioning and to later stages in the
lifetime of the installation is necessary for ensuring safety. The licensee should
ensure that processes are put in place to ensure traceability and should collect and

8
There may be a supply chain for the design in parallel to the construction supply chain.

21
store such records as required by itself and by the regulatory body. The records
to be collected and stored to ensure traceability include the following:

(a) As built drawings;

(b) Manufacturing and assembly details;
(c) Inspection reports;
(d) On-site traceability records including marking and tagging;
(e) Construction and test records (to be used as baseline data);
(f) Design calculations;
(g) Documentation of design changes and non-conformances;
(h) Details of equipment qualification.

The licensee should be responsible for ensuring that the traceability records that
are required to be provided by the construction organization are indeed provided.

4.34. The requirements for traceability for items important to safety should extend
through all equipment, materials, procedures, records and other documents,
to ensure that items important to safety are constructed to the appropriate quality
level for their safety classification.

MANAGEMENT OF INTERFACES

4.35. Interface arrangements should be specified and should be agreed between

the licensee, the construction organization (if this is not part of the licensee),
the design organization, contractors and other organizational units performing
the work. The interface arrangements should be specified in the documentation
of the management system and should be included in procurement documents,
as appropriate.

4.36. The construction organization should establish and implement a suitable

communications plan to link on-site and off-site construction activities in an
adequate and timely manner. This communications plan should also include the
design organization and the licensee, as appropriate.

4.37. The construction organization should define processes for identifying and
resolving conflicts and misunderstandings between contractors, such as conflicts
concerning construction schedules, activities, tools or workspaces.

22
TRANSFER OF RESPONSIBILITY

Transfer of responsibility during construction

4.38. Appropriate rules and procedures should be established and documented

by the construction organization to control and coordinate the handover
of completed works from one contractor to another in order to maintain the
integrity of the completed works. Rules and procedures for access control for
items important to safety and working areas should also be documented and
should be implemented for the transfer. Such rules and procedures should
be made subject to approval by the licensee for use in the construction project.

4.39. When items important to safety and working areas are to be transferred
between groups within the construction organization or contractors, both parties
concerned should conduct a joint check of the transferred items and the associated
documents together at the location of the transfer. Configuration of the items and
working areas should be agreed to by both parties, along with any deficiencies
that have been identified.

4.40. After transfer, any remaining work or corrective actions by the previous
party should be carried out only with appropriate authorization by the new party.

Transfer to commissioning

4.41. The licensee should ensure that provisions are established and implemented
to control and coordinate the handover from construction to commissioning.
Such provisions include the following:

(a) Documentation relating to the items to be transferred should be reviewed

by the construction organization and the receiving party for completeness
and accuracy.
(b) Tests to ensure that the structures, systems and components have been
constructed, manufactured and installed in accordance with design
specifications should be carried out and the results should be recorded.
(c) Any remaining non-conformances or incomplete items should be identified
and assessed to ensure that there will be no safety implications during
commissioning activities.
(d) Any outstanding work should be agreed, planned and scheduled.
(e) Termination points, which identify the boundaries of transferred systems
and equipment, or transferred parts of systems and equipment, should

23
 be clearly identified in transfer documentation, together with the associated
required configuration (for example, open/close of valves).
(f) An inspection of transferred items and associated records and documents
should be conducted.
(g) The transfer of responsibilities should be recorded.
(h) Approved as built plans should be transferred together with adequate and
precise configuration details for the installation.
(i) All structures, system and components transferred should be marked
or tagged in accordance with the documentation.
(j) All temporary devices should be identified.

4.42. In order to enable adequate maintenance and ageing management once the
installation is in operation:

(a) The level of technical detail in the transfer documentation should

be sufficient to allow the licensee to identify parts and order replacements
for maintenance.
(b) The licensee should be provided with a copy of all other relevant
information, in addition to the transfer documentation.

RESOURCES FOR CONSTRUCTION

Provision of resources for construction

4.43. The licensee and the construction organization should ensure that
sufficient suitably qualified and experienced workers are available as required
for the construction project. Processes should be put in place to ensure initial
qualification and continuous qualification of workers.

4.44. Resources should be estimated, planned and secured for the construction
of items important to safety consistent with the project schedule, particularly for
items that have a long lead time.

Training of the licensee’s personnel

4.45. Licensee personnel who will be involved in the commissioning,

operation and maintenance of the nuclear installation should be involved, as far
as practicable, during the construction, so that they undergo hands-on training
to gain additional expertise in operation, maintenance and technical support.

24
CONTROL AND SUPERVISION OF CONTRACTORS

Evaluation and selection of contractors

4.46. The licensee should be notified of the proposed contractors for the supply
or manufacture of items important to safety, or for the provision of safety
significant services. Depending on the agreement between the licensee and the
construction organization, the licensee’s approval may be necessary.

4.47. A graded approach should be applied to the development of criteria for

the evaluation and selection of contractors and suppliers providing materials,
products and services.

Oversight of contractors

4.48. Where contracted services are an integral part of construction, there are
specific challenges to the oversight of contractors to ensure safety during all
stages in the lifetime of the installation (see para. 4.3). The use of contracted
services tends to be greater in the following situations: an insufficient availability
of nuclear expertise within the licensee; a supply chain that extends to other
States; first-of-a-kind projects; and turnkey projects. These situations create
challenges relating to: the retention of expertise; the effective management of the
interfaces between the licensee, the construction organization and its contractors;
and the oversight of the quality of manufacturing by contractors in the context
of greater multinational diversity and supply chains that extend to other States.

4.49. The extent of oversight of a contractor’s activities by the licensee and/or the
construction organization should be based on a graded approach. The extent
of oversight will depend on the following:

—— The safety significance of the item or service;

—— The experience of the licensee and the contractor in relation to the products
or services being procured;
—— The presence of any first-of-a-kind features;
—— The complexity of the work or service;
—— The expertise needed to carry out the work or service;
—— The extent of evidence available that the appropriate quality has
been achieved;
—— The use of independent third party inspections;
—— Legal and regulatory requirements.

25
The licensee should be notified of the results of the oversight performed by the
construction organization on safety related matters and, if necessary, should
be able to present the results to other interested parties.

4.50. Before initiating any activity following the award of a subcontract,

the contractor should demonstrate to the construction organization, and
to the licensee if required by the licensee, that the contractor is fully aware of all
relevant requirements for the activities. The safety requirements specific to the
subcontract should be specified, which should cover the following:

(a) Applicable safety requirements for the item to be manufactured or built;

(b) Interface arrangements;
(c) Arrangements for communication;
(d) Documents and information to be submitted, including non-conformance
reports and evidence that the as built items meet the safety and
quality requirements;
(e) The management system, including adequate safety culture and oversight
and arrangements for supervision.

In addition, if the contractor(s) is working on the site, additional requirements

should be specified, which should cover the following:

(a) Housekeeping;
(b) Security of the site;
(c) On-site training.

The arrangements that the subcontractor will make to satisfy these requirements
should be finalized and agreed before the subcontractor starts the activity. The
licensee should be notified of these arrangements, for its approval, as appropriate
(particularly if the construction organization is not part of the licensee). An initial
kick-off meeting attended by all parties, including the licensee, should be held
to verify all these issues.

4.51. The construction organization should be informed of all the subcontractors

selected by the contractor. Any new subcontractors appointed after the initial
agreement is made should be made known to the construction organization and
should be agreed before relevant work begins.

4.52. The construction organization should organize regular meetings with

contractors and subcontractors to review and ensure implementation of the
requirements of the construction organization.

26
4.53. Each contractor should conduct regular pre-job meetings to discuss work
processes, the schedule, deviations and any other important aspects of work
relevant to safety and quality.

MEASUREMENT, ASSESSMENT AND IMPROVEMENT

Assessment of the management system

4.54. Project management processes and their performance should

be assessed periodically by the licensee or, where appropriate, by the construction
organization. An assessment of progress should also be made to provide early
diagnosis of problems in performance, planning or provision of resources.
Techniques that should be considered to avoid compromising the quality of the
work include the application of early remedies, adjustment of human resources,
revision of the schedule and renegotiation of contracts.

4.55. Independent assessment programmes should be established and

implemented to address issues of competence in project management [2].

Non-conformance and corrective actions

4.56. A system should be established by the licensee for collecting all identified
non-conformances, and recording and processing them accordingly. All
individuals engaged in construction should be made aware by the licensee
that they are expected to identify and report non-conformances. The system
should define what a non-conformance is and should specify the roles and
responsibilities of the licensee, the construction organization and contractors
in reporting non-conformances and correcting them. The system should cover the
investigation of any non-conformances identified, and should establish why they
arose, with the aim of preventing recurrences.

4.57. Non-conformances of safety significance should be treated as events

by the licensee, and should be resolved by means of a corrective and preventive
action programme in a graded manner. The process of determining the safety
significance of the non-conformance and the necessary corrective and preventive
actions should involve appropriate experts, including the design organization,
if necessary. Care should be taken to ensure that the aggregation of a number
of more minor non-conformances does not lead to unforeseen consequential safety
significant changes. A process should be put in place for obtaining, as required,
regulatory approval of safety significant corrective and preventive actions.

27
4.58. The licensee should maintain records of the corrective and preventive
actions taken to resolve non-conformances. The effectiveness of the process for
resolving non-conformances should be monitored.

4.59. Owing to the challenging nature of construction projects (which can involve
tight schedules, new technology or limited availability of resources), extended
timescales may be required to correct non-conformances, and non-conformances
may remain as pending issues even after the handover of responsibilities from one
party to another. The implementation of preventive actions should not be delayed
unnecessarily if corrective actions require an extended time period. Any pending
issues relating to non-conformances and corrective actions should be tracked
to completion by the licensee. Records should be maintained and relevant parties
should be informed.

Feedback on experience from construction

4.60. Experience in construction and examples of good practices, not only from
the nuclear installation at hand but also from the construction of other nuclear
and non-nuclear installations, should be collected by the licensee, and any lessons
should be disseminated for the enhancement of quality and safety within the
industry. Criteria should be established for the reporting of construction related
experience and measures should be put in place to ensure the dissemination
of such information to relevant parties in the nuclear industry as a whole.
Mechanisms should be put in place to enable the sharing of construction
experience in a systematic and timely manner.

4.61. The licensee should be proactive in sharing safety relevant experiences

to relevant parties in the State and at an international level.

28
 5. MANAGEMENT OF CONSTRUCTION ACTIVITIES

GENERAL CONSIDERATIONS

Planning, scheduling and sequencing of work

5.1. Construction activities should be properly planned, scheduled and

sequenced. The plan should specify, for instance:

—— The activities to be performed, in manageable units. Complex activities,

such as verification and validation for digital instrumentation and control
systems and environmental and seismic qualification of items important
to safety, should be planned carefully.
—— The planned sequential order (taking into account prerequisites) and the
duration of these activities.
—— The resources allocated for each activity.

5.2. The construction schedule should be managed continuously by the

construction organization during the construction and should be communicated
to relevant parties. The construction project should be fully integrated with
a procurement programme in which emphasis is placed on items with a long
lead time. Where the procurement of items with a long lead time starts before
the construction licence is issued, and possibly before the construction
organization is in place, the licensee should ensure that procured items important
to safety achieve the design specification and the required level of safety. The
regulatory body should be provided with regular and timely updates of the
construction schedule.

5.3. The planning, scheduling and sequencing of work should include hold points
as necessary. These may be specified by the licensee and the regulatory body.

5.4. The planning, scheduling and sequencing of work should include

requirements for off-site manufacturing and assembly under an adequate
management system including a quality assurance programme. All contractors
should have in place a quality assurance programme, which should be consistent
with that of the licensee.

5.5. Specifications, documents, drawings, plans and schedules should specify

which manufacturing, assembly, installation, inspection and testing activities

29
should be performed on the site and which provisions are to be made to carry
them out adequately.

5.6. The construction organization should ensure that on-site manufacturing and
assembly of items important to safety are capable of producing an acceptable
product that meets safety and design requirements and also applicable codes
and standards.

5.7. On-site manufacturing and assembly should be located such that these
activities will not affect adjacent items important to safety or other activities that
may affect items important to safety.

5.8. The design organization should ensure that the design can be constructed
using established processes (see Requirement 11 of SSR-2/1 [5]). The
construction organization should verify the adequacy of construction methods
with reference to the design organization where necessary. Early involvement
of contractors can influence design options at the appropriate stage by enabling
the construction methods of constructors to be taken into account. There should
be regular meetings at which the contractor’s construction methods are discussed
with the design team, as there is a potential for the contractor’s construction
methods to undermine design assumptions. Assessment of the risks associated
with construction and the reduction of such risks by suitable choices in design
is a statutory requirement in some States.

5.9. The sequencing of construction activities should ensure that prior

construction work (such as items embedded in walls or in the ground) will not
be adversely affected by later construction works. Special consideration should
be given to the form of cast-in items and installation fixings, as the postdrilling
of concrete for the installation of fixings may be unacceptable and may undermine
safety; this should be done only in exceptional cases and after due consideration.

Procurement specifications

5.10. Procurement specifications should be developed with sufficient lead time

to ensure that items important to safety will be provided in such a way that the
achievement of the design specifications and the required level of safety can
be assured. More information on the preparation of procurement requirements
is provided in GS-G-3.1 [2].

30
5.11. The procurement specifications relevant to items important to safety should
emphasize the safety requirements relevant to the technical characteristics of the
items, safety culture and quality management.

5.12. The safety classification of items important to safety should be included

in the procurement specifications so that the supplier can determine the necessary
codes and standards (including inspection requirements), where these have not
been specified by the design organization. If the supplier determines codes and
standards, this should be made subject to the formal agreement of the design
organization or the licensee. Any change in the safety classification should
be notified to the supplier and the impact on equipment that has already been
manufactured should be assessed.

5.13. Procurement documents for items important to safety should specify the
requirement for an ‘end of manufacturing report’ (or an ‘end of assembly report’
if appropriate). This should include:

—— A compliance certificate;
—— Inspection and test results;
—— Non-conformance reports;
—— Procurement records;
—— Instructions for storage, installation, testing and preservation;
—— Operation and maintenance manuals;
—— Operational limits and conditions;
—— Training requirements for personnel;
—— As built drawings;
—— A bill of materials with a list of raw materials, sub-components, components
and parts and the quantities of each.

5.14. Particular consideration should be given to the procurement of commercial

grade components or products that are proposed for any safety function. The
suitability of commercial grade products or components should be verified
as described in paras 5.35–5.37 of GS-G-3.5 [3].

MANUFACTURING AND ASSEMBLY

5.15. The licensee’s management system, covering the quality assurance

programme for manufacturing and assembly activities, should provide for the
review of procurement documents for the item to be manufactured or assembled,
in order to determine which regulations, codes, standards and other requirements

31
are applicable during manufacturing and assembly. The regulatory requirements,
design requirements and other requirements set out in procurement documents
should be met, as appropriate, in manufacturing drawings, specifications,
inspection and test plans, procedures and work instructions.

5.16. During the planning phase for manufacturing and assembly, consideration
should be given to such factors as:

(a) Understanding the manufacturing implications of the design.

(b) The procurement of items on construction critical paths and items with
a long lead time.
(c) Clean conditions and other environmental controls to meet requirements
and to achieve the required quality. Such conditions and controls may
include dust free or inert atmospheres, humidity controls, temperature
controls and control of the chemical composition of water.
(d) The location of assembly of the equipment.
(e) Handling, storing, packaging and delivery requirements.
(f) The application of new techniques in manufacturing, assembly, inspection
and testing.
(g) Equipment qualification tests and associated tests.
(h) The need for inspections and tests specified by the design organization
and the regulatory body, and those deemed necessary by the manufacturer
to control quality and to ensure the process has been followed.
(i) The need to develop, qualify and control any new manufacturing
or assembly processes.
(j) Processes that are complex or sensitive, or which require extensive set-up,
special equipment or special training.
(k) Compatibility of cleaning methods and materials with the items
to be cleaned.

5.17. The licensee should ensure that each manufacturer’s management

system includes the identification and control of processes where the results
cannot be fully verified by subsequent inspection and testing, and processing
non-conformances may become apparent only after the item is in use
or in operation.

5.18. Special equipment, such as tooling, jigs, fixtures, unique inspection gauges,
computers and computer software used in the manufacturing or assembly process
should be properly qualified or validated. Personnel using the equipment should
be trained and should be aware of any limitations in its use.

32
5.19. The licensee and the construction organization should establish and
implement requirements and procedures for the verification of the quality
of manufacturing and/or assembly (including the quality of materials and
procedures) of items important to safety.

5.20. The technological expertise of the contractors should be verified

by the licensee and/or the construction organization, before the procurement
requirements are specified. Augmented monitoring and inspections, if necessary,
should be employed to verify that new manufacturing techniques and new types
of equipment meet relevant design requirements.

5.21. All items important to safety should be inspected and tested by the
manufacturer in accordance with the requirements established in the procurement
specifications. The traceability of individual items important to safety or the
identification of batches of such items, as appropriate, should be highlighted
in the inspection and test plan.

5.22. If appropriate, before components are transported to the site, they should
be preassembled and match-marked, to ensure their proper re-assembly
at the site.

Prerequisites for construction works

5.23. If the final design is not available at the start of construction work, the
action plan developed by the design organization (see para. 2.10) should ensure
that the outstanding design documentation is completed a sufficient time
in advance to ensure the quality of instructions, procedures and drawings and
to make appropriate preparation for the work.

5.24. Contractors should obtain the approval of the licensee and/or the
construction organization before beginning work. Contractors should ensure
they have relevant, up to date information, including the work schedule,
instructions with drawings and compatible consumables prior to performing each
construction activity.

Work and environmental conditions

5.25. The construction work and the environmental conditions should

be monitored by the construction organization, to ensure that safety significant
mechanical, electrical, instrumentation and control equipment and structures are

33
protected from internal and external damage or contamination by dirt, dust and
foreign material.

5.26. The licensee should specify the allowable environmental conditions, such
as temperature, pressure, humidity, rain, snow, dust, dirt, airborne salt, wind and
electromagnetic conditions, for construction work, including for manufacturing,
assembly and transport. The construction organization should periodically
monitor the environmental conditions to confirm that they are within allowable
limits. Such limits should be developed only for conditions applicable to the
specific work location and the specific construction activity.

Cleanness and foreign material control

5.27. When procuring items for installation, it should be ensured by the licensee
or the construction organization that requirements for cleanness are included
in the procurement documentation, so that the items arrive on the site with
an acceptable standard of cleanness.

5.28. The construction organization should put in place measures and controls
necessary to protect items important to safety from internal and external
contamination by dirt, dust and foreign material. Such measures include
the following:

(a) Methods and techniques for control of the site area, individual structures
and systems, the facilities on the site, and the material and equipment being
incorporated into the installation.
(b) Methods for the control of environmental conditions.
(c) Control of personnel access. Where clean zones are used to achieve this
control, they should be clearly marked, and procedures or instructions
should be issued to regulate their usage and maintenance.
(d) Determination and control of allowable chemicals and consumables.
(e) Contingency plans, if the protection measures and controls fail.

5.29. Specific procedures and cleaning methods should be implemented for

systems such as hydraulics, instrumentation and control and lubrication lines and
systems where interior surfaces are generally not accessible for visual inspection.

34
5.30. Specific procedures should be developed and implemented for cleaning
by flushing or rinsing. Such procedures should include:

—— Checking of the actual flow paths, in order to satisfy specified requirements

with regard to the location, position and status of all components;
—— Tagging and locking, as appropriate, of critical components to prevent
inadvertent actuation;
—— Inspection of the interior of all accessible components and piping
for cleanness;
—— Isolation or protection of components such as demineralizers, filters,
instruments and any other components that may be damaged by cleaning;
—— Sealing of the openings of the cleaned system(s);
—— Checking the installation and subsequent removal of temporary devices
(for example, temporary caps in piping).

Receipt, handling, transport, storage, preservation and maintenance

Control of items and consumables

5.31. Items and consumables should be controlled through the proper packaging,
shipping, handling, receipt and storage at any location, including at off-site
manufacturing facilities, to prevent their abuse, misuse, damage, deterioration
or loss of identification. Items and consumables that could represent a security
concern if misused should be controlled in accordance with the level of risk.

Handling

5.32. The use of equipment such as special cartons, containers, protective devices,
cranes, hoists, manipulators and transport vehicles should be considered where
handling operations are of a nature likely to cause damage to items important
to safety. Operators and handlers of all such equipment should be competent
in carrying out their tasks. Equipment for handling items should be used and
maintained in accordance with national regulations and standards. Handling
devices should be included in the scope of the supervision performed by the
construction organization to ensure the safety of the items handled.

Transport

5.33. All transport routes both off the site and on the site should be planned with
appropriate protection measures for items important to safety. For the transport
of large or heavy components, all aspects of the route should be appropriately

35
assessed to ensure that transport is possible without causing hazards, damage
or injury to people, the items themselves or anything else along the route.

Storage

5.34. Suitable storage should be provided as specified by the design organization

and the manufacturer to protect items important to safety prior to their installation
and use.

5.35. Storage areas should be established with account taken of aspects such as:

(a) Cleaness and housekeeping practices;

(b) Requirements for fire protection;
(c) Protective requirements relating to coatings, preservatives, covers
and sleeves;
(d) Prevention of physical damage;
(e) Environmental control (such as control of temperature and humidity);
(f) Preventive maintenance;
(g) Security;
(h) The physical and chemical characteristics of the items to be stored;
(i) Radiation protection and appropriate markings on any sources of radiation.

5.36. Inspections should be performed by the construction organization,

as necessary, to ensure that the specified conditions are maintained and that any
non-conformances are appropriately dealt with. Such inspections may need to be
continued into the commissioning and operation stages, in which case suitable
handover arrangements should be established (see para. 4.59).

5.37. Items important to safety and their components should be clearly identified
by means of appropriate marks. The marking materials used should be compatible
with the item, to ensure material preservation. The construction organization
should implement on-site physical protection against the unauthorized removal
of items important to safety in use and storage [11].

5.38. Before the installation of any items important to safety, the construction
organization or the contractor should inspect them against the specified
requirements and, if necessary, should take corrective action.

36
Preservation of installed items

5.39. Acceptable limits on the environmental and operational conditions to which

equipment may be exposed after installation should be specified by the design
organization and the manufacturer. The construction organization should monitor
and control the environmental conditions of items important to safety after
installation, to protect them against other work that is being carried out.

5.40. The contractor or the construction organization should ensure that the use
of temporary structures does not adversely affect items important to safety.

5.41. During on-site or off-site tests, other items important to safety should
be isolated or protected to avoid inadvertent effects.

Maintenance

5.42. During the entire construction stage, the licensee and/or the construction
organization should ensure that items important to safety are subject
to an appropriate preventive or corrective maintenance plan to maintain their
functionality as required by the design. This plan should be continued into
commissioning until maintenance programmes for operation are initiated.

Verification and testing of construction activities

5.43. The licensee and the construction organization should develop and agree
a process to verify the completion of construction activities and the transfer
of completed work. The test plan and the acceptance criteria should be documented
by the construction organization such that they can be independently assessed.
The results of the tests (their coverage, content, results and timing) should
be compared with the specified acceptance criteria. Testing and verification
should be performed by a qualified independent party for items important
to safety. This verification should be formally documented to confirm that the
items important to safety have been constructed to the specified requirements
and that they comply with the acceptance criteria, including those detailed in the
licensing documentation.

5.44. A typical verification record should include the following:

(a) Identification of the structure, system or component;

(b) A description of how the results were verified;
(c) The date and time of verification;

37
(d) The name and organization of the verifier;
(e) Any special tools or calibrated equipment used;
(f) The test results and a comparison with acceptance criteria;
(g) A list of remaining deficiencies and a plan for their resolution;
(h) A list of outstanding items of work and an action plan for completing
this work;
(i) Confirmation that specified documentation and records are available
and complete.

5.45. Any use of radioactive sealed sources and radiation devices during activities
such as radiographic examinations, use of nuclear gauges (density, thickness,
moisture, etc.) or material analysis should meet the requirements for protection
of workers, as established in GSR Part 3 [32].

ON-SITE CONSTRUCTION PROCESSES

Receipt

5.46. As items are received at the construction site, an initial check should
be carried out to ensure that the items are as ordered and have suffered no obvious
damage during transport.

5.47. After the items have been received, an inspection should be carried out
by the construction organization to ensure that the relevant specifications
are fulfilled, prior to acceptance and use of the items in construction. Such
inspections should include checks that the following are true:

(a) The item is configured correctly.

(b) The identification of the item and the markings on the item are adequate.
(c) Manufacturing and assembly documentation is available as required.
(d) The inspection record and/or certificate is traceable to the inspected item
for acceptance confirmation.
(e) Protective covers and seals are intact.
(f) Coatings and preservatives have not been damaged.
(g) No physical damage has been sustained.
(h) Cleanness of the item meets applicable codes and standards and
design requirements.
(i) Inert gas blankets and the condition of desiccants, where relevant, have not
been compromised.

38
(j) Non-conformances identified by inspections on receipt or detected during
manufacturing but to be corrected on the site are recorded.
(k) Necessary tests of hardware characteristics have been performed.
(l) Storage has been controlled to prevent the inadvertent installation or use
of the item.

Effect on and from existing operating nuclear installations

5.48. A construction site may already have operating nuclear installations on the
site, which may share safety systems or support systems. Other critical facilities
may also be present, such as facilities for spent fuel storage in fuel pools or dry
cask storage. Research reactor sites may already have associated laboratories,
isotope production facilities and hot cells. An assessment of safety and security
during construction should be performed by the appropriate licensee(s) and
should take into account all hazards from, or to, nearby facilities on the site and
any interdependence of their safety systems. For instance, the consequences
of potential contamination by dust, dirt and foreign materials from a construction
site to operating nuclear installations, as well as from an operating nuclear
installation to the construction site should be assessed and such contamination
by dust, dirt and foreign materials should be monitored, if necessary. Potential
impact of radioactive contamination from existing operating nuclear installations
to the construction site should be assessed and monitored as well. All other
risks should also be assessed (for example, from digging, excavation, accidental
fall of cranes, collapse of structures and items and use of explosives). Such
consideration should also include an assessment of the impact of cumulative
discharges to the environment from all facilities on a site.

5.49. The responsibilities of the relevant licensee(s) and the construction

organization for safety and nuclear security should be agreed before the start
of construction activities at the site. Close communication and cooperation
between the parties should be established. All steps should be taken to ensure
that existing operating nuclear installations can be operated safely and securely
during construction activities.

5.50. For the construction of a nuclear installation adjacent to an existing operating

nuclear installation or for which sharing of common buildings or services
is envisaged, the following boundaries should be identified: radiation protection
boundaries, physical boundaries, system boundaries, security boundaries,
access boundaries and boundaries to clean zones. In utilizing the services of an
existing operating nuclear installation, such as water, electric power, compressed
air, fire protection, emergency medical services and security, clear interfaces

39
should be defined and understood by the construction organization so as not
to jeopardize the safety of the existing operating nuclear installations. Emergency
plans should be adapted if necessary to take full account of the presence of other
parties in the area. Procedures should be put in place to ensure that the licensee(s)
of (an) existing operating nuclear installation(s) endorse(s) a proposed change
of status for those common buildings or services before implementation of the
change by the construction organization.

On-site manufacturing and assembly

5.51. Temporary devices and equipment used during manufacturing, installation,

inspection and testing should be controlled and documented.

5.52. Waste materials and remaining consumables used or generated on the site
during construction work should be removed and disposed of in an appropriate
way by the contractors after the work is complete.

40
 REFERENCES

[1] INTERNATIONAL ATOMIC ENERGY AGENCY, The Management System

for Facilities and Activities, IAEA Safety Standards Series No. GS-R-3, IAEA,
Vienna (2006).
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[4] INTERNATIONAL ATOMIC ENERGY AGENCY, Modifications to Nuclear Power
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[5] INTERNATIONAL ATOMIC ENERGY AGENCY, Safety of Nuclear Power
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[7] INTERNATIONAL ATOMIC ENERGY AGENCY, Safety of Research Reactors, IAEA
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[8] INTERNATIONAL ATOMIC ENERGY AGENCY, Safety of Nuclear Fuel Cycle
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[9] INTERNATIONAL ATOMIC ENERGY AGENCY, Predisposal Management
of Radioactive Waste, IAEA Safety Standards Series No. GSR Part 5, IAEA, Vienna
(2009).
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Regulatory Framework for Safety, IAEA Safety Standards Series No. GSR Part 1,
IAEA, Vienna (2010) (Revision of this publication in preparation).
[11] INTERNATIONAL ATOMIC ENERGY AGENCY, Nuclear Security Recommendations
on Physical Protection of Nuclear Material and Nuclear Facilities (INFCIRC/225/
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Nuclear Security Series No. 7, IAEA, Vienna (2008).
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against Insider Threats, IAEA Nuclear Security Series No. 8, IAEA, Vienna (2008).
[14] INTERNATIONAL ATOMIC ENERGY AGENCY, Development, Use and
Maintenance of the Design Basis Threat, IAEA Nuclear Security Series No. 10, IAEA,
Vienna (2009).
[15] INTERNATIONAL ATOMIC ENERGY AGENCY, Computer Security at Nuclear
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41
[17] INTERNATIONAL ATOMIC ENERGY AGENCY, IAEA Safety Glossary:
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Vienna (2007).
[18] INTERNATIONAL ATOMIC ENERGY AGENCY, Commissioning for Nuclear Power
Plants, IAEA Safety Standards Series No. SSG-28, IAEA, Vienna (2014).
[19] INTERNATIONAL ATOMIC ENERGY AGENCY, Licensing Process for Nuclear
Installations, IAEA Safety Standards Series No. SSG-12, IAEA, Vienna (2010).
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ORGANIZATION OF THE UNITED NATIONS, INTERNATIONAL ATOMIC
ENERGY AGENCY, INTERNATIONAL LABOUR ORGANIZATION,
INTERNATIONAL MARITIME ORGANIZATION, OECD NUCLEAR ENERGY
AGENCY, PAN AMERICAN HEALTH ORGANIZATION, UNITED NATIONS
ENVIRONMENT PROGRAMME, WORLD HEALTH ORGANIZATION,
Fundamental Safety Principles, IAEA Safety Standards Series No. SF-1, Vienna (2006).
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IAEA, Vienna (2004).
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Events in Site Evaluation for Nuclear Power Plants, IAEA Safety Standards
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[23] FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS,
INTERNATIONAL ATOMIC ENERGY AGENCY, INTERNATIONAL
LABOUR ORGANIZATION, OECD NUCLEAR ENERGY AGENCY, PAN
AMERICAN HEALTH ORGANIZATION, UNITED NATIONS OFFICE FOR
THE CO-ORDINATION OF HUMANITARIAN AFFAIRS, WORLD HEALTH
ORGANIZATION, Preparedness and Response for a Nuclear or Radiological
Emergency, IAEA Safety Standards Series No. GS-R-2, IAEA, Vienna (2002)
(Revision of this publication in preparation).
[24] INTERNATIONAL ATOMIC ENERGY AGENCY, Management of Delayed Nuclear
Power Plant Projects, IAEA-TECDOC-1110, IAEA, Vienna (1999).
[25] INTERNATIONAL ATOMIC ENERGY AGENCY, Restarting Delayed Nuclear Power
Plant Projects, IAEA Nuclear Energy Series No. NP-T-3.4, IAEA, Vienna (2008).
[26] INTERNATIONAL ATOMIC ENERGY AGENCY, Organization and Staffing of the
Regulatory Body for Nuclear Facilities, IAEA Safety Standards Series No. GS-G-1.1,
IAEA, Vienna (2002).
[27] INTERNATIONAL ATOMIC ENERGY AGENCY, Review and Assessment of Nuclear
Facilities by the Regulatory Body, IAEA Safety Standards Series No. GS-G-1.2, IAEA,
Vienna (2002).
[28] INTERNATIONAL ATOMIC ENERGY AGENCY, Regulatory Inspection of Nuclear
Facilities and Enforcement by the Regulatory Body, IAEA Safety Standards Series
No. GS-G-1.3, IAEA, Vienna (2002).
[29] INTERNATIONAL ATOMIC ENERGY AGENCY, Documentation for Use
in Regulating Nuclear Facilities, IAEA Safety Standards Series No. GS-G-1.4, IAEA,
Vienna (2002).

42
[30] INTERNATIONAL ATOMIC ENERGY AGENCY, Use of External Experts by the
Regulatory Body, IAEA Safety Standards Series No. GSG-4, IAEA, Vienna (2013).
[31] INTERNATIONAL ATOMIC ENERGY AGENCY, Project Management in Nuclear
Power Plant Construction: Guidelines and Experience, IAEA Nuclear Energy Series
No. NP-T-2.7, IAEA, Vienna (2012).
[32] EUROPEAN COMMISSION, FOOD AND AGRICULTURE ORGANIZATION
OF THE UNITED NATIONS, INTERNATIONAL ATOMIC ENERGY AGENCY,
INTERNATIONAL LABOUR ORGANIZATION, OECD NUCLEAR ENERGY
AGENCY, PAN AMERICAN HEALTH ORGANIZATION, UNITED NATIONS
ENVIRONMENT PROGRAMME, WORLD HEALTH ORGANIZATION, Radiation
Protection and Safety of Radiation Sources: International Basic Safety Standards, IAEA
Safety Standards Series No. GSR Part 3, IAEA, Vienna (2014).

43
 CONTRIBUTORS TO DRAFTING AND REVIEW

Artayet, A. United States Nuclear Regulatory Commission, United

States of America

Chen, L.H. China Nuclear Power Engineering Co., Ltd, China

Fotedar, S.K. International Atomic Energy Agency

Frye, T. United States Nuclear Regulatory Commission, United

States of America

Fujii, S. Mitsubishi Heavy Industries, Ltd, Japan

Ghosh, S.K. Atomic Energy Regulatory Board, India

Gibson, S. Health and Safety Executive, United Kingdom

Inoue, Y. International Atomic Energy Agency

Iwasawa, K. Toshiba Corporation, Japan

Jiang, F.M. International Atomic Energy Agency

Johnson, G. International Atomic Energy Agency

Kearney, M. International Atomic Energy Agency

Lu, Q. China Nuclear Power Engineering Co., Ltd, China

Maciejewski, J. Institute of Nuclear Power Operations, United States

of America

Maeng, S. Korea Hydro & Nuclear Power Co., Republic of Korea

Nevalainen, J. Finnish Radiation and Nuclear Safety Authority

(STUK), Finland

Prinja, N.K. AMEC, United Kingdom

Riou, P. Areva NP, France

Segaud, M. Autorité de Sûreté Nucléaire (ASN), France

Vaughan, G.J. University of Central Lancashire, United Kingdom

45
Virolainen, T. Finnish Radiation and Nuclear Safety Authority
(STUK), Finland

Watanabe, M. Nuclear Regulation Authority, Japan

46
@ No. 23

ORDERING LOCALLY
In the following countries, IAEA priced publications may be purchased from the sources listed below or
from major local booksellers.
Orders for unpriced publications should be made directly to the IAEA. The contact details are given at
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15-13651
 R E LAT ED PUBL ICAT IONS

FUNDAMENTAL SAFETY PRINCIPLES

IAEA Safety Standards Series No. SF-1
STI/PUB/1273 (37 pp.; 2006)
ISBN 92–0–110706–4 Price: €25.00
GOVERNMENTAL, LEGAL AND REGULATORY FRAMEWORK
FOR SAFETY
IAEA Safety Standards Series No. GSR Part 1
STI/PUB/1465 (63 pp.; 2010)
ISBN 978–92–0–106410–3 Price: €45.00
THE MANAGEMENT SYSTEM FOR FACILITIES AND ACTIVITIES
IAEA Safety Standards Series No. GS-R-3
STI/PUB/1252 (39 pp.; 2006)
ISBN 92–0–106506–X Price: €25.00
RADIATION PROTECTION AND SAFETY OF RADIATION SOURCES:
INTERNATIONAL BASIC SAFETY STANDARDS
IAEA Safety Standards Series No. GSR Part 3
STI/PUB/1578 (427 pp.; 2014)
ISBN 978–92–0–135310–8 Price: €68.00
SAFETY ASSESSMENT FOR FACILITIES AND ACTIVITIES
IAEA Safety Standards Series No. GSR Part 4
STI/PUB/1375 (56 pp.; 2009)
ISBN 978–92–0–112808–9 Price: €48.00
PREDISPOSAL MANAGEMENT OF RADIOACTIVE WASTE
IAEA Safety Standards Series No. GSR Part 5
STI/PUB/1368 (38 pp.; 2009)
ISBN 978–92–0–111508–9 Price: €45.00
DECOMMISSIONING OF FACILITIES
IAEA Safety Standards Series No. GSR Part 6
STI/PUB/1652 (20 pp.; 2014)
ISBN 978–92–0–102614–9 Price: €25.00
REGULATIONS FOR THE SAFE TRANSPORT OF RADIOACTIVE
MATERIAL, 2012 EDITION
IAEA Safety Standards Series No. SSR-6
STI/PUB/1570 (168 pp.; 2012)
ISBN 978–92–0–133310–0 Price: €44.00
PREPAREDNESS AND RESPONSE FOR A NUCLEAR OR
RADIOLOGICAL EMERGENCY
IAEA Safety Standards Series No. GS-R-2
STI/PUB/1133 (72 pp.; 2002)
ISBN 92–0–116702–4 Price: €20.50

www.iaea.org/books
Safety through international standards

“Governments, regulatory bodies and operators everywhere must

ensure that nuclear material and radiation sources are used
beneficially, safely and ethically. The IAEA safety standards are
designed to facilitate this, and I encourage all Member States to
make use of them.”

Yukiya Amano
Director General

INTERNATIONAL ATOMIC ENERGY AGENCY

VIENNA
ISBN 978–92–0–102715–3
ISSN 1020–525X