Request for Information (RFI) regarding Project R584.1“Minimum Staff Complement: A Review of Regulatory Requirements, Industry Practices, Scientific Literature and Experience of Stakeholders”

REQUEST FOR INFORMATION (RFI)

Date: July 9, 2014 File # 87055-14-0106 (R584.1)

Subject: Request for Information (RFI) regarding Project R584.1“Minimum Staff Complement: A Review of Regulatory Requirements, Industry Practices, Scientific Literature and Experience of Stakeholders”

1. Background and Purpose of this RFI

The purpose of this RFI is to obtain information before finalizing the requirements definition and procurement strategy for the subject project which is being carried out by the Canadian Nuclear Safety Commission (CNSC).

This project is being undertaken as part of the process of reviewing and updating regulatory document G-323 entitled “Ensuring the presence of sufficient qualified staff at Class I Nuclear Facilities – Minimum Staff Complement”. (http://www.nuclearsafety.gc.ca/pubs_catalogue/uploads/G-323_e.pdf)

The project will involve a review of regulatory requirements, industry practices and scientific literature related to minimum staff complements from a range of high reliability industries. In addition, the experience that stakeholders have had implementing G-323 will be sought and analyzed.

The details of the project and requirement are further outlined in Annex “A” – Work Statement to this RFI.

2. Nature of this RFI

This RFI is not a solicitation and there is no commitment with respect to future purchases or contracts.

Potential suppliers of the services described in this RFI should not reserve stock or facilities, nor allocate resources as a result of any information contained in this RFI. The procurement of any services described in this RFI will not necessarily follow this RFI. This RFI is simply intended to solicit feedback from industry with respect to the matters described in this RFI.

3. Questions to Interested Parties

a. Would you/your organization be able to provide the services outlined in Annex “A” – Statement of Work (SOW) and be interested in bidding on any solicitation that may be issued related to the SOW?

b. Could the work be completed within the estimated dates related to the deliverables/milestones in the SOW and an estimated budget of $55,000.00 Canadian dollars, excluding applicable taxes but all-inclusive of travel etc.?

c. What would the estimated level of effort be to complete the work (in person days)?

d. What types of resources (human and otherwise) are required to complete the work including experience and qualifications?

e. Is the Statement of Work clear and reasonable?

f. Do you have any general comments or concerns regarding the SOW and/or suggestions for improvements to the SOW?

4. Submission of Responses to Questions to Interested Parties

a) Closing Date for Submission of Responses: Suppliers interested in providing a response should deliver it by email to the Contracting Authority identified above by 2:00PM EDT on August 11, 2014.

b) Responsibility of Timely Delivery: Each respondent is solely responsible for ensuring its response is delivered on time per the instructions specified in this RFI.

c) Language of Response: Responses may be in English or French at the preference of the respondent.

5. Enquiries

Because this is not a bid solicitation, CNSC will not necessarily respond to enquiries in writing or circulate answers to all potential suppliers/respondents. However, respondents with questions regarding the RFI may direct their enquiries by email to:

Contracting Authority: Dan Simard E-mail Address: dan.simard@cnsc-ccsn.gc.ca

ANNEX “A” - WORK STATEMENT

1.0 Background

Canadian nuclear facilities are required to ensure the presence of a sufficient number of qualified workers to carry on the licensed activity safely and in accordance with the Nuclear Safety and Control Act (NSCA), the regulations made under the NSCA, and the licence . One aspect of ensuring the presence of a sufficient number of qualified workers is defining a minimum staff complement (MSC), which is the minimum number of qualified workers who must be present at all times to ensure the safe operation of the nuclear facility. The number and qualifications of workers in the minimum staff complement must be adequate to successfully respond to all credible events, including the most resource-intensive conditions for any facility state.

The CNSC has a Regulatory Guide, G-323, entitled “Ensuring the presence of sufficient qualified staff at Class I Nuclear Facilities – Minimum Staff Complement”. This guide sets out the key factors that CNSC staff will take into account when assessing whether a licensee or licence applicant has made adequate provision for ensuring the presence of a sufficient number of qualified staff. The guide addresses staffing levels required to respond to the most resource-intensive conditions under all operating states.

G-323 was published in 2007 and is due to be analyzed and revised, if necessary. As part of the process of reviewing this Regulatory Guide on MSC, the CNSC is seeking a suitably qualified individual or team to carry out the following tasks: 1. review regulatory requirements, industry practices and scientific literature related to minimum staffing from a range of high reliability industries 2. collect and synthesize feedback from a range of stakeholders from the CNSC, licensed facilities, and contractor organizations to gain insight about their experience implementing G-323.

The results of this project will be considered when G-323 is reviewed and updated. Preference will be given to a team that has demonstrated expertise in human factors and in data collection through interviews and literature reviews.

2.0 Objectives

1. To obtain a review of regulatory requirements, industry practices and scientific literature related to minimum staffing from a range of high reliability industries.

2. To obtain an assessment of feedback from internal and external stakeholders related to the minimum staff complement and implementation of G-323.

3.0 Scope of Work

The work to be completed will include the following: • Apply a systematic method to obtain and review regulatory requirements, industry practices, and scientific literature from a range of high reliability industries in Canada and internationally (e.g. nuclear, chemical, coastguards) related to minimum staff complements. • Provide recommendations that are supported by the synthesis of information obtained from the review of regulatory requirements, industry practices and scientific literature related to minimum staff complements. • Develop a set of interview questions and conduct interviews with a range of stakeholders from the CNSC, licensed power reactor and non-power reactor facilities (e.g., fuel fabrication), and contractor organizations related to the minimum staff complement and their experience implementing G-323. • Analyze interview data to identify common themes. • Provide recommendations that are based on the analysis of interview data.

4.0 Tasks to be Performed

The tasks to be performed as part of this project include the following

4.1 Attend a meeting with the CNSC during which the contractor will deliver a presentation about the proposed approach, work plan and schedule and CNSC staff will deliver a presentation regarding minimum staff complement and accident management (duration of 3 hours).

4.2 Define and implement a search strategy for identifying (a) regulatory requirements and (b) industry practices in Canada and internationally from a range of high reliability industries related to the minimum staff complement. Examples of topics to address include those that follow: • defining the number of workers with specific qualifications that must be present on-site at all times for normal operations and to respond to a range of events (design basis, beyond design basis , emergencies); • documenting and implementing the MSC; • ensuring compliance with the MSC (e.g., administrative controls, normal or scheduled staffing levels, consequences for going below MSC); • measures taken by the regulator for violations of the MSC; • periodically reviewing the adequacy of the MSC; and • changing the MSC.

4.3 Define and implement a search strategy for identifying relevant scientific literature related to the minimum staff complement. Examples of topics to address include those that follow: • approaches and methods applied to systematically analyze and determine the MSC requirements; • approaches and methods applied to validate the minimum number of qualified workers who must be present at all times to ensure the safe operation of a facility and to ensure adequate emergency response capability; and • strategies for staffing for emergencies.

4.4 Synthesize information obtained from the review of regulatory requirements, industry practices and literature as it pertains to G-323 and provide recommendations.

4.5 Develop interview questions to obtain feedback from stakeholders within the CNSC and external to the CNSC (e.g., licensees, contract companies). Approximately 20 stakeholders will by identified by the Technical Authority from the CNSC about their experience related to the minimum staff complement and implementation of G-323. Topics that should be addressed include, but are not limited to, those that follow: (a) their experience implementing the following aspects of G-323, including barriers and facilitators encountered: • analyzing and establishing the MSC; • validating the MSC; • implementing the MSC; • complying with the MSC; • periodically reviewing the MSC; and • changing the MSC; and • maintaining the licensing basis for the analysis of the MSC. (b) concepts and definitions related to staffing (e.g., normal staff complement, minimum scheduled staff complement) and their role during operations at full-power and in the guaranteed shut-down state; and (c) methods for ensuring the presence of a sufficient number of qualified workers for accidents that extend beyond the design basis that are not currently addressed within the scope of G-323.

4.6 Update questions developed in Task 4.5 based on input from the Technical Authority.

4.7 Interview stakeholders using questions agreed upon in Task 4.6. It is anticipated that the interviews will be conducted by phone, but some may be conducted in person, depending upon the location of the contract organization.

4.8 Analyze the information collected in Task 4.7 to identify themes. Highlight differences between information collected from different stakeholder groups (e.g. power reactor versus non-power reactor stakeholders, contractors versus licensees) and make recommendations that are based on the analysis of interview data.

4.9 Prepare a report (Initial Findings Report, Draft Final Report, and Final Report) that summarizes the information collected and addresses the scope of work.

4.10 Deliver a 45 minute presentation for CNSC staff and respond to questions arising at the presentation.

5.0 Deliverables

All deliverables are to be submitted in English unless noted differently. All hard deliverables are to be submitted to the Research Program Officer (Project Authority) and Technical Authority.

5.1 Start-up Meeting with presentations by Contractor and CNSC

Date: Within 2 weeks of contract award

Location: The CNSC’s Office at 1601 Telesat Court, Ottawa. (meeting may be held by videoconference depending on location of the contractor)

Purpose: 1. The contractor shall make a presentation to clarify the proposed approach, work plan and schedule to ensure achievement of the contract objectives. 2. The CNSC shall make a presentation to discuss the minimum staff complement (MSC) and the role of the MSC in accident management (estimated duration of 3 hours). 5.2 Set of interview questions for review and approval by Technical Authority

Due Date: Within 4 weeks of contract award / Prior to commencement of interviews

Copies: One electronic copy via e-mail to the Project Authority

Format and style requirements: Electronic copy must be provided in a format readable by MS Word 2010. The font Times New Roman 12 is to be used. 5.3 Progress Meetings

Dates: Once per month

Location(s): The CNSC’s Office at 1601 Telesat Court, Ottawa. (meeting may be held by videoconference depending on location of the contractor)

Purpose: To assess the degree to which the agreed project objectives are being achieved as planned and thus to facilitate timely adjustments (if necessary) to ensure the project’s success.

5.3 Initial Findings Report

Due Date: 14 weeks after contract award

Copies: One electronic copy via email to the Project Authority

Format and style requirements: Electronic copy must be provided in a format readable by MS Word 2010. The font Times New Roman 12 is to be used.

5.4 Draft Final Report

Due Date: 3 weeks after submission of the Initial Findings Report

Copies: One electronic copy via email to the Project Authority

Format and style requirements: The font Times New Roman 12 is to be used. Electronic copies must be provided in a format readable by Word 2010 with minor formatting changes.

5.5 Seminar

Due Date: Within 2 weeks of Draft Final Report submission

Location: The CNSC’s Office at 1601 Telesat Court, Ottawa. (meeting may be held by videoconference depending on location of contractor)

Purpose: To present the project findings, conclusions and recommendations documented in the Draft Report.

5.6 Final Report

Due Date: Within 2 week following the Seminar

Copies: One electronic copy via email (pdf and MS Word format) to the Project Authority and 5 bound copies and one unbound, un-punched, single-sided reproducible master. Format & style requirements: The font Times New Roman 12 is to be used. Electronic copies must be provided in a format readable by Word 2010 with minor formatting changes. Any electronic files that cannot be read or require major formatting changes when opened are not acceptable and may be returned to the contractor for correction.

The CNSC reserves the right, at its own discretion, to have the final report printed under CNSC cover, and to distribute it publicly. Translation of the abstract into French or English, CNSC report covers and the publication number will be provided by the CNSC.

The following Disclaimer shall be included in the report

DISCLAIMER

The Canadian Nuclear Safety Commission is not responsible for the accuracy of the statements made or opinions expressed in this publication and do not assume liability with respect to any damage or loss incurred as a result of the use made of the information contained in this publication.