Regulatory Guide 1.16

Reporting of Operating Information - Appendix a Technical Specifications.

ML12305A256
Person / Time
Issue date:	01/31/1975
From:	Office of Nuclear Regulatory Research
To:
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RG-1.016, Rev 3
Download: ML12305A256 (13)

Revision 3 January 1975 U.S. ATOMIC ENERGY COMMISSION

REGULATORY

GUIDE DIRECTORATE

OF REGULATORY

STANDARDS REGULATORY

GUIDE 1.16 REPORTING

OF OPERATING

INFORMATION-APPENDIX

A TECHNICAL

SPECIFICATIONS

A. INTRODUCTION

Section 50.36, "Technical Specifications," of 10 CFR Part 50, "Licensing of Production and Utilization Facilities," requires that each applicant for a license authorizing operation of a nuclear power plant include in its application proposed technical specifications.

These technical specifications, as issued by the AEC, are incorporated into the facility license and are conditions of the license. Technical specifications are now included as two appendices to the license: Appendix A technical specifications relate to health and safety, and Appendix B technical specifications relate to environmental im-pact.' Each of these appendices includes a section on reporting requirements.

The reporting program' described in this regulatorv guide involves the reporting require-ments of Appendix A technical specifications only. In"Osome cases, this program may need to be supplemented or modified because of unique plant design features or other factors. The need for a supplemental or modified program will be determined on a case-by-case basis.0 Reporting of information concerning radioactive discharges, radiological environmental monitoring, and Q,-) nonradiological environmental surveillance and environ-mental impact is discussed in Regulatory Guide 4.8,( "Environmental Technical Specifications for Nuclear Power Plants." In addition to the reporting requirements necessary for compliance with technical specifications, specific reporting requirements are included in Part 50, as well as in other Parts of Title 10, Chapter 1, Code of Federal Regulations.

A compilation of all reporting requirements applicable to the various types of AEC licensees, in-cluding identification of the proper AEC addressee or'A few facilities have a single appendix that contains the combined aspect of Appendices A and B.addressees and designation of the number of copies re-quired, is included in Regulatory Guide 10.1, "Compila-tion of Reporting Requirements for Persons Subject t_0 AEC Regulations," and is not presented-he-rein._

B. DISCUSSION

In September

1974 the Regulatory staff published Revision 2 of Regulatory Guide 1.16. This revision re-flected results of a Regulatory staff review of operating intormation needed to permit assessment by the Com-mission of safety-related activities during the operating phase of plant life. Significant differences in this guide from Revision 1 of Regulatory Guide 1.16, dated Octo-ber 1973, were: 1. Reporting requirements were updated to reflect changes in reports required by Appendix A technical specifications.

In general, these changes involved: a. a change in frequency of submittal of routine operating reports;b. elimination of the first-year operating report;c. formalization of reporting of operating infor-mation on a monthly frequency;

d. deletion of certain items of information no longer required by the AEC to be submitted on a routine basis;e. changes in the format and immediacy of re-porting required for certain types of abnormal occur-rences; and f. improved guidance concerning definitions and categories of significance of abnormal occurrences.

2. Appendices B, C, D, and E were added to provide the desired format for radiation exposure reports and monthly operating reports.3. A listing of reports other than those required by Appendix A technical specifications was eliminated. (See Introduction above.)USAEC REGULATORY

GUIDES Copies of published guides may be obtained by request indicating the divisions desired to the US. Atomic Energy Commission, Washington, D.C. 20545, Regulatory Guides are issued to describe and make available to the public Attention:

Director of Regulatory Standards.

Comments and suggestions for methods acceptable to the AEC Regulatory staff of implementing specific parts of improvements in these guides are encouraged and should be sent to the Secretary the Commission's regulations, to delineate techniques .red by the staff in of the Commission, U.S. Atomic Energy Commission, Washington, D.C. 20545, evaluating specific problems or postulated accidents, or to provide guidance to Attention:

Docketing and Service Section.applicants.

Regulatory Guides are not substitutes for regulations and compliance with them is not required.

Methods and solutions different from those set out in The guides are issued in the following ten broad divisions:

the guides will be acceptable if they provide a basis for the findings requisite to the issuance or continuance of a permit or license by the Commission.

1. Power Reactors 6. Products 2. Research and Test Reactors

7. Transportation

3. Fuels and Materials Facilities

8. Occupational Health Published guides will be revised periodically, as appropriate, to accommodate

4. Environmental and Siting 9. Antitrust Review comments and to reflect new information or experience.

5. Materials and Plant Protection

1

0. General

6 Comments were invited within 60 days of publica-tion of Revision 2 for use in conjunction with early revision of the guide. As a result of~comments received on the guide and additional staff review, the Regulatory staff has developed Revision 3 to Regulatory Guide 1.16.Significant differences in this guide from Revision 2 of Regulatory Guide 1.16, dated September

1974, are: 1. The startup report was revised to be more specific as to the test results to be reported.2. The annual report section was revised to (1) further quantify the term "reduction in power," (2) provide further guidance on reporting of occupational radiation exposures, and (3) revise the information to be sub-mitted on fuel performance.

3. The abnormal occurrence report section was revised to (1) provide for prompt notification by telephone and confirmation of such notification by telegraph, mail-gram, or facsimile transmission of the types of abnormal occurrences listed under Section 2.a, (2) be more specific on the types of abnormal occurrences reported, (3) delete radiological effluent releases from Appendix A technical specification reporting requirements, (4) pro-vide for reporting of the types of abnormal occurrences listed under Section 2.b within 30 days of occurrence of the event, and (5) make Section 2.c of Revision 2 of the guide a separate section (Section 4).C. REGULATORY

POSITION In addition to the applicable reporting requirements of Title 10, Code of Federal Regulations, the following program for reporting of operating information provides an acceptable basis to the Regulatory staff for meeting the reporting requirements of Appendix A technical specifications.

Reports submitted in accordance with this guide should be addressed to the Director of the appropriate Regulatory Operations Regional Office unless otherwise noted.1. Routine Reports a. Startup Report.A summary report of plant startup and power escalation testing should be submitted following

(1)receipt of an operating license, (2) amendment to the license involving a planned increase in power level, (3)installation of fuel that has a different design or has been manufactured by a different fuel supplier, and (4)modifications that may have significantly altered the nuclear, thermal, or hydraulic performance of the plant.The report should address each of the tests identified in the FSAR and should in general include a description of the measured values of the operating conditions or characteristics obtained during the test program and a comparison of these values with design predictions and specifications.

Any corrective actions that were required to obtain satisfactory operation should also be de-scribed. Additional specific details may be included in license conditions based on the applicant's commitment to applicable Regulatory guides and should be included -in this report.Startup reports should be submitted within (1)90 days following completion of the startup test program, (2) 90 days following resumption or com-mencement of commercial power operation, or (3) 9 months following initial criticality, whichever is earliest.If the Startup Report does not cover all three events (i.e., initial criticality, completion of startup test pro-gram, and resumption or commencement of commercial power operation), supplementary reports should be sub-mitted at least every three months until all three events have been completed.

23 b. Annual Operating Report.', Routine operating reports covering the opera-tion of the unit during the previous calendar year should be submitted prior to March 1 of each year. The initial report should be submitted prior to March 1 of the year following initial criticality.

The primary purpose of annual operating reports is to permit annual evaluation by the AEC staff of operating and maintenance experience throughout the nuclear power industry.

The annual operating reports made by licensees should provide a comprehensive sum-mary of the operating experience gained during the year,l even though some repetition of previously reporte information may be involved.

References in the annual operating report to previously submitted reports should be clear.Each annual operating report should include: (1) A narrative summary of operating expe-rience during the report period relating to safe operation of the facility, including safety-related maintenance not covered in item 1.b.(2)(e)

below.(2) For each outage or forced reduction in power 4 of over 20 percent of design power level where the reduction extends for greater than four hours: (a) the proximate cause and the system and major component involved (if the outage or forced reduction in power involved equipment malfunction);

2 A single submittal may be made for a multiple unit station. The submittal should combine those sections that are common to all units at the station.S'Much of the information in the Annual Report was previously submitted in a Semiannual Report.4 The term "forced reduction in power" as ued in this guide and as normally defined in the electric power industry means the occurrence of a component failure or other condition which requires that the load on the unit be reduced for corrective action immediately or up to and including the very next week-end. .Note that routine preventive maintenance, surveillance, and calibration activities requiring power reductions are not covered by this section.1..16-2 (b) a brief discussion of (or reference to*reports of) any abnormal occurrences pertaining to the Ioutage or power reduction;(c) corrective action taken to reduce the probability of recurrence, if appropriate;(d) operating time lost as a result of the outage or power reduction (for scheduled or forced outages,s use the generator off-line hours; for forced reductions in power, use the approximate duration of operation at reduced power);(e) a description of major safety-related corrective maintenance performed during the outage or power reduction, including the system and component involved and identification of the critical path activity dictating the length of the outage or power reduction;

and (f) a report of any single release of radio-activity or radiation exposure specifically associated with the outrage which accounts for more than 10 per-cent of the allowable annual values.(3) A tabulation on an annual basis of the number of station, utility, and other personnel (in-cluding contractors)

receiving exposu'res greater than 100 mrem/yr and their associated man-rem exposure according to work and job functions, 6 e.g., reactor operations and surveillance, inservice inspection, routine maintenance, special maintenance (describe mainte-nance), waste processing, and refueling.

The dose assign-ments to various duty functions may be estimates based on pocket dosimeter, TLD, or film badge.measurements.

• ,iSmall exposures totalling less than 20 percent of the individual total dose need not be accounted for. In the aggregate, at least 80 percent of the total whole body dose received from external sources should be assigned to specific major work functions.

See Appendix B to this guide for a standard format for providing this infor-mation.(4) Indications of failed fuel resulting from irradiated fuel examinations, including eddy current tests, ultrasonic tests, or visual examinations completed during the report period.c. Monthly Operating Report.Routine reports of operating statistics and shut-down experience should be submitted on a monthly basis. The report formats set forth in Appendices C, D, and E to this guide should be completed in accordance with the instructions provided.

The completed forms should be sent to the Director of Regulatory Operations, U.S. Atomic Energy Commission, Washington, D.C.20545, with a copy to the appropriate RO Regional sThe term "'forced outage" as used in this guide and as normally defined in the electric power industry means the occur-rence of a component failure or other condition which requires* that the unit be removed from service for corrective action.immediately or up to and including the very next weekend.6 This tabulation supplements the requirements of § 20.407 of 10 CFR Part 20.Office, to arrive no later than the tenth of each month following the calendar month covered by the report.2. Abnormal Occurrences Licensees are required to investigate and evaluate the significance of abnormal occurrences and implement corrective actions to prevent recurrence, in accordance with provisions of technical specifications and the pro-gram for quality assurance during the operational phase of plant life. In addition, abnormal occurrences, in-cluding corrective actions and measures to prevent reoc-currence, should be reported to the AEC as described below.In general, the importance of an occurrence with respect to safety significance determines the immediacy of reporting required.

In some cases, how-ever, the significance of an event may not be obvious at the time of its occurrence.

In such cases, the AEC should be informed promptly of an increased significance in the licensee's assessment of the event. In addition, supple-mental reports may be required to fully describe final resolution of occurrence.

In some cases of corrected or supplemental reports, a licensee event report should be completed and reference should be made to the original report date. Guidance concerning reportable occurrences that should be reported in different time frames is pro-vided below.a. Prompt Notification With Written Followup.The types of events listed below should be reported as expeditiously as possible, but within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> by telephone and confirmed by telegraph, mail-gram, or facsimile transmission to the Director of the appropriate Regulatory Operations Regional Office, or his designate, no later than the first working day fol-lowing the event, with a written followup report within two weeks. The written followup report should include, as a minimum, a completed copy of the licensee event report form (see Appendix A to this guide) used for entering data into the AEC's computer-based file of in-formation concerning licensee events. (Instructions for completing these license event report forms 7 are issued individually to each licensee.)

Information provided on the licensee event report form should be supplemented, as needed, by additional narrative material to provide complete explanation of the circumstances surrounding the event.(1) Failure of the reactor protection system or other systems subject to limiting safety-system settings to initiate the required protective function by the time a monitored parameter reaches the setpoint specified as the limiting safety-system setting in the technical specifi-cations or failure to complete the required Protective

'Instruction Manual, Licensee Event Report File, Office of Operations Evaluation, USAEC, Washington.

D.C. 20545.1.16-3 function.

The following are examples: (a) Reactor pressure exceeds limiting safety-system setting value without automatic trip.(b) Inability to trip and insert sufficient control rods to achieve the technical specification shut-down margin.(c) Failure of the reactor protective sys-tem to complete the required protective action once initiated.

Note: Instrument drift discovered as a result of testing need not be reported under this item but may be report-able under items 2.a(5), 2.a(6), or 2.b(l) below.(2) Operation of the unit or affected systems when any, parameter or operation subject to a limiting condition for operation is less conservative than the least conservative aspect of the limiting condition for opera-tion established in the technical specifications.

The following are examples: (a) Shutdown not begun within the speci-fied time when unidentified reactor coolant leakage exceeds the technical specifications limit.(b) Failure of a system other than the systems subject to limiting safety-system settings (see 2.a(1) above) to actuate, or actuation of such a system at a monitored parameter value less conservative than that listed in the technical specifications for the system.(c) Operation with unacceptable contain-ment leak rate type B or C test results.(d) System cooldown at a rate exceeding the technical specifications limit.Note: If specified action is taken when a system is found to be operating between the most conservative and the least conservative aspects of a limiting condition for operation listed in the technical specifications, the limiting condition for operation is not considered to have been violated and need not be reported under this item, but it may be reportable under item 2.b(2) below.(3) Abnormal degradation discovered in fuel cladding, reactor coolant pressure boundary, or primary containment.

The following are examples: (a) Through-wall failure of piping or com-ponents of the reactor coolant pressure boundary.(b) Steam generator tube thinning in excess of acceptance limits in Regulatory Guide 1.83,"Inservice Inspection of Pressurized Water Reactor Steam Generator Tubes." (c) Welding or material defects greater than those allowable by applicable codes.Note: Leakage of valve packing or gaskets within the limits for identified leakage set forth in technical specifi-cations need not be reported under this item.(4) Reactivity anomalies involving disagree-ment with the predicted value of reactivity balance under steady state conditions greater than or equal to$1.00; a calculated reactivity balance indicating a shut-down margin less conservative than specified in the tech-nical specifications;

short-erm reactivity increases that correspond to a reactor period of less than 5 seconds or, if sub-critical, an unplanned reactivity insertion of more than 50N; or occurrence of any unplanned criticality.

(5) Failure or malfunction of one or more components which prevents or could prevent, by itself, the fulfillment of the functional requirements of sys-tem(s) used to cope with accidents analyzed in the SAR.The following are examples: (a) Clogged fuel line(s) resulting in failure to supply fuel to the emergency generators.(b) Multiple instrument drift resulting in loss of protective function.(c) HPCI failure to start or failure to con-tinue running once initiated.

(6) Personnel error or procedural inadequacy which prevents or could prevent, by itself, the fulfill-ment of the functional requirements of systems required to cope with accidents analyzed in the SAR. The fol-lowing are examples: (a) Failure to restore a safety system to operability following test or maintenance.(b) Improper procedures leading to incor-rect valve lineup which resulted in closure of one manual valve in each of two redundant safety injection sub-systems and would have prevented injection on demand.Note: For items 2.a(5) and 2.a(6) reduced redundancy that does not result in loss of system function need not be reported under this section but may be reportable under items 2.b(2) and 2.b(3) below.(7) Conditions arising from natural or man-made events that, as a direct result of the event, require plant shutdown, operation of safety systems, or other protective measures required by technical specifications.

The following are examples: (a) Threatened civil disturbances requiring plant shutdown.(b) Damage to the facility caused by fire, flood, earthquake, or other similar occurrences.

(8) Errors discovered in the transient or acci-dent analyses or in the methods used for such analyses as described in the safety analysis report or in the bases for the technical specifications that have or could have per-mitted reactor operation in a manner less conservative than assumed in the analyses.

The following are exam-pies: (a) Loss of condenser vacuum resulting in reactor pressure and flux transients that peak at values higher than analyzed.(b) Reactivity insertion delay times by re-actor protection system longer than those used in the technical specification bases.(9) Performance of structures, systems, or components that requires remedial action or corrective measures to prevent operation in a manner less conserva-tive than that assumed in the accident analyses in the 1.16-4 safety analysis report or technical specifications bases; or discovery during plant life of conditions not specifically considered in the safety analysis report, or technical* specifications that require remedial action or corrective measures to prevent the existence or development of an unsafe condition.

The following are examples: (a) Axial flux ratios less conservative than those for which correlations with overpower AT were based on core burnup projections.(b) Failure of a safety injection pumpto deliver the flow rates assumed in the FSAR.(c) Degradation of hydraulic shock sup-pressors to the extent that they could not perform their required safety function.(d) Failure of magnetic trip mechanisms on a safety-related circuit breaker to provide trip on instantaneous overcurrent as indicated on the manufac-turer's time-current characteristic curve.(e) Failure of a safety/relief valve to close after pressure has reduced below the required reseat valve., (f) Thermal shock to the reactor coolant system resulting from inadvertent safety injection actua-tion.Note: This item is intended to provide for reporting of potentially generic problems.b. Thirty-Day Written Reports.The abnormal occurrences discussed below have* lesser immediate importance than those described under'2.a above. Such events should be the subject of written reports to the Director of the appropriate Regulatory Operations Regional Office within 30 days of occurrence of the event. The written report should include, as a minimum, a completed copy of the licensee event report form (see Appendix A to this guide) used for entering data into the AEC's computer-based file of information concerning licensee events. (Instructions for completing these licensee event report forms 7 are issued individually to each licensee.)

lnformation'provided on the licensee event report form should be supplemented, as needed, by additional narrative material to provide complete explanation of the circumstances surrounding the event.(1) Reactor protection system or engineered safety feature instrument settings which are found to be less conservative than those established by the technical specifications but which do not prevent the fulfillment of the functional requirements of affected systems. The following are examples: (a) One of the four scram dump volume level switches failed to operate during surveillance test..(b) One of four reactor low-pressure switches operated at 885 psig instead of LSSS value of 900 psig.(c) During test, one out of four under-voltage relays failed to perform its function of tripping a reactor trip breaker.(2) Conditions leading to operation in a de-graded mode permitted by a limiting condition for operation, or plant shutdown required by a limiting condition for operation.

The following are examples: (a) Core spray pump breaker tripped after 20 minutes during test. Trip unit was found to be defec-tive, declared inoperable, and repaired.(b) Safety injection pump failed to start following system initiation.

Required surveillance on redundant components was successfully completed.(c) One of the two centrifugal charging pumps became inoperable because of a faulty bearing.Redundant pump operability, was confirmed.

Note: Routine surveillance testing, instrument calibra-tion, or preventive maintenace which require system configurations as described in items 2.b(l) and 2.b(2)need not be reported except where test results theni-selves reveal a degraded mode as described above.(3) Observed inadequacies in the implementa- tion of administrative or procedural controls which threaten to cause reduction of degree of redundancy provided in reactor* protection systems or engineered safety feature systems. The following are examples: (a) One of the three diesel generators tripped from high temperature because cooling water valves were lined up incorrectly.(b) Isolation valve for a low-pressure trip switch was found closed with system pressure locked in.Trip of switch would not occur at low pressure.

Im-proper return to operation following maintenance was the cause.(c) Failure to perform surveillance tests at the required frequency.

(4) Abnormal degradation of systems other than those specified in item 2.a(3) above designed to contain radioactive material resulting from the fission process. For example, a through-wall leak in a liquid waste storage tank.Note: Sealed sources or calibration sources are not in-cluded under this item. Leakage of valve packing or gaskets within the limits for identified leakage set forth in technical specifications need not be reported under this item.3. Unique Reporting Requirements The above reporting program will in general satisfy the reporting requirements necessary for compliance with Appendix A technical specifications.

This program may need to be supplemented or modified because of unique plant design features or other factors. The need for a supplemental or modified program will be deter-mined on a case-by-case basis and so designated in in-dividual operating licenses.4. Events of Potential Public Interest The types of events listed below are frequently of 1.16-5 high public interest.

While some of the events may not be reportable by regulation or defined in other parts of this guide, the Director of the appropriate Regional Office, or his designate, should be informed of such events by telephone as soon as possible after the event has been discovered.

a. An event that causes damage to property or equipment when such damage affects the power produc-tion capability of the facility.b. Radiation exposure to licensee personnel or members of the public in excess of applicable exposure limits set forth in 10 CFR Part 20.c. Natural or man-made conditions that may re-quire action which need not be reported under item 2.a(7) above.d. Discovery of significant radiological event off-site occurring during transport of material for which the licensee was either shipper or consignee.

e. Unscheduled shutdowns expected to last for more than one week, regardless of cause.f. Unusual releases of radioactive material from the site boundary not reportable under other require-ments.g. Failure of or damage to safety-related equip-ment which need not be reported under item 2.a above, if the time for repair is likely to exceed the time allowed by the technical specifications.

D. IMPLEMENTATION

The purpose of this section'is to provide informa-tion to applicants and licensees regarding the Regulatory staff's plans for utilizing this regulatory guide.Except in those cases in which the applicant pro-poses an acceptable alternative method, the reporting program described herein is being used by the Regula-tory staff in order to standardize the reporting require-ments section of Appendix A technical specifications of all operating licenses.-For licensees holding operating licenses without Appendix B environmental technical specifications, it may be necessary to in-l'd-eftse irepofrilntifie in.RdgUoa_ Guide 1.21, "Measuring, Evaluating, and Reporting Radioactivityin Solid Wastes and Releases of Radioactive Materials in Liquid and Gaseous Effluents from Light-Water-Cooled Nuclear Power Plants," and Regulatory Guide 4.1 "Measuring and Reporting of Radioactivity in the Environs of Nuclear Power Plants," in the technical specifications under the unique re-porting requirements section of the technical specifi-cations.1.16-6 APPENDIX A LICENSEE EVENT REPORT CONTROL BLOCK I I I I I I 1 6 LICENSEE NAME LICENSE NUMBER FFI II II I I 1 I-I I ,1 I iI-I 9 14 15 REPORT REPORT CATEGORY TYPE SOURCE DOCKET NUMBER LICENSE TYPE EVENT TYPE 2 E 26 R EVENT DATE REPORT DATE NT 7 59 .60 61 68 69 74 EVENT DESCRIPTION

~I I I 1 7 89 80 0o3111 7 89 0O41 7 89 80 0o51 7 8 9 so 7 8 9 PRIME 80 SYSTEM CAUSE COMPONENT

COMPONENT CODE CODE COMPONENT

CODE SUPPLIER MANUFACTURER

VIOLATION W L WI I I I Li I I1 I Li 7 8 9 10 11 12 17 43 44 47 48 CAUSE DESCRIPTION

I I 7 89 s 7 89 80 I 80 w FACILITY I STATUS %POWER OTHER STATUS D 1 Li I I I I jI _7 8 9 10 12 13 44 FORM OF ACTIVITY CONTENT RELEASED OF RELEASE AMOUNT OF ACTIVITY[ L L i 7 8 9 10 11 44 PERSONNEL

EXPOSURES M NUMBER TYPE DESCRIPTION

7 8 9 11 12 13 PERSONNEL

INJURIES NUMBER DESCRIPTION

7 8 9 11 12 IETHOD OF ISCOVERY i5 45 45 DISCOVERY

DESCRIPTION

1 4 I 16 a LOCATION OF RELEASE I 80!80 I I 80 OFFSITE CONSEQUENCES

7A 1 LOSS OR DAMAGE TO FACILITY TYPE DESCRIPTION

78 !o PUBLICITY 78 7 89 0 ADDITIONAL

FACTORS 7 89 so 19 7 8 I 9 8OPHONE: 1.16-A-i APPENDIX B STANDARD FORMAT FOR REPORTING

NUMBER OF PERSONNEL

AND MAN-REM BY WORK AND JOB FUNCTION Number of Personnel

(> 100 mrem) Total Man-Rem Contract Workers Contract Workers Work & Job Function Station Employees I Utility Employees and Others Station Employees I Utility Employees and Others Reactor Operations

& Surveillance Maintenance Personnel Operating Personnel Health Physics Personnel Supervisory Personnel Engineering Personnel Routine Maintenance Maintenance Personnel Operating Personnel Health Physics Personnel Supervisory Personnel Engineering Personnel Inservice Inspection Maintenance Personnel Operating Personnel Health Physics Personnel-Supervisory Personnel-Engineering Personnel S Special Maintenance

-Maintenance Personnel Operating Personnel Health Physic s Personnel Supervisory Personnel Engineering Personnel Waste Processing Maintenance Personnel Operating Personnel Health Physics Personnel Supervisory Personnel Engineering Personnel Refueling Maintenance Personnel Operating Personnel Health Physics Personnel Supervisory Personnel Engineering Personnel TOTAL Maintenance Personnel Operating Personnel Health Physics Personnel Supervisory Personnel Engineering Personnel Grand Total i __ _ _ _ _ _ _ __ _ _ __ _ _ _ I _ _ _ _ _ _ _ J_ _ _ _ _ _ _ I I__ _ _ _ _ _ _.1_ _ _ _ _ _ _

APPENDIX C DOCKET NO.UNIT DATE COMPLETED

BY AVERAGE DAILY UNIT POWER LEVEL MONTH AVERAGE DAILY POWER LEVEL (MWe-net)AVERAGE DAILY POWER LEVEL (MWe-net)DAY 1 2 3 4 5 7 8 9 10 11 12 13 14 15 16 DAY 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 DAILY UNIT POWER LEVEL FORM INSTRUCTIONS

On this form, list the average daily unit power level in MWe-net for each day in the reporting month.Compute to the nearest whole megawatt.These figures will be used to plot a graph for each reporting month. Note that by using maximum.dependable capacity for the net electrical rating of the unit, there may be occasions when the daily average power level exceeds the 100% line (or the restricted power level line). In such cases, the average daily unit powei output sheet should be footnoted to explain the apparent anomaly.1.16-C-1 APPENDIX D UNIT DATE COMPLETED

BY DOCKET NO.-OPERATING

STATUS I. REPORTING

PERIOD: TTHROUGH HOURS IN REPORTING

PERIOD:

2. CURRENTLY

AUTHORIZED

POWER LEVEL.(MWth)____

-MAX. DEPENDABLE

CAPACITY (MWe-NET)3. LOWEST POWER LEVEL TO WHICH SPECIFICALLY

RESTRICTED (IF ANY) (MWe-NET):

4. REASONS FOR RESTRICTION (IF ANY): THIS REPORTING

PERIOD CUMULATIVE

TO DATE YR TO DATE 5. HOURS REACTOR WAS CRITICAL .............

6. REACTOR RESERVE SHUTDOWN HOURS .......

7. HOURS GENERATOR

ON LINE ...............

8. UNIT RESERVE SHUTDOWN HOURS ...........

9. GROSS THERMAL ENERGY GENERATED (MWH) ......................

1

0. GROSS ELECTRICAL

ENERGY GENERATED (MWH) ......................

1

1. NET ELECTRICAL

ENERGY GENERATED (M W H ) .............................12. REACTOR AVAILABILITY

FACTOR (1) .........1

3. UNIT AVAILABILITY

FACTOR (2) ............

14. UNIT CAPACITY I-ACTOR (3) ...............

15. UNIT FORCED OUTAGE RATE (4) ............

1

6. SHUTDOWNS

SCHEDULED

TO BEGIN IN NEXT 6 MONTHS (STATE TYPE, DATE, AND DURATION OF EACH): 17.18.IF SHUT DOWN AT END OF REPORT PERIOD, ESTIMATED

DATE OF STARTUP: UNITS IN TEST STATUS (PRIOR TO COMMERCIAL

OPERATION)

REPORT THE FOLLOWING:

DATE LAST DATE FORECAST ACHIEVED INITIAL CRITICALITY

INITIAL ELECTRICAL

POWER GENERATION

COMMERCIAL

OPERATION (1) REACTOR AVAILABILITY

FACTOR (2) UNIT AVAILABILITY

FACTOR (3) UNIT CAPACITY FACTOR (4) UNIT FORCED OUTAGE RATE HOURS REACTOR WAS CRITICAL= X 100 HOURS IN REPORTING

PERIOD HOURS GENERATOR

ON LINE= X 100 HOURS IN REPORTING

PERIOD NFT ELECTRICAL

POWER GENERATED MAX. DEPENDABLE

CAPACITY (MWe-NET)

X HOURS IN REPORTING

PERIOD FORCED OUTAGE HOURS HOURS GENERATOR

ON LINE + FORCED OUTAGE HOURS 1.16-D-1

.I .ýINSTRUCTIONS

FOR COMPLETING

OPERATING

DATA REPORT (APPENDIX

D)This report is to be furnished each month by licensees.

The name, telephone number and extension of the preparer should be provided in the space labeled"Completed By." The instructions below are provided to assist licensees in reporting the data consistently.

The numbering of the instruction matches that used on the report forma

t. OPERATING

STATUS 1. Reporting Period. The Period normally will be from 0001 of the first day through 2400 of the last day of the calendar month. There may be some slight variations, however, and this item should be used to indicate when such variations occur. Successive monthly reports should be consistent;

i.e., no gaps in time.Report as hour, year, month, day using 24-hour clock (0001, 750814 for 12:01 a.m. on August 14, 1975).Hours in reporting period should be calculated from report period.2. For the "net" figure, use Maximum Dependable Capacity.

Maximum Dependable Capacity is defined as the dependable main-unit capacity, winter or summer, whichever is smaller.3. Note that this item is applicable only if restrictions on the power level are in effect.-Short-term (less than one month) limitations on power level need not be presented in this item, since one of the important purposes of the item is to determine if, and at what power level, a restricted power level line should be drawn on the chart of average daily reactor power.Since this information is used to develop figures on capacity lost due to restrictions and because most users of the "Operating Plant Status Report" are primarily interested in energy actually fed to the distribution system, we request that this figure be expressed in MWe (net) in spite of the fact that that figure must be derived from MWth or percent power.4. Reasons for Restriction (if any). If item 3 is used, explain in item 4. Brief narrative is acceptable.

Cite references as appropriate.

Indicate whether restrictions are self-imposed or are regulatory requirements.

Be as specific as possible within space limitations.

Plants in startup and power ascension test phase should be identified here.

5. Self Explanatory

6. Reactor Reserve Shutdown Hours. The duration in hours that the reactor was removed from service for administrative or other reasons but was available for operation.

7. Self Explanatory

8. Unit Reserve Shutdown Hours. The duration in hours that the unit was removed from service for economic or similar reasons, but was available for operation.

9-1

0. Self Explanatory

11. Negative numbers should be used, if applicable.

12-15. For units still in the startup and power ascension test phase, items 12-15 should not be computed.Instead, enter N/A in the current month column. These four factors should be computed starting at the time the unit is declared to be in commercial operation.

The cumulative figures in the second and third columns should be based on commercial operation as a starting date. However, units already in commercial operation, for which cumulative figures have been based on different starting dates, need not recalculate the cumulative figures.12. Reactor Availability Factor. Compute by dividing Hours Reactor was Critical (Item 5) by Hours in Report Period (from Item 1). Express as percent, to nearest tenth of a percent. During months when the unit is shut down for the entire period due to non-reactor problems, enter "Not Applicable." Do not include reserve shutdown hours in the calculation.

13. Unit Availability Factor. Compute by dividing Hours Generator On Line (Item 7) by Hours in Report Period (from Item 1). Express as percent, to nearest tenth of a percent. Do not include reserve shutdown hours in the calculation.

14. Unit Capacity Factor. Compute by dividing Net Electrical Energy Generated (Item II) by the product of Maximum Dependable Capacity (MWe-net) (Item 2)times Hours in Report Period (from Item I). Express as percent, to the nearest tenth of a percent.15. Unit Forced Outage Rate. Compute by dividing Total Forced Outage Hours (from shutdown table, Appendix E) by the sum of flours Generator On Line (item 7) plus Total Forced Outage Hours (Appendix E).Express as percent, to nearest tenth of a percent.16. Shutdowns Scheduled to Begin in Next 6 Months. Include type (refueling, maintenance, other), proposed date of start of shutdown and proposed length of shutdown.

It is recognized that shutdowns may be scheduled between reports and that this item may not be all inclusive.

Be as accurate as possible as of the date the report is prepared.17. Self Explanatory.

18. Self -Explanatory.

Note, however, that this information is requested for all units in startup and power ascension test status, and is not required for units already in commercial operation.

'1.16-D-2

0 APPENDIX E UNIT SHUTDOWNS DOCKET NO.UNIT NAME DATE COMPLETED

BY REPORT MONTH TYPE METHOD OF-F-FORCED DURATION SHUTTING DOWN NO. DATE. S-SCHEDULED (HOURS) REASON (1) THE REACTOR (2) CORRECTIVE

ACTIONS/COMMENTS

ON (1) REASON A EQUIPMENT

FAILURE (EXPLAIN)B MAINT. OR TEST C REFUELING D-REGULATORY

RESTRICTION

E- OPERATOR TRAINING AND*LICENSE EXAMINATION

F- ADMINISTRATIVE

G- OPERATIONAL

ERROR (EXPLAIN)H -OTHER (EXPLAIN)(2) METHOD I --MANUAL 2 -MANUAL SCRAM 3 --AUTOMATIC SCRAM SUMMARY:

INSTRUCTIONS

FOR COMPLETING

MONTHLY UNIT SHUTDOWN REPORTS (APPENDIX

E)UNIT SHUTDOWNS This section should describe all plant shutdowns during the report period. In addition, it should be the source of e-planation of significant dips in average power levels (Appendix C). Each significant reduction in power level (greater than 20% reduction in average daily power level for the preceding

24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br />) should be noted, even though the unit may not have been shut down completely.'

For such reductions in power level, the shutdown duration should be zero, the method of shutting down the reactor should be N/A, and the Comments column should explain. The Comments column should be used to provide any needed explanation not adequately described by the coded columns. Please do not add to the list of codes or legends now furnished.

Similarly, do not add additional columns.NUMBER This column should indicate the sequential number assigned to each shutdown or significant reduction in power for that calendar year. When a shutdown or significant power reduction begins in one report period and ends in another, an entry should be made for both report periods to be sure all shutdowns or significant power reductions are reported.It is recognized that some judgment is required in categorizing shutdowns in this way. In general, a forced shutdown is one that would not have been completed in the absence of the condition for which corrective action was taken.DURATION (HOURS)Self explanatory.

When a shutdown extends beyond the end of a report period, count only the time to the end of the report period and pick up the ensuing down time in the following report periods. Report duration of outages or significant reductions in power rounded to the nearest tenth of an hour to facilitate summation.

REASON Categorize by letter designation in accordance with the table appearing on the report form. If none of the specified categories can be used, supply brief comments.METHOD OF SHUTTING DOWN THE REACTOR Categorize by number designation in accordance with the table appearing on the report form. If none of the specified categories can be used, supply brief comment

s. CORRECTIVE

ACTIONS/COMMENTS

Use this column to amplify or explain as necessary.

Where appropriate, the Comments column entries should provide identification of each shutdown or significant power reduction that occurs as a direct result of an abnormal occurrence on which a report has been or will be submitted. (This information may not be imme-diately evident for all such shutdowns, of course, since further investigation may be required to ascertain whether or not an abnormal occurrence was involved.)

When a direct correlation can be made between a given shutdown and a specific abnormal occurrence report, the Comments column entry, should state the abnormal occurrence report number and dat

e. SUMMARY INSTRUCTIONS

Write a brief summary (i.e., 3 to 4 sentences)

description of the highlights of operation of the unit for the reporting month.DATE This column should indicate the date of the start of each shutdown or significant power reduction.

Report as year, month, and day. August 14., 1975 would be reported as 750814. When a shutdown or significant power reduction begins in one report period and ends in another, an entry should be made for both report periods to be sure all shutdowns or significant power reductions are reported.TYPE Use "F" or "S'" to indicate either "Forced" or"Scheduled," respectively, for each shutdown or signific.ant power reduction.

Forced shutdowns include those required to be initiated by no later than the weekend following discovery of an off-normal condition.

'Note that this differs from the Edison Electric Institute (EEl)definitions of "Forced Partial Outage" and "Scheduled Partial Outage." For these terms, EEl uscs a change of 30 MW as the break point. For larger power reactors, 30 MW is too small a change to %%arrant explanation.

1.16-E-2