Regulatory Guide 1.16

Reporting of Operating Information

ML13350A370
Person / Time
Issue date:	10/31/1973
From:	US Atomic Energy Commission (AEC)
To:
References
RG-1.016, Rev. 1
Download: ML13350A370 (8)

-I

-

Revision 1 Se US. ATOMIC ENERGY COMMISSION

REGULATORY

DIRECTORATE OF REGULATORY STANDARDS

REGULATORY GUIDE 1.16 REPORTING OF OPERATING INFORMATION

Revision 1 October 1973 GUIDE

A. INTRODUCTION

SCction 50.36. "TTechnical Specifications." of 10 CFR Part 50, "Licensing ot Production and Utilizationi Facilities," requires that easch applicant for a license authorizing operation of a nuclear power plant include in his applica tion proposed technical specifications.

These technical specifications as approved by the AE-C

are incorrporated into tire facility license and are conditions oif the license. The technical specifications for nuclear power plants include a section on reporting requirements. In addition to the reporting requirements necessary for compliance with the technical specifications of the license, there are specific reporting requirements included in Part 50 as well as in Parts 20.

40. 70. and 73 of Title 10. For the convenience of licensees, these specific reporting requirements are included in the reporting program described in this guide. Each report discussed in this guide is either required by AEC regulations or is normally specified in licensees' technical specifications. In some 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 an individual-case basis. The Advisory Committee on Reactor S'feguards has heen consulted concerning this guide and has concurred in the regulatory position.

B. DISCUSSION

The information provided in the reports discussed herein should be sufficient to permit an assessment by the Commission of all safety-related activities during and following the startup of the facility.

In addition to those reports that relate to the safety of operation of the plant, the information on nuclear materials safeguards that must be reported pursuant to the ('omliission's regulations is also included. The AEI'

Regulatory staff has ieviewed Ihe types sf inorloratislat needed. Based oln !tis review and a review irf licensees'

current reporting pt igrai.;

the staff has developed guidelines fotr such repirtint.. Thik ituidc presents an acceptable reporting prourainn I ol powel reactor licensees. Ta hles I and II o1 this guide are coilpilaliotm.s of tinme limits or frequency :inlervals [tr subhnlitting routline and nonroutline report:,. Acceptable repoirtlin1 programs tor radioactive eflluents and environnmen.tal monitoring are presented in Regulatory Guides

1.21 (Safety Gtmide

211.

"Measuring and Reporting oft'

Effluents from Nuclear Pow\\ver

lait<.

and

4.1

"'Measuring and Reportine ofi' R:idioct'livilt itl the Environs of Nuclear Power P1lhnts."' respectively.

Significant differences in Revision I of this guide from Regulatory Guide 1.16o formerly Safety Guide 16)

dated October 27, 1971 are:

I.

Extensive quoting of the Commission*, regulations has been deleted. References to the appropriate portiots of the Commission's regulations are included itt Tables I

and !1 of this guide.

2.

For ease of reference the reporting summary table included in the original guide has been divided into two tables (Routine Reports and Nonroutine Reports)

3.

Reporting requirements have been updated ti reflect changes in the Comnmission's regulations and the reports required by the technical specifications.

4.

Appendix A of this guide. "Standard iormtatl I't Reporting Abnorinal Occuirrences." ha,: h'etn added to give guidance to licensees suhmittinzg abnormal occurrence reports.

"Lines indicatc substantive chaivs O'wn10 plcvihitls isslie.

USAEC REGULATORY GUIDES

Copies of published guides may be obtained by routs' ,ldicanig the divisions desired to the US. Atomic Energy Commission. Washinglon. D.C. 20545.

pleguletory Guides are sisued to describe and make avr table to the public Attention: Director of Regulatory Standards. Comments and wu9grtiodls tfo methods acceptable to thP AEC Regulatory stalf ot Implementing &peailic paris of ImprOvements In these guides ere encourAged and shotrid be ient to the Secretary the Comtn4tion's regulations. to delineate technijuest used by the Staff in of the Commission, U.S. Atomic Energy Commission. W*%hinl.to. D.C. 20545.

evaluating specific problems or potiulated accidents, or to provide guidance to Attention: Chief. Public Proceedings Stafl.

ipplicants. Regulatory Guides are not substitutes for regulations and compliance with them ih not required. Methods and eolutions different from those set oul In I he guides are issued in the following ten broad dcviSons:

the guides will be acceptable If they provide a basit for the findings requisi Power Reor

6. Products the issuance or continuance of a permit or license by the Commission.

2. RePearch and Test Reactors

7. T

samotatne

3. Fuels ant] Materials Facilities

8. Occuttationiri Hal h Published guides will be revised periodically, as a~ptopriate, to accommodalte

4, Envitonmntol and Siting

9. Ar-rtruit Rr.v,ewv commentS and to reflect new information or eaperience.

5. Materials and Plant Protection

1

0. Genetal

,,

,III

I*1 ]11 II

II I- -

-

-

C. REGULATORY POSITION

The following reporting program should be used to implement the reportintg requirements of 10 CFR Parts 20, 40. 50. 70. 73, and teporting requirenments imposed by the AEC as license conditions. including those reports required by thie tclnlical specilrCations.

1.

Routine Reports a.

Operations Reports'

I I ) Startup Report. A summary. report of plant startot) and power escalation testing should he submittcd I'o0lowitrg reccipi t it' ai upctatintg license, tollowing an amendment it the licenise involving -a planned increase in power level. ft,..owin iv the iLnstall.'tinn of rrel il has if different design ur hlas been nranuutfactrrred by a different fuel supplier. or fIOllowing modi fications dial nay haive signifilcantly ahlrred the nuclear. thermal. or hydranlic perftorniance iI" Ithe pl:ant. The report should include a description of The :mc:c*scIcd

';iltiues tit' the ocerating conditions or ctharacteristics obtained during the test progratn and a comnparison of these values with design predictions and specifications. Any corrective actions that Were requ.ired to obtain sattisfactlotv operarior should also he' dcr itwcd.

Sr rtrup reporls sluimld lie slrblnlilrled willitm I1) 10 clays following cormpletion of Ire stalt tip test ptoi gra in. (2)

90 days following resturnpli cr rit ior c ntten nt o1f c rommerciaI po'wer operation. or

31 t ) nronths following initial criticality.

whichever is earliest. If thie Startutp Report does not cover all tihrec cverrts. i..

initiial criticalily. cotmlpletion ot S :c rl tip t st C

plro ra iii.

rod resl rillpt loll or ce to nmterncete.

of

o

Inetrrc ial poe'r operatiion.

Suplplementa'ry rep.crts Slhou.ld he srtbitritted at least every lthrce rir*ithl trit

i ll!

hi c evonts are t.orrpleted.

(2)

First Year Operaton Report.

A report sh1trld hC subnrittled wit hin 60 days aftier completion of the first year oit operalion.

This .tar begi ms oc coltplet ion tt'o all three evetlt s listed in C.;.a.i i ). This report mtay he incorpor:ated into tile semiatrtrtl olperatrino relport rard shurld cover tire following:

(:ill

m ,n v

ltr;!tit1In

'; plhrtl p*rltl'lrr ltcc hi dale in corinlprisim wi! Ii

'sicti

!tiedicticlns and S1

• O:

ili

c. l iI

jihltilsl'

,ilil

.**

subriitied Witlh the license application i1" measured operating characteristics indicate that there may be substantiialvariance fronm prior analyses:2 (c)

an assessrenrt of file performance of strtctures.

sysletrs. and components iml'-rtant to safety:

thill iti, Ca, L !,.

l.

.1titihctcld bhe S.tllrith:

ill writirg tI0

Ie I)reclror or r th I

e ;Ipprlrltialte AViC Re utailort - (i,,cration n

Regionial Office.

2I'rciously r it rit tedl sal

% ;!

rays

i. s repo r r

i V.

inLccrloritlcl hb t eretilrce.

(d) a progress and status report oir airy items identified as requiring additional inforitation during tire operating license review or during the startup of tlie facility, including ilemns discussed in tile AEC's Safely Evaluation Repmrt and Supplements, items on which additional information was required as a conrdition of the license. and itemrs identified in the licensee's st:artup report: and (e) a report of measured in-plant radiation levels which are greater thiran those estimated irr the final safety analysis report by a factor of two or more.

(3) Semiannual Operating Reports? Routine operating reports covering tire operation o tIrh pre2 us h

(I mionths should be subtrmitted witiirt 60 days after Jartnuary I and Jtly I of each year. The initial report shtitld he stthlirited Withint 00 days after the cild iI' the first six-nmonth period during which initial criricalily took place. Fa ch report should inelnrde the followirrg:

(a)

Operations Sumrnmar'. A stinrirary of operating experience occurring during the reportiog period that relates to tire s:icu operation of the facility.

including a sumnmary of:

(i)

changes in facility design.

(it) performance characteristics (e.g..

eqttipreti t ;tnid fuel per formlance),

(iii) changes in) operating procedutres which were necessitated by (i) and (ii) above or which otherwise were required to improve thie saklty of operations, (iv) results of surveillance tests and inspections required by the licensee's technical speciftications.

(v)

the results of aniy periodic cottainment leak rate tests performed during the reporting period.

(vi) a brief suimmary of tirosk cihtanges.

tests. and experiments requiring auLthorization from the Commission purtntant to 10 CMR 50.59(a), and (vii) any chanrges in thie p1lnt operating staff for thiose positions designated as key stipervisory personniel positions in the technical specificairs.

(b)

powet generated Power Generation. A sumnnmary of during the reporting period including:

(iM gross thermal power geterated (itn MWI 1).

(ii) gross electrical power generated (in MWH),

(iii) number of iours tire reactor was critica!,

(iv) number of hours the generator was on line, and (v)

histogram of thermal power vs.

t if e.

'A sinrde subliimr itl may be imadrde for a multiple facility mat iim. The stticrrthittal shiould corritine tinrow. eclions Irh are comllrrrlrn iI all I'acilitics at ilre station.

I .I0c-2

I

(c) Shutdowns.

Descriptive material covering all outages occurring during the reporting period. For each outage, information should be provided oil:

(i) tile cause of the outage, (ii) the inethud of shutting down the

]reactor; e.g.. trip, automatic rundown, or manually controlled deliberate shutdown'

(iii) duration of the outage (in hours),

(iv) plant status during the outage'

e.g.. cold shutdown or hot standby, and (v) corrective action taken to prevent repetition, if appropriate.

(d) Maintenance.

A

discussion of corrective maintenance (excluding preventive maintenance) performed during the reporting period on safety-related systems and components4 and on systems and components that reduce or prevent the release of radioactive materials to the environs.

For any malfunction for which corrective maintenance was required, information should be provided on:

(i) t he system or component involved, (ii) the cause of the malfunction.

(iii) the results and effect on saf.

operation. and (iv) corrective action taken to prevent repetition.

(e) Changes, Tests and Experiments. A

brief description and the summary of the safety evaluation for those changes, tests, and experiments, carried out without prior Commission approval pursuant to the provisions of IOCFR 50.59(b).

(f) Primary Coolant Chemistry.

A

tabulation on a monthly basis of the maximum. average, and minimum values for the following primary coolant system parameters:

(i) Gross radioactivity in pCi/ml.

(ii) Suspended solids in parts per million.

(iii) Gross tritium in pCi/ml.

(iv) Iodine 131 in pCi/ml, (v) Ratio of Iodine-131 to Iodine-I133.

(vi) Hydrogen in cc per kg.

(vii) Lithium in parts per million.

(viii) Boron-lO in parts per million.

(ix) Oxygen-16 in parts per billion, (x) Chloride in parts per million, and (xi) pH at 250C.

4Those plant features necessary to assure the integrity of the reactor coolant pressure boundary. the capability to shut down the reactor and maintain it in a jal'vo shtdown condition.

or the capability to prevent or miti~oc tite consequences of1 accidents which could result in o.itc e,'i.sures comparable to the guideline exposures of 10 CFR Part 100.

(g) Occupational Personnel Radiation Exposure i) A tabulation of 0i1e titinher Of occupational personnel exposures for plan' operations personnel (permanent and temporary) in the following exposure increments for the reporting period: less thatn

100 mrerm, 100-250 ortem. 250-500

ntoem. 5001-750

morem, 750-1000 mrem. 1-2 rem. 2.3 retn. 3.4 rem. 4-S

rem, 5.6 rem, and greater than 6 remi.

(ii) A tabulation of the nurniter ot'

personnel receiving more than 500 mrem exposure in the reporting period according to duty function le.g..

routine plant surveillance and inspection (regular duty),

routine plant maintenance, special plant mainten:itce (describe maintenance).

routine fueling operation.

special refueling (,peration (describe opetation*.

and other job-related exposures.]

(iii) A tabulation annually of the number of personnel receiving more than 3 rein atnd fie major cause(s).

(hi)

FSAR Changes. Submission of revised FSAR pages on a replacement page basis appropriately r7epared for direct insertion into the applicable FSAIR

section and describing all safety.related chaniges in'

facility design. method of operation. revised safety or transient analysis. or f:,cility equipment additiots. Also a listing of effective pages by date of revision or revisiotn number should be submitted.

b.

Additional Routine Reporting Requirements.

Table 1 lists routine reports required by 10 CFR Parts 20. 40, 50. and 70. including those listed in Regulatory Position C.I .a.

2.

Nonroutine Reports a.

Reporting of Abnormal Events

(1) Abnormal Occurrence Reports.

A

notification must be made within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> by telephone and telegraph to the Director of the appropriate AlFC

Regulatory Operations Regional Office. (cc to the Director of Licensing) followed by a written report wihrin 10 days to the Director of the appropriate AlEC

Regulatory Operations Regional Office in the event of an abnormal occurrence.

Appendix A of this guide,

"Standaid Format for Reporting Abnormal Occurrences.- should be used as guidance when submitting abnotmtal occurrence reports.

Abnormal occurrences are defined in the definitions section of the licensee's technical specifications and usually include, as a miniutitll, items (a) through (h) of this paragraph.

1 1 -3

(a)

A

safety. systeil setting-

ess conlservative titan the limiting setting, established in the technical specifications.

(b) Conditions which result in a limiting condition for operations established in the technical specilfications not being met.

'0

Abnormal degradation of one of thie several boundaries designed to contain radioactive materials.

(d) An unplanned or uncontiolled release of radioactive material from the site boundary.

(e)

Uncontrolled or unanticipated changes in reactivity "qual to or greater than 1% Akikk.

(')

Incidents or conditions which prevented or could have prevented the performance of thle intended safely function of an engineered safely feature system or of the reactor protection system.

(g) Observed inadequacies in the implementation of administrative or procedural controls such that the inadequacy causes or threatens to cause the existence or development of an unsafe condition in connection with tile opelation of the plant.

(h) Conditions arising from natural of man-made events that affect or threaten to affect the sale operation of the plant.

(2) Reporting of Unusual Events. A written report should be forwarded within 30 days to the Director of t(ie appropriate AEC Regulatory Operations Regional Office, in the event of:

(a)

Discovery of any substantial errors in the transient or accident analyses, or in the methods used for such aitalyses. as described in the Safety Analysis Report or in the bases for the technical specificat ions.

(b)

Discovery of any substantial variance from performance specifications contained in the technical specifications or in thle Safety Analysis Report.

(c) Discovery of any condition involving a ipossible single failure which. for a system intended to be designed against assumed single failures. could result in a loss of the capability Of the system to perform its safety

'loun ion.

b.

Additional Nonroutine Reporting Requirements Table II lists nonroutine reports required by 10 CFR Parts 20. 40, 50, 70, and 73. including those listed in Regulatory Position C.2.a.

i

5A~ defined in 10CF]R 50.36(c).

1.16-4

0e Requirement T'SI

TS

TS

§20.407

§20.408

§40.64(a)

§40.64(a)

§40.64(b)

§50.59(b)

§70.53

§70.54

§70.54 Appendix G to

10 CFR Part 50

Appendix H to

10 CFR Part 50

Appendix J to

10 CFR Part 50

Startup First Year (

Semiannual Personnel E

Personnel E

Employmen Transfer of Receipt of ,

Source Mate Changes, Te Special Nuc.

Transfer of Receipt ofS

Fracture To TA8LE I

REPORTING SUMMARY-ROUTINE REPORTS*

Report Timing of Submittal Within (1) 90 days following completion of the startup test program, (2) 90 days following resumption or commencement of commercial power operation, or (3)

9 months following initial criticality. whiiclhever is earhest.

If all thrce events arc not completed. supplementairy reports every 3 monu~ths.

)perat.on Within 60 days after completion of the first yeat of operation.

Within 60 days after January Iand July I of each year.

xposure and Monitoring Within first quarter of each calendar year.

xposure on Termination of Within 30 days after the exposure of the individual has it or Work been determined or 90 days after date of termination of employment or work assignment. whichever is earlier.

Source Material Promptly upon transfer.

ource Material Within 10 days after material is received.

erial Inventory Within 30 days after June 30 of each year.

sts, and Experiments Annually or at Ahorter intervals as may be specified in the license.

lear Material Status Within 30 days after June 30 and December 31 of eachi year.

Special Nuclear Material Promptly upon transfer.

Special Nuclear Material Within IK days after material is received.

ughness On an individual-case basis at least 3 years prior to the date when the predicted fracture toughness levels will no longer satisfy the requirements of section V.B. of Appendix G to 10 CFR Part 50.

ssel Material Surveillance Completion of tests after each capsule withdrawal.

ntainment Building Approximately 3 months following conduct of test.

.eak Rate Test Reactor Ve Reactor Con Integrated L

ITechnical Specifications

1.16-S

A

4

. .

TABLE II

REPORTING SUMMARY-NON ROUTINE REPORTS

Initial Writtan Report Within

10 days

15 days

30 days

3 mo Requirement Report Notification T'I

TS

Abnormal Occurrence Unusual Events Within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> X

§20.405

§20.402 Overexposures and Excessive Levels of Radiation and Concentration of Radioactive Material X

X

X

Theft or Loss of Material Immediately

§20.403(a)

Severe Accident lnvolhiir Licensed Material

§20.403(b)

Accident Involving Licensed Material Imnediately Within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br />

§40.64(c)

§ 50.59(d)

§ 70.52

§ 73.42 Theft or Unlawful Diversion of Source Material Authorization of Cl, Tesrre*.

"cs,.

and Experiments Accidential Criticality or Loss of Special Nuclear Material Unaccounted for Shipments.

Suspected Theft.

or Unlawful Diversion of Special Nuclear Material Prompt ly X

IP'rotmplvl I tmnmediately X

TS

Special V.

'Technical Specifications.

AEC authorization is required prior u) perfokrniinc a chune. tcsi. ,r e\\perime1nt in tlis L.lteyorV.

3Special reports covering inspections, tests. and maintenance that are appropriate to assure safe operaliol of'i lt fIcliliry. Tile frequency and content of these special reports are determined on an individual case basis and designated in tis. i echinic.rl Sw.cifw.'ation5.

Such reports include inservice inspection. tendon sunreillance procrani study, fuel inspection. and contanirnment s*lr ur:l :c'.ls.

I .16-6

A

9 t

.

-

a

0

APPENDIX A

STANDARD FORMAT FOR REPORTING ABNORMAL OCCURRENCES

The standard format for submission of abnormal occurrence reports (AOR)

identifies the principal information that should be contained in a completed AOR and gives a' format for presenting it. In the course of reviewing past AOR's the AEC Regulatory staff has found a wide variance in the type and detail of information reported. To assure that AOR's submitted are consistent both in format and in the principal information included, the format for abnormal occurrence reports presented below should he usci and the information requested should be submitted when applicable. If investigation is not complete by the time the initial report is submitted, the licensee should so indicate and give estimated time when a supplemental report will be submitted.

STANDARD FORMAT FOR ABNORMAL OCCURRENCE REPORTS

Report Number: . (1)

Report Date:

(2a)

Occurrence Date:

(2b)

Facility:

(3)

Identification of OccUrrence:

(4)

Description of Occurrence:

(6)

Designation of Apparent Cause of Occurrence:

(7)

Design Manufacture Installation/Construction

-Operator

-Procedure

-Unusual Service Condition Including Environmental

-Component Failure

-Other (specify)

Analysis of Occurrence:

(8)

Corrective Action:

(9)

Failure Data:

(10)

Conditions Prior to Occurrence:

(5)

-

Steady-State Power

-

Hot Standby

-

Cold Shutdown

-

Refueling Shutdown

-

Routine Startup Operation

-

Routine Shutdown Operation Load Changes During Routine Power Operation

-

Other (Specify)

NOTES TO AOR STANDARD FORMAT

I. Report Number:

Abnormal occurrence reports should be numbered sequentially on a calendar-year basis for each facility (or each unit of a multi-unit site) using the facility (unit) docket number as the principal identifier (e.g.,

Docket NumberJYear-Sequential Number in calendar year).

Supplementary reports should be numbered using alphabetical identifying letters following the principal report number (e.g.,

Docket Number/Year-Sequential Number in calendar year-alphabetical letter identifying supplementary report.)

2. Report Date: Date occurrence.

of (a) report submitted and (b)

3. Facility: Name and location of facility.

4. Identification of Occurrence:

The abnotmal occurrence should be identified by a short title'

which identifies the type of abnormal occurrence and the system, component. or even, involved.

(Regulatory Position C.2.a.(I) should be used as a guide for listing the type of abnorml occurrence.)

1.16-7

a S. Conditions Prior to Occurrence: Thie applicable c:apf ion should be used followed by a description of plant status prior to tie abnormal occurrence.

Major plant parameters should be included.

6. Description of Occurrence:

A chronological sequence of events should be described in an objective manner.

The following should be included:

a. Method of detection and time of detection.

b.

Step-by.step sequoence of events identif'ying all protection system :tctions and operator actions to hrmig fhc sitation under control.

7. Designation of Apparent Cause of Occurrence: The single apparent cause should be identified and narrated. When other causes contributed to the abnormal occurrence. the narrative of the apparent cause should discuss fully the single cause assigned and the contributing causes assigned.

8.

Analysis of Occurrence: The abnormal occurrence should be analyzed for safety implications. The analysis of effect." and the attendant consequences should include tile following information, as applicable:

a. Maximum and

,minimum conditions during transients.

b. Equipment malfunction.

c. Operator error.

d. Damage to systems.

components.

and structures.

e.

Personnel injuries.

f.

Personnel exposures.

g.

Quinmtity and composition of radioactive materials released.

Ih. The consequences cr potential colsequnclies

ýfrom the standpoint of public healfli and safety.

9. Corrective Action:'

The following informalion should he provided:

a.

Correclive action lakcn (or to he laken) to correct tile abnormal occurrence.

It. Corrective action taketn (or to he i;keinL) hn prevent repetilion of the occurreince and

)I

similar occurrences.

10. Failure Data: Where equipment failure is cause of the occurrence or equipment failed as a result o1f tile occurrence, the following inforilmlion should be provided:

a.

Record of previous failures :rmd inallfunctions it the affected systems and components or ot similar equipment.

b.

Equipment identification (e.g..

componcMtt.

mnufacturer. natile plate data).

'The cautse of [tie occurrence is described in Item 7.

"Designation of Apparent Cause of Occurrence." and Ihc action taken to bring the situation under control is disetss'cd in Item 6, "Description of Occurrence."

Tlihest items should not be repeated in this discussion.

1.16-8