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

1SeUS. ATOMIC ENERGY COMMISSION

REGULATORY

DIRECTORATE

OF REGULATORY

STANDARDS

REGULATORY

GUIDE 1.16REPORTING

OF OPERATING

INFORMATION

Revision

1October 1973GUIDE

A. INTRODUCTION

SCction 50.36. "TTechnical Specifications."

of 10CFR Part 50, "Licensing ot Production and Utilizationi Facilities,"

requires that easch applicant for a licenseauthorizing operation of a nuclear power plant includein his applica tion proposed technical specifications.

These technical specifications as approved by the AE-Care incorrporated into tire facility license and areconditions oif the license.

The technical specifications fornuclear 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 oflicensees, these specific reporting requirements areincluded in the reporting program described in thisguide. Each report discussed in this guide is eitherrequired by AEC regulations or is normally specified inlicensees'

technical specifications.

In some cases thisprogram may need to be supplemented or modifiedbecause of unique plant design features or other factors.The need for a supplemental or modified program willbe determined on an individual-case basis. The AdvisoryCommittee on Reactor S'feguards has heen consulted concerning this guide and has concurred in theregulatory position.

B. DISCUSSION

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

In addition to those reports that relate to the safetyof operation of the plant, the information on nuclearmaterials safeguards that must be reported pursuant tothe ('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 anacceptable reporting prourainn I ol powel reactorlicensees.

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 theEnvirons of Nuclear Power P1lhnts."'

respectively.

Significant differences in Revision I of this guidefrom 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 portiotsof the Commission's regulations are included itt Tables Iand !1 of this guide.2. For ease of reference the reporting summary tableincluded in the original guide has been divided into twotables (Routine Reports and Nonroutine Reports)3. Reporting requirements have been updated tireflect changes in the Comnmission's regulations and thereports required by the technical specifications.

4. Appendix A of this guide. "Standard iormtatl I'tReporting Abnorinal Occuirrences."

ha,: h'etn added togive guidance to licensees suhmittinzg abnormaloccurrence reports."Lines indicatc substantive chaivs O'wn10 plcvihitls issli

e. 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 tfomethods 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. Productsthe 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 hPublished guides will be revised periodically, as a~ptopriate, to accommodalte

4, Envitonmntol and Siting 9. Ar-rtruit Rr.v,ewvcommentS

and to reflect new information or eaperience.

5. Materials and Plant Protection

10. Genetal,, ,III ]11 II

• II I- ---

C. REGULATORY

POSITIONThe following reporting program should be used toimplement the reportintg requirements of 10 CFR Parts20, 40. 50. 70. 73, and teporting requirenments imposedby the AEC as license conditions.

including those reportsrequired by thie tclnlical specilrCations.

1. Routine Reportsa. Operations Reports'I I ) Startup Report. A summary.

report of plantstartot)

and power escalation testing should he submittcd I'o0lowitrg reccipi t it' ai upctatintg license, tollowing anamendment it the licenise involving

-a planned increase inpower level. ft,..owin iv the iLnstall.'tinn of rrel il has ifdifferent design ur hlas been nranuutfactrrred by a different fuel supplier.

or fIOllowing modi fications dial nay haivesignifilcantly ahlrred the nuclear.

thermal.

or hydranlic perftorniance iI" Ithe pl:ant. The report should include adescription of The

';iltiues tit' the ocerating conditions or ctharacteristics obtained during the testprogratn and a comnparison of these values with designpredictions and specifications.

Any corrective actionsthat Were requ.ired to obtain sattisfactlotv operarior should also he' dcr itwcd. Sr rtrup reporls sluimld lieslrblnlilrled willitm I1) 10 clays following cormpletion ofIre stalt tip test ptoi gra in. (2) 90 days following resturnpli cr rit ior c ntten nt o1f c rommerciaI

po'weroperation.

or 31 t ) nronths following initial criticality.

whichever is earliest.

If thie Startutp Report does notcover all tihrec cverrts.

i.. initiial criticalily.

cotmlpletion ot S :c rl tip t st C plro ra iii. rod resl rillpt loll orce to nmterncete.

of :o Inetrrc ial poe'r operatiion.

Suplplementa'ry rep.crts Slhou.ld he srtbitritted at leastevery lthrce trit ;i ll! hi c evonts are t.orrpleted.

(2) First Year Operaton Report. A reportsh1trld hC subnrittled wit hin 60 days aftier completion ofthe first year oit operalion.

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

(:ill ;m ,n v:ltr;!tit1In

'; plhrtl ltcc hidale in corinlprisim wi! Ii 'sicti !tiedicticlns andS1 O: ilic.l iI jihltilsl'

,ilil subriitied Witlh the license application i1" measuredoperating characteristics indicate that there may besubstantiialvariance fronm prior analyses:2 (c) an assessrenrt of file performance ofstrtctures.

sysletrs.

and components iml'-rtant tosafety:thill iti, Ca, L !,. l. .1titihctcld bhe S.tllrith:

ill writirg tI0Ie I)reclror or r th I e ;Ipprlrltialte AViC Re utailort

-(i,,cration nRegionial Office.2I'rciously r it rit tedl sal % ;! raysi.s repo r r i V.inLccrloritlcl hb t eretilrce.

(d) a progress and status report oir airyitems identified as requiring additional inforitation during tire operating license review or during the startupof tlie facility, including ilemns discussed in tile AEC'sSafely Evaluation Repmrt and Supplements, items onwhich additional information was required as aconrdition of the license.

and itemrs identified in thelicensee's st:artup report: and(e) a report of measured in-plant radiation levels which are greater thiran those estimated irr the finalsafety analysis report by a factor of two or more.(3) Semiannual Operating Reports?

Routineoperating reports covering tire operation o tIrh pre2 us h(I mionths should be subtrmitted witiirt 60 days afterJartnuary I and Jtly I of each year. The initial reportshtitld he stthlirited Withint 00 days after the cild iI' thefirst six-nmonth period during which initial criricalily took place. Fa ch report should inelnrde the followirrg:

(a) Operations Sumrnmar'.

A stinrirary ofoperating 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 whichotherwise were required to improve thie saklty ofoperations, (iv) results of surveillance tests andinspections required by the licensee's technical speciftications.

(v) the results of aniy periodiccottainment leak rate tests performed during thereporting period.(vi) a brief suimmary of tirosk cihtanges.

tests. and experiments requiring auLthorization from theCommission 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 ofduring the reporting period including:

(iM gross thermal power geterated (itnMWI 1).(ii) gross electrical power generated (in MWH),(iii) number of iours tire reactor wascritica!,

(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 facilitymat iim. The stticrrthittal shiould corritine tinrow. eclions Irh arecomllrrrlrn iI all I'acilitics at ilre station.I .I0c-2 I *(c) Shutdowns.

Descriptive materialcovering all outages occurring during the reporting period. For each outage, information should be providedoil:(i) tile cause of the outage,(ii) the inethud of shutting down the]reactor;

e.g.. trip, automatic rundown, or manuallycontrolled 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 preventrepetition, if appropriate.

(d) Maintenance.

A discussion ofcorrective maintenance (excluding preventive maintenance)

performed during the reporting period onsafety-related systems and components4 and on systemsand components that reduce or prevent the release ofradioactive materials to the environs.

For anymalfunction for which corrective maintenance wasrequired, 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 preventrepetition.

(e) Changes, Tests and Experiments.

Abrief description and the summary of the safetyevaluation for those changes, tests, and experiments, carried out without prior Commission approval pursuantto the provisions of IOCFR 50.59(b).

(f) Primary Coolant Chemistry.

Atabulation on a monthly basis of the maximum.

average,and minimum values for the following primary coolantsystem parameters:

(i) Gross radioactivity in pCi/ml.(ii) Suspended solids in parts permillion.(iii) Gross tritium in pCi/ml.(iv) Iodine 131 in pCi/ml,(v) Ratio of Iodine-131 toIodine-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 ofthe reactor coolant pressure boundary.

the capability to shutdown the reactor and maintain it in a jal'vo shtdown condition.

or the capability to prevent or miti~oc tite consequences of1accidents which could result in o.itc e,'i.sures comparable tothe guideline exposures of 10 CFR Part 100.(g) Occupational Personnel Radiation Exposurei) A tabulation of 0i1e titinher Ofoccupational personnel exposures for plan' operations personnel (permanent and temporary)

in the following exposure increments for the reporting period: less thatn100 mrerm, 100-250 ortem. 250-500 ntoem. 5001-750morem, 750-1000

mrem. 1-2 rem. 2.3 retn. 3.4 rem. 4-Srem, 5.6 rem, and greater than 6 remi.(ii) A tabulation of the nurniter ot'personnel receiving more than 500 mrem exposure in thereporting 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 andother job-related exposures.]

(iii) A tabulation annually of thenumber of personnel receiving more than 3 rein atnd fiemajor cause(s).

(hi) FSAR Changes.

Submission of revisedFSAR pages on a replacement page basis appropriately r7epared for direct insertion into the applicable FSAIRsection and describing all safety.related chaniges in'facility design. method of operation.

revised safety ortransient analysis.

or f:,cility equipment additiots.

Also alisting 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 Parts20. 40, 50. and 70. including those listed in Regulatory Position C.I .a.2. Nonroutine Reportsa. Reporting of Abnormal Events(1) Abnormal Occurrence Reports.

Anotification 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 AlFCRegulatory Operations Regional Office. (cc to theDirector of Licensing)

followed by a written reportwihrin 10 days to the Director of the appropriate AlECRegulatory Operations Regional Office in the event ofan abnormal occurrence.

Appendix A of this guide, "Standaid Format for Reporting Abnormal Occurrences.-

shouldbe used as guidance when submitting abnotmtal occurrence reports.Abnormal occurrences are defined in thedefinitions 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-

essconlservative titan the limiting setting, established in thetechnical specifications.

(b) Conditions which result in a limitingcondition for operations established in the technical specilfications not being met.'0 Abnormal degradation of one of thieseveral boundaries designed to contain radioactive materials.

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

(e) Uncontrolled or unanticipated changesin reactivity

"qual to or greater than 1% Akikk.(') Incidents or conditions whichprevented or could have prevented the performance ofthle intended safely function of an engineered safelyfeature system or of the reactor protection system.(g) Observed inadequacies in theimplementation of administrative or procedural controlssuch that the inadequacy causes or threatens to causethe existence or development of an unsafe condition inconnection with tile opelation of the plant.(h) Conditions arising from natural ofman-made events that affect or threaten to affect thesale operation of the plant.(2) Reporting of Unusual Events. A writtenreport should be forwarded within 30 days to theDirector of t(ie appropriate AEC Regulatory Operations Regional Office, in the event of:(a) Discovery of any substantial errors inthe transient or accident analyses, or in the methodsused for such aitalyses.

as described in the SafetyAnalysis Report or in the bases for the technical specificat ions.(b) Discovery of any substantial variancefrom performance specifications contained in thetechnical specifications or in thle Safety Analysis Report.(c) Discovery of any condition involving aipossible single failure which. for a system intended to bedesigned against assumed single failures.

could result in aloss of the capability Of the system to perform its safety'loun ion.b. Additional Nonroutine Reporting Requirements Table II lists nonroutine reports required by 10CFR Parts 20. 40, 50, 70, and 73. including those listedin Regulatory Position C.2.a.i5A~ defined in 10CF]R 50.36(c).

1.16-4

0eRequirement T'SITSTS§20.407§20.408§40.64(a)

§40.64(a)

§40.64(b)

§50.59(b)

§70.53§70.54§70.54Appendix G to10 CFR Part 50Appendix H to10 CFR Part 50Appendix J to10 CFR Part 50StartupFirst Year (Semiannual Personnel EPersonnel EEmploymen Transfer ofReceipt of ,Source MateChanges, TeSpecial Nuc.Transfer ofReceipt ofSFracture ToTA8LE IREPORTING

SUMMARY-ROUTINE

REPORTS*Report Timing of Submittal Within (1) 90 days following completion of the startuptest program,

(2) 90 days following resumption orcommencement 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 ofoperation.

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 hasit or Work been determined or 90 days after date of termination ofemployment 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 inthe license.lear Material Status Within 30 days after June 30 and December

31 of eachiyear.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 thedate when the predicted fracture toughness levels will nolonger satisfy the requirements of section V.B. ofAppendix 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 TestReactor VeReactor ConIntegrated LITechnical Specifications

1.16-S

A4 ..TABLE IIREPORTING

SUMMARY-NON

ROUTINE REPORTSInitial Writtan Report Within10 days 15 days 30 days 3 moRequirement ReportNotification T'ITSAbnormal Occurrence Unusual EventsWithin 24 hour2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br />sX§20.405§20.402Overexposures and Excessive Levelsof Radiation and Concentration ofRadioactive MaterialXXXTheft or Loss of MaterialImmediately

§20.403(a)

Severe Accident lnvolhiir LicensedMaterial§20.403(b)

Accident Involving LicensedMaterialImnediately Within 24 hour2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br />s§40.64(c)

§ 50.59(d)§ 70.52§ 73.42Theft or Unlawful Diversion ofSource MaterialAuthorization of Cl,

"cs,.and Experiments Accidential Criticality or Loss ofSpecial Nuclear MaterialUnaccounted for Shipments.

Suspected Theft. or UnlawfulDiversion of Special NuclearMaterialPrompt lyXIP'rotmplvl I tmnmediately XTSSpecialV.'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.

Tilefrequency 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 ur:l :c'.ls.I .16-6 A9t.-a0APPENDIX

ASTANDARD

FORMAT FOR REPORTING

ABNORMAL

OCCURRENCES

The standard format for submission of abnormaloccurrence reports (AOR) identifies the principal information that should be contained in a completed AOR and gives a' format for presenting it. In the courseof reviewing past AOR's the AEC Regulatory staff hasfound a wide variance in the type and detail ofinformation reported.

To assure that AOR's submitted are consistent both in format and in the principal information included, the format for abnormaloccurrence reports presented below should he usci andthe information requested should be submitted whenapplicable.

If investigation is not complete by the timethe initial report is submitted, the licensee should soindicate and give estimated time when a supplemental report will be submitted.

STANDARD

FORMAT FOR ABNORMAL

OCCURRENCE

REPORTSReport 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)DesignManufacture 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

FORMATI. Report Number: Abnormal occurrence reportsshould 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 theprincipal identifier (e.g., DocketNumberJYear-Sequential Number in calendar year).Supplementary reports should be numbered usingalphabetical identifying letters following theprincipal report number (e.g., DocketNumber/Year-Sequential Number in calendaryear-alphabetical letter identifying supplementary report.)2. Report Date: Dateoccurrence.

of (a) report submitted and (b)3. Facility:

Name and location of facility.

4. Identification of Occurrence:

The abnotmaloccurrence 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 aguide for listing the type of abnorml occurrence.)

1.16-7 aS. 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 anobjective manner. The following should beincluded:

a. Method of detection and time of detection.

b. Step-by.step sequoence of events identif'ying allprotection system :tctions and operator actionsto hrmig fhc sitation under control.7. Designation of Apparent Cause of Occurrence:

Thesingle apparent cause should be identified andnarrated.

When other causes contributed to theabnormal occurrence.

the narrative of the apparentcause should discuss fully the single cause assignedand the contributing causes assigned.

8. Analysis of Occurrence:

The abnormal occurrence should be analyzed for safety implications.

Theanalysis of effect."

and the attendant consequences should include tile following information, asapplicable:

a. Maximum and ,minimum conditions duringtransients.

b. Equipment malfunction.

c. Operator error.d. Damage to systems.

components.

andstructures.

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 andsafety.9. Corrective Action:'

The following informalion should he provided:

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

It. Corrective action taketn (or to he i;keinL)

hnprevent repetilion of the occurreince and )Isimilar occurrences.

10. Failure Data: Where equipment failure is cause ofthe occurrence or equipment failed as a result o1ftile occurrence, the following inforilmlion shouldbe provided:

a. Record of previous failures

rmd inallfunctions itthe affected systems and components or otsimilar 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 Ihcaction taken to bring the situation under control is disetss'cd in Item 6, "Description of Occurrence."

Tlihest items shouldnot be repeated in this discussion.

1.16-8