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 Revision 1 October 1973 Se US. ATOMIC ENERGY COMMISSION

REGULATORY

DIRECTORATE OF REGULATORY STANDARDS

GUIDE

REGULATORY GUIDE 1.16 REPORTING OF OPERATING INFORMATION

A. INTRODUCTION

the ('omliission's regulations is also included. The AEI'

Regulatory staff has ieviewed Ihe types sf inorloratislat SCction 50.36. "TTechnical Specifications." of 10 needed. Based oln !tis review and a review irf licensees'

CFR Part 50, "Licensing ot Production and Utilizationi current reporting pt igrai.; the staff has developed Facilities," requires that easch applicant for a license guidelines fotr such repirtint.. Thik ituidc presents an authorizing operation of a nuclear power plant include acceptable reporting prourainn I ol powel reactor in his applica tion proposed technical specifications. licensees. Ta hles I and II o1 this guide are coilpilaliotm.s These technical specifications as approved by the AE-C of tinme limits or frequency :inlervals [tr subhnlitting are incorrporated into tire facility license and are routline and nonroutline report:,. Acceptable repoirtlin1 conditions oif the license. The technical specifications for programs tor radioactive eflluents and environnmen.tal nuclear power plants include a section on reporting monitoring are presented in Regulatory Guides 1.21 requirements. In addition to the reporting requirements (Safety Gtmide 211. "Measuring and Reporting oft'

necessary for compliance with the technical Effluents from Nuclear Pow\ver and 4.1

lait<.

specifications of the license, there are specific reporting "'Measuring and Reportine ofi' R:idioct'livilt itl the requirements included in Part 50 as well as in Parts 20. Environs of Nuclear Power P1lhnts."' respectively.

40. 70. and 73 of Title 10. For the convenience of licensees, these specific reporting requirements are Significant differences in Revision I of this guide included in the reporting program described in this from Regulatory Guide 1.16o formerly Safety Guide 16)

guide. Each report discussed in this guide is either dated October 27, 1971 are:

required by AEC regulations or is normally specified in licensees' technical specifications. In some cases this I. Extensive quoting of the Commission*, regulations program may need to be supplemented or modified has been deleted. References to the appropriate portiots because of unique plant design features or other factors. of the Commission's regulations are included itt Tables I

The need for a supplemental or modified program will and !1 of this guide.

be determined on an individual-case basis. The Advisory Committee on Reactor S'feguards has heen consulted 2. For ease of reference the reporting summary table concerning this guide and has concurred in the included in the original guide has been divided into two regulatory position. tables (Routine Reports and Nonroutine Reports)

B. DISCUSSION

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

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

In addition to those reports that relate to the safety of operation of the plant, the information on nuclear "Lines indicatc substantive chaivs O'wn10plcvihitls isslie.

materials safeguards that must be reported pursuant to 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 avrtable to the public Attention: Director of Regulatory Standards. Comments and wu9grtiodls tfo methods acceptable to thP AEC Regulatory stalf ot Implementing &peailicparis 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 ihnot 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

2. RePearch and Test Reactors

7. Products

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

3. Fuels ant] Materials Facilities

8. Occuttationiri Hal h

4, Envitonmntol and Siting 9. Ar-rtruit Rr.v,ewv Published guides will be revised periodically, as a~ptopriate, to accommodalte 5. Materialsand Plant Protection 10. Genetal commentS and to reflect new information or eaperience.

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C. REGULATORY POSITION

(d) a progress and status report oir airy items identified as requiring additional inforitation The following reporting program should be used to during tire operating license review or during the startup implement the reportintg requirements of 10 CFR Parts of tlie facility, including ilemns discussed in tile AEC's

20, 40. 50. 70. 73, and teporting requirenments imposed Safely Evaluation Repmrt and Supplements, items on by the AEC as license conditions. including those reports which additional information was required as a required by thie tclnlical specilrCations. conrdition of the license. and itemrs identified in the licensee's st:artup report: and

1. Routine Reports (e) a report of measured in-plant radiation levels which are greater thiran those estimated irr the final a. Operations Reports' safety analysis report by a factor of two or more.

I I ) Startup Report. A summary. report of plant (3) Semiannual Operating Reports? Routine startot) and power escalation testing should he submittcd operating reports covering tire operation o tIrh pre2 hus I'o0lowitrg reccipi t it' ai upctatintg license, tollowing an (I mionths should be subtrmitted witiirt 60 days after amendment it the licenise involving -a planned increase in Jartnuary I and Jtly I of each year. The initial report power level. ft,..owin iv the iLnstall.'tinn of rrel il has if shtitld he stthlirited Withint 00 days after the cild iI' the different design ur hlas been nranuutfactrrred by a different first six-nmonth period during which initial criricalily fuel supplier. or fIOllowing modi fications dial nay haive took place. Fa ch report should inelnrde the followirrg:

signifilcantly ahlrred the nuclear. thermal. or hydranlic perftorniance iI"Ithe pl:ant. The report should include a (a) Operations Sumrnmar'. A stinrirary of description of The :mc:c*scIcd ';iltiues tit' the ocerating operating experience occurring during the reportiog conditions or ctharacteristics obtained during the test period that relates to tire s:icuoperation of the facility.

progratn and a comnparison of these values with design including a sumnmary of:

predictions and specifications. Any corrective actions (i) changes in facility design.

that Were requ.ired to obtain sattisfactlotv operarior (it) performance characteristics (e.g..

should also he' dcr itwcd. Sr rtrup reporls sluimld lie eqttipreti t ;tnid fuel per formlance),

slrblnlilrled willitm I1) 10 clays following cormpletion of (iii) changes in) operating procedutres Ire stalt tip test ptoigra in. (2) 90 days following which were necessitated by (i) and (ii) above or which resturnpli crrit ior c ntten nt o1f c rommerciaI po'wer otherwise were required to improve thie saklty of operation. or 31 t ) nronths following initial criticality. operations, whichever is earliest. If thie Startutp Report does not (iv) results of surveillance tests and cover all tihrec cverrts. i.. initiial criticalily. cotmlpletion inspections required by the licensee's technical ot S :crl tip t Cst plro ra iii. rod resl rillpt loll or speciftications.

ce tonmterncete. *of :o Inetrrc ial poe'r operatiion. (v) the results of aniy periodic Suplplementa'ry rep.crts Slhou.ld he srtbitritted at least cottainment leak rate tests performed during the every lthrce rir*ithl trit ;i ll! hi c evonts are t.orrpleted. reporting period.

(vi) a brief suimmary of tirosk cihtanges.

(2) First Year Operaton Report. A report tests. and experiments requiring auLthorization from the sh1trld hC subnrittled wit hin 60 days aftier completion of Commission purtntant to 10 CMR 50.59(a), and the first year oit operalion. This .tar begims oc (vii) any chanrges in thie p1lnt operating coltplet ion tt'oall three evetlt s listed in C.;.a.i i ). This staff for thiose positions designated as key stipervisory report mtay he incorpor:ated into tile semiatrtrtl personniel positions in the technical specificairs.

olperatrino relport rard shurld cover tire following:

(:ill ;m ,nv:ltr;!tit1In '; plhrtl p*rltl'lrr ltcc hi (b) Power Generation. A sumnnmary of dale in corinlprisim wi! Ii 'sicti !tiedicticlns and powet generated during the reporting period including:

S1ilic.l jihltilsl'* O: iI ,ilil .** (iM gross thermal power geterated (itn MWI 1).

subriitied Witlh the license application i1" measured (ii) gross electrical power generated operating characteristics indicate that there may be (in MWH),

substantiialvariance fronm prior analyses:2 (iii) number of iours tire reactor was (c) an assessrenrt of file performance of critica!,

strtctures. sysletrs. and components iml'-rtant to (iv) number of hours the generator safety: was on line, and (v) histogram of thermal power vs.

iti, Ca, thill L l.!,. .1titihctcld bheS.tllrith: ill writirg tI0 t if e.

Ie I)reclror orI rth e ;Ipprlrltialte AViC Re utailort - (i,,cration n Regionial Office.

'A sinrde subliimr itl may be imadrde for a multiple facility

2I'rciously r it rit tedl sal  % ;! raysi.s repo r r i V. mat iim. The stticrrthittal shiould corritine tinrow. eclions Irh are inLccrloritlcl hb t eretilrce. comllrrrlrn iI all I'acilitics at ilre station.

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(c) Shutdowns. Descriptive material (g) Occupational Personnel Radiation covering all outages occurring during the reporting Exposure period. For each outage, information should be provided oil: i) A tabulation of 0i1e titinher Of (i) tile cause of the outage, occupational personnel exposures for plan' operations (ii) the inethud of shutting down the personnel (permanent and temporary) in the following

]reactor; e.g.. trip, automatic rundown, or manually exposure increments for the reporting period: less thatn controlled deliberate shutdown' 100 mrerm, 100-250 ortem. 250-500 ntoem. 5001-750

(iii) duration of the outage (in hours), morem, 750-1000 mrem. 1-2 rem. 2.3 retn. 3.4 rem. 4-S

(iv) plant status during the outage' rem, 5.6 rem, and greater than 6 remi.

e.g.. cold shutdown or hot standby, and (v) corrective action taken to prevent (ii) A tabulation of the nurniter ot'

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

(d) Maintenance. A discussion of routine plant surveillance and inspection (regular duty),

corrective maintenance (excluding preventive routine plant maintenance, special plant mainten:itce maintenance) performed during the reporting period on (describe maintenance). routine fueling operation.

safety-related systems and components4 and on systems special refueling (,peration (describe opetation*. and and components that reduce or prevent the release of other job-related exposures.]

radioactive materials to the environs. For any malfunction for which corrective maintenance was (iii) A tabulation annually of the required, information should be provided on: number of personnel receiving more than 3 rein atnd fie (i) t he system or component major cause(s).

involved, (ii) the cause of the malfunction. (hi) FSAR Changes. Submission of revised (iii) the results and effect on saf. FSAR pages on a replacement page basis appropriately operation. and r7epared for direct insertion into the applicable FSAIR

(iv) corrective action taken to prevent section and describing all safety.related chaniges in'

repetition. facility design. method of operation. revised safety or transient analysis. or f:,cility equipment additiots. Also a (e) Changes, Tests and Experiments. A listing of effective pages by date of revision or revisiotn brief description and the summary of the safety number should be submitted.

evaluation for those changes, tests, and experiments, carried out without prior Commission approval pursuant b. Additional Routine Reporting Requirements.

to the provisions of IOCFR 50.59(b). Table 1 lists routine reports required by 10 CFR Parts

20. 40, 50. and 70. including those listed in Regulatory (f) Primary Coolant Chemistry. A Position C.I .a.

tabulation on a monthly basis of the maximum. average, and minimum values for the following primary coolant system parameters: 2. Nonroutine Reports (i) Gross radioactivity in pCi/ml.

(ii) Suspended solids in parts per a. Reporting of Abnormal Events

(1) Abnormal Occurrence Reports. A

million.

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 (iii) Gross tritium in pCi/ml.

(iv) Iodine 131 in pCi/ml, and telegraph to the Director of the appropriate AlFC

(v) Ratio of Iodine-131 to Regulatory Operations Regional Office. (cc to the Iodine-I133. Director of Licensing) followed by a written report wihrin 10 days to the Director of the appropriate AlEC

(vi) Hydrogen in cc per kg.

(vii) Lithium in parts per million. Regulatory Operations Regional Office in the event of (viii) Boron-lO in parts per million. an abnormal occurrence.

(ix) Oxygen-16 in parts per billion, Appendix A of this guide, "Standaid (x) Chloride in parts per million, and Format for Reporting Abnormal Occurrences.- should (xi) pH at 250 C.

be used as guidance when submitting abnotmtal occurrence reports.

4Those plant features necessary to assure the integrity of the reactor coolant pressure boundary. the capability to shut Abnormal occurrences are defined in the down the reactor and maintain it in a jal'vo shtdown condition. definitions section of the licensee's technical consequences of1 or the capability to prevent or miti~oc tite specifications and usually include, as a miniutitll, items accidents which could result in o.itc e,'i.sures comparable to the guideline exposures of 10 CFR Part 100. (a) through (h) of this paragraph.

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(a) A safety. systeil setting- :ess (2) Reporting of Unusual Events. A written conlservative titan the limiting setting, established in the report should be forwarded within 30 days to the technical specifications. Director of t(ie appropriate AEC Regulatory Operations (b) Conditions which result in a limiting Regional Office, in the event of:

condition for operations established in the technical (a) Discovery of any substantial errors in specilfications not being met. the transient or accident analyses, or in the methods

'0 Abnormal degradation of one of thie used for such aitalyses. as described in the Safety several boundaries designed to contain radioactive Analysis Report or in the bases for the technical materials. specificat ions.

(d) An unplanned or uncontiolled release (b) Discovery of any substantial variance of radioactive material from the site boundary. from performance specifications contained in the (e) Uncontrolled or unanticipated changes technical specifications or in thle Safety Analysis Report.

in reactivity "qual to or greater than 1%Akikk. (c) Discovery of any condition involving a

(') Incidents or conditions which ipossible single failure which. for a system intended to be prevented or could have prevented the performance of designed against assumed single failures. could result in a thle intended safely function of an engineered safely loss of the capability Of the system to perform its safety feature system or of the reactor protection system. 'loun ion.

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

(h) Conditions arising from natural of Table II lists nonroutine reports required by 10

man-made events that affect or threaten to affect the CFR Parts 20. 40, 50, 70, and 73. including those listed sale operation of the plant. in Regulatory Position C.2.a.

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

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0e TA8LE I

REPORTING SUMMARY-ROUTINE REPORTS*

Requirement Report Timing of Submittal T'SI Startup 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.

TS First Year ()perat.on Within 60 days after completion of the first yeat of operation.

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

§20.407 Personnel Exposure and Monitoring Within first quarter of each calendar year.

§20.408 Personnel Exposure on Termination of Within 30 days after the exposure of the individual has Employmenit or Work been determined or 90 days after date of termination of employment or work assignment. whichever is earlier.

§40.64(a) Transfer of Source Material Promptly upon transfer.

§40.64(a) Receipt of , ource Material Within 10 days after material is received.

§40.64(b) Source Mateerial Inventory Within 30 days after June 30 of each year.

§50.59(b) Changes, Te 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

§70.53 Special Nuc.

year.

§70.54 Transfer of Special Nuclear Material Promptly upon transfer.

§70.54 Receipt ofSSpecial Nuclear Material Within IK days after material is received.

Appendix G to Fracture To ughness On an individual-case basis at least 3 years prior to the

10 CFR Part 50 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.

Appendix H to Reactor Ve ssel Material Surveillance Completion of tests after each capsule withdrawal.

10 CFR Part 50

Appendix J to Reactor Conntainment Building Approximately 3 months following conduct of test.

10 CFR Part 50 Integrated L.eak Rate Test ITechnical Specifications

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TABLE II

REPORTING SUMMARY-NON ROUTINE REPORTS

Initial Writtan Report Within Requirement Report Notification 10 days 15 days 30 days 3 mo T'I Abnormal Occurrence Within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> X

TS Unusual Events X

X

§20.405 Overexposures and Excessive Levels of Radiation and Concentration of Radioactive Material

§20.402 Theft or Loss of Material Immediately X

§20.403(a) Severe Accident lnvolhiir Licensed Imnediately Material

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

§40.64(c) Theft or Unlawful Diversion of Prompt ly X

Source Material

§ 50.59(d) Authorization of Cl, "cs,.

Tesrre*.

and Experiments

§ 70.52 Accidential Criticality or Loss of IP'rotmplvl Special Nuclear Material

§ 73.42 Unaccounted for Shipments. I tmnmediately X

Suspected Theft. or Unlawful Diversion of Special Nuclear Material TS Special V.

'Technical Specifications.

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

3 Special 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.

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APPENDIX A

STANDARD FORMAT FOR REPORTING ABNORMAL OCCURRENCES

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

are consistent both in format and in the principal STANDARD FORMAT FOR ABNORMAL OCCURRENCE REPORTS

Report Number: . (1) Description of Occurrence: (6)

Report Date: (2a) Designation of Apparent Cause of Occurrence: (7)

Occurrence Date: (2b) Design Manufacture Facility: (3) Installation/Construction

-Operator Identification of OccUrrence: (4) -Procedure

-Unusual Service Condition Including Environmental Conditions Prior to Occurrence: (5)

-Component Failure

-Other (specify)

- Steady-State Power

- Hot Standby

- Cold Shutdown

- Refueling Shutdown Analysis of Occurrence: (8)

- Routine Startup Operation

- Routine Shutdown Operation Corrective Action: (9)

Load Changes During Routine Power Operation

- Other (Specify) Failure Data: (10)

NOTES TO AOR STANDARD FORMAT

I. Report Number: Abnormal occurrence reports 2. Report Date: Date of (a) report submitted and (b)

should be numbered sequentially on a calendar-year occurrence.

basis for each facility (or each unit of a multi-unit site) using the facility (unit) docket number as the 3. Facility: Name and location of facility.

principal identifier (e.g., Docket NumberJYear-Sequential Number in calendar year).

Supplementary reports should be numbered using 4. Identification of Occurrence: The abnotmal alphabetical identifying letters following the occurrence should be identified by a short title'

principal report number (e.g., Docket which identifies the type of abnormal occurrence Number/Year-Sequential Number in calendar and the system, component. or even, involved.

year-alphabetical letter identifying supplementary (Regulatory Position C.2.a.(I) should be used as a report.) guide for listing the type of abnorml occurrence.)

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a S. Conditions Prior to Occurrence: Thie applicable structures.

c:apf ion should be used followed by a description e. Personnel injuries.

of plant status prior to tie abnormal occurrence. f. Personnel exposures.

Major plant parameters should be included. g. Quinmtity and composition of radioactive materials released.

6. Description of Occurrence: A chronological Ih. The consequences cr potential colsequnclies sequence of events should be described in an ýfrom the standpoint of public healfli and objective manner. The following should be safety.

included:

a. Method of detection and time of detection. 9. Corrective Action:' The following informalion b. Step-by.step sequoence of events identif'ying all should he provided:

protection system :tctions and operator actions a. Correclive action lakcn (or to he laken) to to hrmig fhc sitation under control. correct tile abnormal occurrence.

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

7. Designation of Apparent Cause of Occurrence: The prevent repetilion of the occurreince and )I

single apparent cause should be identified and similar occurrences.

narrated. When other causes contributed to the abnormal occurrence. the narrative of the apparent 10. Failure Data: Where equipment failure is cause of cause should discuss fully the single cause assigned the occurrence or equipment failed as a result o1f and the contributing causes assigned. tile occurrence, the following inforilmlion should be provided:

8. Analysis of Occurrence: The abnormal occurrence a. Record of previous failures :rmd inallfunctions it should be analyzed for safety implications. The the affected systems and components or ot analysis of effect." and the attendant consequences similar equipment.

should include tile following information, as b. Equipment identification (e.g.. componcMtt.

applicable: mnufacturer. natile plate data).

a. Maximum and ,minimum conditions during

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

transients. "Designation of Apparent Cause of Occurrence." and Ihc b. Equipment malfunction. action taken to bring the situation under control is disetss'cd c. Operator error. in Item 6, "Description of Occurrence." Tlihest items should d. Damage to systems. components. and not be repeated in this discussion.

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