Protecting People and the EnvironmentUNITED STATES NUCLEAR REGULATORY COMMISSION
UNITED STATES
NUCLEAR REGULATORY COMMISSION
OFFICE OF NUCLEAR REACTOR REGULATION
WASHINGTON, D.C. 20555-0001
May 15, 1997
NRC GENERIC LETTER 97-02: REVISED CONTENTS OF THE MONTHLY OPERATING REPORT
Addressees
All holders of operating licenses for nuclear power reactors, except those who
have permanently ceased operations and have certified that fuel has been
permanently removed from the reactor vessel.
Purpose
The purpose of this generic letter is to inform licensees that the NRC is
requesting the submittal of less information in the monthly operating report.
This generic letter requires no specific action or written response.
Discussion
OVERVIEW
The assessment of NRC information gathering needs has been the subject of
several staff reviews. These reviews have focused on identifying duplicative
reporting, determining whether some reports could be reduced in scope or
eliminated, and determining whether the frequency of reporting could be
reduced. In this regard, the NRC staff concludes that the scope of the
information requested in the monthly operating report, which is called for in
the Technical Specifications, may be reduced.
NEED FOR THE MONTHLY OPERATING REPORT
The impetus for the monthly operating report came from the 1973-1974 oil
embargo. Draft Regulatory Guide 1.16, Revision 4, "Reporting of Operating
Information - Appendix A Technical Specifications," published for comment in
August 1975, identifies operating statistics and shutdown experience
information then desired in the operating report. Licensees have generally
followed the guidance of the draft Regulatory Guide. The NRC initially
compiled this information on a monthly basis and published it in hard copy
form as NUREG-0020, "Licensed Operating Reactors - Status Summary Report"
(referred to as the "Gray Book"). Beginning in 1990, this information was
published on an annual basis in hard copy form and was also made available on
diskette monthly. NUREG-0020 was discontinued after the December 1995 report.
9705020260.
GL 97-02
May 15, 1997
Page 2 of 4
NRC staff assessed the information that is submitted in the monthly
operating report and determined that it is a unique source of information for
two of the eight performance indicators approved by the Commission for the NRC
Performance Indicator (PI) Program. Performance indicator data are
fundamental tools used by the NRC staff to independently analyze nuclear power
plant safety performance trends. The performance indicator data provided in
the monthly operating report include the number of reactor critical hours for
the equipment forced outage indicator, the forced outage hours and generator
on-line hours for the forced outage rate indicator, the number of forced
outages for the equipment forced outage indicator, and the outage type
(whether forced or scheduled) for the forced outage rate and equipment forced
outage indicators. NRC will retain the monthly operating report because the
agency has a continuing need to receive this performance indicator data, and
at the same frequency. Attachment 1 to this generic letter delineates the
information that is needed for the PI Program.
The NRC also has a need to provide operating factor (availability and capacity
factors) data to Congress and other government agencies on a regular basis.
This information is useful as an indicator of the ability of a plant to
perform its design function, and provides insights into the safety performance
of a plant. In general, a plant with high availability and capacity factors
is less likely to experience transients which challenge safety systems. These
data are often used by senior NRC managers in meetings and presentations. The
monthly operating report is a unique source of reliable and timely operating
factor data for all commercial nuclear power plants to support the
information needs of senior NRC managers. Attachment 1 also delineates the
operating factor data that is needed.
Voluntary Response Requested
Effective immediately, licensees of operating nuclear power plants submitting
monthly operating reports called for in the Technical Specifications may do so
in accordance with the guidance provided in Attachment 1 to this generic
letter. Implementation of this option by licensees is voluntary. However,
licensees will have to take whatever means are appropriate to negate any prior
commitments or requirements to provide monthly operating reports which contain
the information identified in Draft Regulatory Guide 1.16, Revision 4,
Section C.1.c; this may include an amendment to the facility operating license
to remove a license condition. Licensees who choose not to implement this
option may continue to submit monthly operating reports as they have in the
past.
Backfit Discussion
The NRC staff has determined that the backfit rule, Section 50.109 of Title 10
of the Code of Federal Regulations (10 CFR 50.109), does not apply to this
generic letter because the reduction by licensees of the scope of the monthly
operating report to that described in Attachment 1 is strictly voluntary.
.
GL 97-02
May 15, 1997
Page 3 of 4
Federal Register Notification
A notice of opportunity for public comment was published in the Federal
Register (60 FR 43174) on August 18, 1995. Comments were received from 6
utilities, 2 private industries, 1 university, 1 industry organization, 1
government agency, 3 public interest groups, and 2 individuals (no
affiliation). Copies of the staff evaluation of these comments are available
from the NRC Public Document Room.
Paperwork Reduction Act Statement
This generic letter contains voluntary reductions in the public reporting
burden. The resultant information collections are subject to the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501 et seq.). These information collections
were approved by the Office of Management and Budget, approval number 3150-
0011, which expires July 31, 1997.
The public reporting burden for this collection of information is estimated to
average 10 hours per response, including the time for reviewing instructions,
searching existing data sources, gathering and maintaining the data needed,
and completing and reviewing the collection of information. The U.S. Nuclear
Regulatory Commission is seeking public comment on the potential impact of the
collection of information contained in the generic letter and on the following
issues:
1. Is the proposed collection of information necessary for the proper
performance of the functions of the NRC, including whether the
information will have practical utility?
2. Is the estimate of burden accurate?
3. Is there a way to enhance the quality, utility, and clarity of the
information to be collected?
4. How can the burden of the collection of information be minimized,
including the use of automated collection techniques?
Send comments on any aspect of this collection of information, including
suggestions for reducing this burden, to the Information and Records
Management Branch, T-6 F33, U.S. Nuclear Regulatory Commission, Washington,
DC 20555-0001, and to the Desk Officer, Office of Information and Regulatory
Affairs, NEOB-10202 (3150-0011), Office of Management and Budget, Washington,
DC 20503.
The NRC may not conduct or sponsor, and a person is not required to respond
to, a collection of information unless it displays a currently valid OMB
control number.
.
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May 15, 1997
Page 4 of 4
If you have any questions about this matter, please contact one of the
technical contacts listed below.
signed by
Marylee M. Slosson, Acting Director
Division of Reactor Program Management
Office of Nuclear Reactor Regulation
Technical contacts: Marcel R. Harper, AEOD
(301) 415-6344
E-mail: mrh1@nrc.gov
James W. Shapaker, NRR
(301) 415-1151
E-mail: jws@nrc.gov
Attachments:
1. Monthly Operating Report Contents
.
Attachment 1
GL 97-02
May 15, 1997
Page 1 of 8
MONTHLY OPERATING REPORT CONTENTS
Background
As part of its mission to protect public health and safety, the NRC monitors
the performance of licensees that operate the commercial nuclear power plants
in the United States. This monitoring effort alerts the NRC to the necessity
of adjusting plant-specific regulatory programs. One monitoring tool being
used is a set of eight performance indicators (PIs). The PIs provide
information about plant performance trends and assist NRC management to
identify poor and/or declining safety performance, as well as good and/or
improving performance. PI reports are provided to the Commission, NRC senior
managers, licensee senior managers, and to the public through the NRC Public
Document Rooms. Other tools include availability and capacity factors, which
are provided to NRC senior managers, other government agencies, and Congress
on a regular basis.
Contents of the Monthly Operating Report
Routine reports of operating statistics and shutdown experience are needed to
support the NRC Performance Indicator Program, and availability and capacity
statistics. Therefore, the following information should continue to be
provided in the monthly operating report:
. Docket Number, Unit Name, Date, Name and Telephone Number of Preparer, and
Reporting Month
This information is needed for administrative, tracking, and data entry
purposes for the PI Program.
. Unit Shutdowns, including:
- Sequential number of shutdown for calendar year
- Date of start of shutdown
- Type (Forced or Scheduled)
- Duration (hours) - to the nearest tenth of an hour
- Reason for shutdown
- Method of shutting down the reactor
- Corrective actions/comments
- Narrative summary of monthly operating experience
This information is needed to calculate the following performance
indicators in the PI report: forced outage rate and equipment-forced
outages per 1000 commercial critical hours. The information is also used
to confirm the operational phase of each event. The operational phase is
identified in the PI report for various initiators: automatic trip while
critical, safety system actuation, significant event, safety system
failure, and cause codes.
.
Attachment 1
GL 97-02
May 15, 1997
Page 2 of 8
. Number of Hours the Reactor Was Critical
This information is needed to calculate the equipment forced outage
indicator and to tabulate critical hours in the PI report.
. Number of Hours the Generator Was On Line (Service Hours)
This information is needed to calculate the forced outage rate indicator in
the PI report.
. Unit Reserve Shutdown Hours
This information is needed to calculate the unit availability factor.
. Design Electrical Rating
. Maximum Dependable Capacity
. Net Electrical Energy
This information is needed to calculate the unit capacity factor.
Appendices A and B of this attachment provide further guidance concerning the
information that should continue to be submitted. Appendices A and B may also
be used as a guide for the format of the information submitted in the monthly
operating report. The completed monthly operating report should be submitted
by the 15th of the month following the calendar month covered by the report to
Document Control Desk, U.S. Nuclear Regulatory Commission, Washington, D.C.
20555-0001.
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Attachment 1
GL 97-02
May 15, 1997
Page 3 of 8
APPENDIX A
OPERATING DATA REPORT
DOCKET NO. _______________
UNIT NAME _______________
DATE _______________
COMPLETED BY _______________
TELEPHONE _______________
(This report should continue to be furnished on a monthly basis by licensees.)
REPORTING PERIOD
(Month/Year)
YEAR
TO
MONTH DATE CUMULATIVE
1. Design Electrical Rating (MWe-Net).
The nominal net electrical output of
the unit specified by the utility and
used for the purpose of plant design.
2. Maximum Dependable Capacity (MWe-Net).
The gross electrical output as measured
at the output terminals of the turbine-
generator during the most restrictive
seasonal conditions minus the normal
station service loads.
3. Number of Hours the Reactor Was Critical.
The total number of hours during the
gross hours of the reporting period that
the reactor was critical.
4. Number of Hours the Generator Was On Line.
(Also called Service Hours). The total
number of hours during the gross hours of
the reporting period that the unit operated
with breakers closed to the station bus.
The sum of the hours the generator was on
line plus the total outage hours should
equal the gross hours in the reporting
period.. Attachment 1
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May 15, 1997
Page 4 of 8
APPENDIX A
OPERATING DATA REPORT
DOCKET NO.
UNIT NAME
DATE
COMPLETED BY
TELEPHONE
(This report should continue to be furnished on a monthly basis by licensees.)
REPORTING PERIOD
(Month/Year)
YEAR
TO
MONTH DATE CUMULATIVE
5. Unit Reserve Shutdown Hours.
The total number of hours during the gross
hours of the reporting period that the
unit was removed from service for economic
or similar reasons but was available for
operation.
6. Net Electrical Energy (MWH).
The gross electrical output of the unit
measured at the output terminals of the
turbine-generator minus the normal station
service loads during the gross hours of
the reporting period, expressed in mega-
watt hours. Negative quantities should
not be used.
. Attachment 1
GL 97-02
May 15, 1997
Page 5 of 8
APPENDIX B
UNIT SHUTDOWNS
DOCKET NO.
UNIT NAME
DATE
COMPLETED BY
TELEPHONE
REPORTING PERIOD:
(Month/Year)
| NO. | DATE | TYPE | DURATION | REASON (1) | METHOD OF |CAUSE/CORRECTIVE ACTIONS
| | | F: FORCED | (HOURS) | | SHUTTING |
| | | S: SCHEDULED| | | DOWN (2) | COMMENTS
|_______|_________|_____________|______________|_____________________|_________________|________________________
| | | | | | |
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Attachment 1
GL 97-02
May 15, 1997
Page 6 of 8
SUMMARY:
(1) Reason
A - Equipment Failure (Explain)
B - Maintenance or Test
C - Refueling
D - Regulatory Restriction
E - Operator Training/License Examination
F - Administrative
G - Operational Error (Explain)
H - Other (Explain)
(2) Method
1 - Manual
2 - Manual Trip/Scram
3 - Automatic Trip/Scram
4 - Continuation
5 - Other (Explain)
. Attachment 1
GL 97-02
May 15, 1997
Page 7 of 8
UNIT SHUTDOWNS
INSTRUCTIONS
All plant shutdowns that have occurred during the report period should be
identified. The COMMENTS column should be used to provide additional
information when the coded columns are not sufficiently descriptive. 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 for the calendar year. When a shutdown begins in one report period
and ends in another, an entry should be made for both report periods to ensure
that all shutdowns are reported. Until a unit has achieved its first power
generation, no number should be assigned to each entry.
DATE - This column should indicate the date of the start of each shutdown, in
the following numerical format: YYMMDD, where YY is the year, MM is the month
and DD is the day. When a shutdown begins in one report period and ends in
another, an entry should be made for both report periods to ensure that all
shutdowns are reported.
TYPE - Use "F" or "S" in this column to indicate either a "Forced" or
"Scheduled" shutdown, respectively, for each shutdown. Forced shutdowns
include those required to be initiated by no later than the weekend following
the discovery of an off-normal condition. 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 downtime in the following report period. Report duration
of outages rounded to the nearest tenth of an hour to facilitate summation.
The sum of the total outage hours plus the hours the generator was on line
should equal the gross hours in the reporting period.
REASON - Categorize by letter designation from the table appearing on the
report form. If category H (Other) must be used, provide brief, supplementary
comments.
. Attachment 1
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May 15, 1997
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METHOD OF SHUTTING DOWN THE REACTOR - Categorize by number designation from
the table appearing on the report form. If Category 5 (Other) must be used,
provide brief, supplementary comments.
CAUSE/CORRECTIVE ACTIONS/COMMENTS - Use this column to amplify or explain the
reasons for each shutdown, with the corrective action taken, if appropriate.
The Comments column entries should provide identification of each shutdown
that occurs as a direct result of an event for which a licensee event report
has been or will be submitted. (This information may not be immediately
evident for all such shutdowns, of course, since further investigation may be
required to ascertain whether or not a licensee event report was involved.)
When a direct correlation can be made between a given shutdown and a specific
licensee event report, the Comments column entry should state the licensee
event report number and date.
SUMMARY: - Write a brief summary description (3 to 4 sentences) of the
highlights of operation of the unit for the reporting month.
