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Ministry of Justice of Ukraine

September 8, 2021

No. 1182/36804

ORDER OF THE STATE INSPECTION OF NUCLEAR REGULATION OF UKRAINE

of July 12, 2021 No. 411

About approval of the Regulations on procedure for investigation and accounting of operational events in work of nuclear power plants

According to articles 8 and 24 of the Law of Ukraine "About use of nuclear energy and radiation safety", I ORDER to the subitem 7 of item 4 of the Regulations on the State inspection of the nuclear regulation of Ukraine approved by the resolution of the Cabinet of Ministers of Ukraine of August 20, 2014 No. 363,:

1. Approve Regulations on procedure for investigation and accounting of operational events in work of nuclear power plants which are applied.

2. Declare invalid the order of the State committee of nuclear regulation of Ukraine of December 1, 2004 No. 184 "About approval of the Regulations on procedure for investigation and accounting of violations in work of nuclear power plants", registered in the Ministry of Justice of Ukraine on December 17, 2004 for No. 1594/10193.

3. (Boris Stolyarchuk) to provide to department on safety issues of nuclear installations submission of this order on state registration in the Ministry of Justice of Ukraine in accordance with the established procedure.

4. This order becomes effective since January 1, 2022.

5. I reserve control of execution of this order.

The chairman - the Chief state inspector on nuclear and radiation safety of Ukraine

G. Plachkov

 

It is approved:

The chairman of Public service of Ukraine on emergency situations

 

M. Chechetkin

Minister of Energy of Ukraine

G. Galushchenko

Minister of environment protection and natural resources of Ukraine

R. Abramovsky

Minister of Health of Ukraine

V. Lyashko

 

Approved by the Order of the State inspection of nuclear regulation of Ukraine of July 12, 2021 No. 411

Regulations on procedure for investigation and accounting of operational events in work of nuclear power plants

І. General provisions

1. This Provision establishes requirements to accounting, procedure for informing, the organization and conducting investigation of operational events in work of nuclear power plants (further - operational events) and to procedure for the reporting under investigation of operational events and the analysis of operating experience from operational and insignificant events.

2. This Provision is obligatory when implementing activities for commissioning, operation, removal from operation of power units of nuclear power plants.

3. The operating organization develops and approves in coordination with Gosatomregulirovaniya the complex of actions necessary for reduction of management system activities of the operating organization in compliance with this Provision.

4. The operating organization provides accounting, the analysis and systematization of information on operational events, and also its transfer to other organizations according to this Provision.

5. Results of investigation of operational events are brought by management of nuclear power plants to the attention of personnel of nuclear power plants and are provided to suppliers, design and contract organizations which are related to operational events, for the purpose of accounting of the accumulated experience from specific operational incident for taking measures to the prevention of its repeating.

6. The operating organization makes investigation of operational events according to the detailed procedure of investigation developed and approved with Gosatomregulirovaniya.

7. Reports on investigation of operational events remain on nuclear power plants during all term of their lifecycle.

8. In this Provision terms are used in such values:

abnormal event - variation from normal operation which can be caused by human error, refusal or other defects of the equipment (regardless of its class safety), organizational gaps or external impact;

basic event - element of tree of refusals which represents refusal or not operability of the equipment, refusal because of the general reason or human error;

immediate cause - not shown degradation, defect, defect, action, failure to act or the condition which led to emergence of abnormal event;

use of operating experience - the activities directed to increase in safety and reliability of nuclear power plants based on the lessons received from their operation;

tree of refusals - graphical interpretation of logical model which displays combinations of the refusals leading to in advance determined undesirable event;

additional shortcoming - the undesirable event (condition) which was revealed during investigation of operational event, but did not influence its origin and development;

operating experience - set of the acquired practical knowledge and skills in the field of operation of nuclear power plants;

operational event - the event caused by emergence of one or several, the interconnected or independent, abnormal events which led to effects (categories) established by this Provision.

operational event which repeats - operational event which took place on power units of nuclear power plants of Ukraine earlier, during which one abnormal event, with the same immediate and root causes took place at least, during which the refusal, damage, defect, defect of element of the same equipment or equipment with similar functions and the principle of action and the general range of working parameters was fixed; same or same human error; same or same organizational gap;

significant event predecessor - event predecessor for which value of conditional probability of damage of active zone (increase in probability of damage of active zone) is more or equally 10-4;

external operating experience - operating experience of other nuclear power plants in Ukraine, foreign nuclear power plants and experience of other industries which are not connected with nuclear energy which can be used for nuclear power plants;

root cause - fundamental (main) circumstance / origin of abnormal event which elimination will be anticipated by repeating of these abnormal events;

the adjusting action - operation which is performed for elimination of effects of incident, prevention of repeating of event in the future and/or for increase in safe operation of the power unit;

human factor - the individual characteristics of personnel influencing operation of the power unit of nuclear power plant (positively or negatively);

insignificant event - event with insignificant influence on safety or event which almost took place;

organizational factor - feature of management system of the operating organization and working conditions which influence operation of the power unit of nuclear power plant (positively or negatively);

similar operational events - operational events which took place on power units of nuclear power plants of Ukraine earlier have similar ways and/or conditions of course, led to identical/similar effects and during which the failure, damage, defects or defects of elements of the equipment with similar functions and the principle of action and the general range of working parameters took place; same human errors; same organizational gap;

event with insignificant influence on safety - event which signs and effects do not reach threshold of operational events;

the event which almost took place - event which could take place owing to the sequence of the actual events, but did not take place thanks to the conditions of nuclear power plant existing for that time;

the event predecessor is operational event during which there was initial event and/or not operability of the equipment, in case of additional equipment failures of the systems important for safety, and/or human errors which could lead to damage of active zone and for which value of the upper bound of confidential interval for conditional probability of damage of active zone (increase in probability of damage of active zone) more than 10-6 was revealed.

potentially important event - operational event which meets the established selection criteria and can potentially be event predecessor;

the concurrent factor - circumstance or condition which elimination will not give the chance to avoid repeating of abnormal event, but which owing to the importance (that is influences on origin or strengthening of abnormal event) requires development of the adjusting actions.

Other terms are used in the values given in the Laws of Ukraine "About use of nuclear energy and radiation safety", "About allowing activities in the field of use of nuclear energy", General provisions of safety of the nuclear power plants approved by the order of the State committee of nuclear regulation of Ukraine of November 19, 2007 No. 162, registered in the Ministry of Justice of Ukraine on January 25, 2008 for No. 56/14747 (further - General provisions of safety), Rules of nuclear safety of reactor installations of the nuclear power plants with reactors with water under pressure approved by the order of the State committee of nuclear regulation of Ukraine of April 15, 2008 No. 73, registered in the Ministry of Justice of Ukraine on June 9, 2008 for No. 512/15203, General requirements to management system activities in the field of use of nuclear energy, No. approved by the order of the State inspection of nuclear regulation of Ukraine of December 19, 2011 190, registered in the Ministry of Justice of Ukraine on January 10, 2012 for No. 17/20330, other regulatory legal acts in the field of regulation of nuclear and radiation safety of nuclear installations, General requirements of safety to the device and operation of the equipment and pipelines of the nuclear power plants approved by the order of the State inspection of nuclear regulation of Ukraine of August 04, 2020 No. 319, registered in the Ministry of Justice of Ukraine on September 30, 2020 for No. 955/35238 (further - General requirements of safety to the device and operation of the equipment and pipelines of nuclear power plants) and other regulating documents.

9. In this Provision the following reducings are used:

AZ - emergency protection;

The EXPERT - nuclear power plant;

VVER - the water-to-water power reactor;

IS - initial event;

GTsN - the main circulation pulser;

GNTTs YaRB - State company "The State Scientific and Technological Center on Nuclear and Radiation Safety";

EO - the operating organization;

VAB - the probabilistic analysis of safety;

VPAZ - probability of damage of active zone

IAEA - International Nuclear Energy Agency;

PEL - the absorbing element;

RU - reactor installation;

SVB - the systems important for safety;

SUSA - management system and protection;

TVEL - the fuel element;

TVS - the heat-generating collection;

TRBE - production schedules of safe operation;

UVPAZ - conditional probability of damage of active zone;

YaRB - nuclear and radiation safety;

INES - the international scale of nuclear and radiological events (International Nuclear and Radiological Event Scale).

II. Categories of operational events

1. Operational events depending on signs and effects are classified by one of the categories given in appendix 1 to this Provision.

2. Determination of levels of operational events on the international scale of nuclear and radiological events of INES is performed by EO according to the management of IAEA operating for date of assessment for users of INES.

3. Any events which resulted from refusal of damage, defects, defect of systems and elements, irrespective of the class of system and element on influence on safety established according to General provisions of safety, human error or organizational gaps and implicate, the signs established in appendix 1 to this Provision are subject to investigation and accounting as operational incidents according to requirements of this provision.

4. Any events which led to decrease in loading or stop of the power unit are subject to investigation and accounting as operational events if they implicated, the signs established in appendix 1 to this Provision irrespective of availability of the emergency or planned dispatching request for decrease in loading or stop of the power unit.

5. Any events which took place in the course of start-up, stop, repair and maintenance of the power unit or during fuel overload are subject to investigation and accounting as operational events if they implicated, the signs established in appendix 1 to this Provision irrespective of availability of the dispatching request for repair of the power unit.

6. Do not treat operational events of AS:

deceleration of power of the power unit EXPERT for the purpose of accomplishment of the next procedural checks or planned maintenance provided by TRBE and maintenance instructions of systems and the equipment;

power deceleration, power unit EXPERT stops according to the dispatching load graph;

depreciation of the equipment of security systems or the channel of security system during their next procedural checks or checks after accomplishment of repair, maintenance and checks for working capacity confirmation.

7. The procedure for investigation and accounting of events which have no signs of the operational events given in appendix 1 to this Provision including insignificant events, methods of investigation and the analysis, and also documentation of results is established by EO. Information on such events is provided to Gosatomregulirovaniya according to requirements of the Section VI of this provision, and also at the request of Gosatomregulirovaniya.

8. After the operational events of categories P01/1-P23 the decision on opportunity, the mode and conditions of further operation of the power unit EXPERT, the equipment of SVB, systems and the RU elements is accepted by EO.

Rather operational events of categories P01/1, P01/2, P02/1, P02/2, P06/1, P06/2, P07/1, P11 such decision is approved by the Chief state inspector on nuclear and radiation safety of Ukraine or person authorized by it, rather operational events of categories P 03, P 04, P05/1, P05/2, of P07/2, P08/1, of P08/2, P 09, P 10, P12-P23 - with inspectorate for YaRB on the platform of the relevant AS.

III. Requirements to accounting treatment for operational events

1. Operational incident is subject to obligatory accounting and investigation.

2. Accounting and investigation of any events are conducted for categories:

And 01, And 02, And 03, And 04, P01/1, P01/2, of P02/1, P02/2, of P06/1, P06/2, P 11, P 12, P13 - after the first assorted intake of nuclear fuel or sources of ionizing radiation;

P 03, P 04, P07/2, P05/1, P07/1, P 09, P 10, P 14, P16-P23 - after approval by the working commission created by EO, the act of input of the equipment in operation since stage of physical start-up of RU;

P05/2, P08/1, of P08/2, P15 - after receipt of separate permission to commissioning.

Accounting and investigation of any events is made before date of removal of the power unit EXPERT from operation.

3. Information on operational events is displayed in reporting documents EXPERTS on operational events according to the Section VI of this provision.

4. The operational events of several power units of multibank AS caused by refusals of systems (elements), human errors and/or wrong decisions, refusal for the general reason are considered separately for each power unit.

5. The events in work of AS which are followed by the fires, collapse or damage of buildings, constructions of AS, followed by accidents have also no the signs and effects specified in appendix 1 to this Provision, are investigated according to the current legislation.

IV. Procedure for informing on operational events

1. Types of messages on operational events

1. Information on operational incidents is provided to Gosatomregulirovaniya, GNTTs YaRB, and also other organizations (organizations) according to the procedure established by EO.

2. Types of messages on operational events:

operational message;

prior notice;

additional notice (if necessary);

the information message for the public.

2. Operational message

1. The operational message contains:

name EXPERT and number of the block;

date and time of operational event;

condition of the power unit and RU prior to operational event (parameters of capacity of the power unit, the key technology parameters and radiation background on the platform);

the short description of operational event and its possible effects for safety of personnel and the surrounding environment;

condition of the power unit and RU after the operational event (parameters of capacity of the power unit, the key technology parameters and radiation background on the platform, are specified if for date of transfer of the notification transition process is complete);

the name of the damaged elements;

power unit condition for date of transfer of the notification;

accident class according to the classification of radiation accidents established by the Plan of response to radiation accidents approved by the order of the State committee of nuclear regulation of Ukraine, the Ministry of Ukraine concerning emergency situations and for protection of the population against effects of the Chernobyl catastrophic crash against May 17, 2004 No. 87/211, registered in the Ministry of Justice of Ukraine on June 10, 2004 for No. 720/9319 (concerning the event to which the specified classification extends);

position, first and last name of person who transferred the notification.

2. Operational messages on operational events of categories A01-A04, P01/1 and P01/2 are transferred by the shift supervisor of AS or the official according to its order by phone immediately after carrying out classification:

to the duty dispatcher of EO;

to the operations duty officer Gosatomregulirovaniya;

to the duty dispatcher of the central dispatching service of the corresponding power supply system;

in inspectorate for YaRB on the AS corresponding platform;

to state body in the field of use of nuclear energy;

to the operational and coordination center of Head department of GSChS in the area in the territory of which AS is located;

to the operational and coordination center of Head departments of GSChS in areas which part of the territory belongs to zone of observation of AS;

the operations duty officer of local public administrations of the city, area, area in the territory of which AS is located;

the operations duty officer of local public administrations of areas which part of the territory belongs to zone of observation of AS;

to service of the State rescue and fire fighting parts operational and on duty which provide protection from the fires of AS;

to the person on duty of city department of National police;

the operations duty officer of Head department of National police in the area in the territory of which there is AS, and in areas which part of the territory belongs to zone of observation of AS;

to heads of local public administrations of the city, area, area in the territory of whom AS is located;

to heads of local public administrations of area whose part of the territory belongs to zone of observation of AS;

to the person on duty of department (management) of health care of regional public administration in the territory of which there is AS;

To the chief state health officer of Ukraine;

to the person on duty of the regional laboratory center of the Ministry of Health of Ukraine in the area in the territory of which there is AS;

to the person on duty of city division of management of the Security Service of Ukraine in the area in the territory of which AS is located;

to the person on duty of the center for hydrometeorology of the Ukrainian GSChS Hydrometeorological center in the area in the territory of which AS is located;

to the operations duty officer of the Department of Energy of Ukraine;

military unit which carries out tasks on physical protection of AS.

3. About other operational events the operational message is transferred by the shift supervisor of AS or the official according to its order by phone within no more than one hour from the date of identification of operational event:

to the duty dispatcher of EO;

to the operations duty officer Gosatomregulirovaniya;

in inspectorate for YaRB on the AS corresponding platform;

to state body in the field of use of nuclear energy;

in the Department of Energy of Ukraine;

to the duty dispatcher of the central dispatching service of the corresponding power supply system in the cases provided by regulations on relations of AS with the corresponding power supply system;

in other organizations (organizations) according to the procedure established by EO.

3. Prior notice

1. The prior notice contains:

name EXPERT and number of the block;

date and time of operational event;

previously established category of operational event;

preliminary results of assessment of level of operational event on the international scale of nuclear events of INES;

information concerning violation of limits and/or conditions of safe operation;

condition of the power unit and RU prior to operational event (the key technology parameters - capacity electric and thermal, condition of SB channels, temperature of the 1st contour on entrance and exit from the reactor, pressure in the 1st contour, level in the compensator of pressure and steam generators, concentration of boric acid in the 1st contour, activity in germoobjema, in the 1st contour and steam lines);

short description of origin and current of operational event;

condition of the power unit and RU after the operational event (the key technology parameters - capacity electric and thermal, condition of SB channels, temperature of the 1st contour on entrance and exit from the reactor, pressure in the 1st contour, level in the compensator of pressure and steam generators, concentration of boric acid in the 1st contour, activity in germoobjema, in the 1st contour and steam lines);

possible effects from operational event for safety of personnel and the surrounding environment according to the established procedure of EO;

radiation effects of operational event (on regular devices of control, figurative devices, results of laboratory control);

the name of the damaged elements and specification on them: arrangement, element class on influence on safety, operational marking;

availability of human errors;

possible reasons of operational event;

the held events for radiation protection of personnel, the population and the surrounding environment;

the taken measures for localization of event and the implemented adjusting measures;

condition of all power units EXPERTS (the key technology parameters) for date of transfer of the notification;

position, first and last name of person who transferred the notification.

2. The prior notice is signed by the chief engineer of AS, the chief inspector of AS, inspectorate for YaRB on the AS corresponding platform and is transferred to organizations (organizations) specified in item 4 of this Chapter by telephone network on the fax and duplicated by e-mail in the form of the scanned electronic copy of the signed document within 24 hours from the date of detection of operational event.

3. If the fax and the computer temporarily do not work, the prior notice is told by phone, with the subsequent confirmation by fax and e-mail within three days.

4. The prior notice of operational event is transferred:

to the duty dispatcher of EO;

to the operations duty officer Gosatomregulirovaniya;

in inspectorate for YaRB on the AS corresponding platform;

to state body in the field of use of nuclear energy;

in the Department of Energy of Ukraine;

to the duty dispatcher of the central dispatching service of the corresponding power supply system in the cases provided by regulations on relations of AS with the corresponding power supply system;

GNTTS YARB;

in other organizations (organizations) according to the procedure established by EO.

5. The decision on establishment of category of operational event is made by EO and approved with Gosatomregulirovaniya.

4. Additional report

1. The additional report is developed in case of identification of change of scale of operational event, its radiation effects, change of previously established category of event and need of refining of information provided in the prior notice.

2. The additional report contains:

name EXPERT and number of the block;

date and time of operational event;

the specified category of operational event;

the specified results of assessment of level of operational event on scale of INES;

the specified information concerning violation of limits and/or conditions of safe operation;

condition of the power unit and RU prior to operational event (the key technology parameters);

short description of origin, course and mitigation of consequences of operational event;

condition of the power unit and RU after the operational event (the key technology parameters);

possible effects from operational event for safety of personnel and the surrounding environment;

the specified radiation effects of operational event (on regular devices of control, figurative devices, results of laboratory control);

the name of the damaged elements and specification on them: arrangement, nature, element class on influence on safety, marking and the possible reason of damage;

availability of human errors;

the specified possible reasons of operational event;

the held events for radiation protection of personnel, the population and the surrounding environment;

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