1. Configuration Management Benchmarking Group Conference June 6 – 9, 2004 Kansas City, MO © 2004 CMBG Configuration Management Fundamentals including Margin Management Presented By: Judy Schulte Duke Power

2. CM Fundamentals CM Equilibrium Objective of Configuration Management Margins NEW Using CM to protect Design and Operating Margins CM Process Model Restoring CM Equilibrium Functional Areas Five Functional Areas of CM

3. What is CM Equilibrium? In its simplest terms Configuration Management is what we do to assure ourselves and our regulators that we are doing everything we said we would do The objective of Configuration Management is the conformance of the three elements represented by the CM Equilibrium Model

4. Design Requirements technical requirements, derived from the design process, that are reflected in the final design What Needs to be there design characteristics and bounding parameters needed for the design to work must be verified or monitored to confirm that design is valid Design Require- ments CM Equilibrium

5. Facility Configuration Information documentation that defines how the plant is designed and how we operate it What we say is there Design Output Documents Operational Configuration Documents Other Operating, Maintenance, Training and Procurement Information CM Equilibrium Facility Config Info

6. Physical Configuration actual physical location, arrangement and material condition of SSCs What is actually there SSCs installed (design configuration) component position (operating configuration) CM Equilibrium Physical Config

7. CM Equilibrium Work Processes must assure that: Elements conform all the time processes in place to restore CM Equilibrium if it is lost All Changes are Authorized people are trained and qualified Conformance can be verified determine what configuration is and prove it was done correctly Design Require- ments Facility Config Info Physical Config

8. Upsets in CM Equilibrium errors in analysis, design inputs errors in licensing documents desired changes, such as power uprating Design Require- ments Facility Config Info CM Equilibrium

9. Upsets in CM Equilibrium drawing / plant discrepancies components in wrong position maintenance errors that affect plant configuration desired changes: modifications, manipulating plant components Facility Config Info Physical Config CM Equilibrium

10. Upsets in CM Equilibrium failure of SSC to meet performance criteria as designed equipment out of tolerance unexpected degradation in performance of SSCs Design Require- ments Physical Config CM Equilibrium

11. CM Equilibrium  Margins Protect the Design Basis Design Configuration conforms to Design Basis Operational Configuration conforms to Design Configuration Design Basis Design Configuration Operational Configuration Each boundary has margins to protect these limits

12. Margins Range of Normal Operation Ultimate Capability Operating Margin Design Margin Analyzed Design Limit Operating Limit Analytical Margin Documented on design documents Documented in engineering calculation Failure Point Undetermined depends on many variables controlled by Operations controlled by Engineering unanalyzed region

13. Margins Range of Normal Operation Ultimate Capability Operating Margin Design Margin Analytical Margin Documented on design documents Documented in engineering calculation Failure Point Undetermined depends on many variables controlled by Operations controlled by Engineering unanalyzed region Operating Limit Analyzed Design Limit Notes on Model describes one parameter only; different parameters may be interrelated direction may be positive or negative doesn’t represent all possible limits and setpoints gaps not intended to represent relative size of margins – may be zero

14. Range of Normal Operation Ultimate Capability Operating Margin Design Margin Analyzed Design Limit Operating Limit Analytical Margin Documented on design documents Documented in engineering calculation Failure Point Undetermined depends on many variables controlled by Operations controlled by Engineering unanalyzed region Other Limits and Setpoints Operator Alarm (HI-HI) Operator Alarm (HI) Tech Spec Limit Regulatory Limit Margins

15. Operating Margin Design Margin Analytical Margin Range of Normal Operation Ultimate Capability Analyzed Design Limit Operating Limit Elevator Example Rated Load posted in elevator = 3500 lbs Dept of Labor - design for 25% passenger overload 4375 lbs Analyzed & tested to 4650 lbs 100 – 600 lbs Failure Point – undetermined depends on many variables Margins

16. Normal Operation Operating Margin Design Margin Analytical Margin Motor Operated Valve Example Valve Closure Time Original analysis: Design assumes valve closes in 20 seconds Valve is tested to prove it could close in 16 seconds (with reduced voltage) Normally valve can close in 12 seconds 20 sec 16 sec 12 sec Margins

17. Over time, performance has eroded due to aging : Testing can only prove valve would close in 18 seconds Design Margin is reduced Margin can be regained by installing larger operator requires more power (affects voltage analysis) new operator is heavier (affects seismic analysis) Motor Operated Valve Example Margins Normal Operation Operating Margin Design Margin Analytical Margin Valve Closure Time 20 sec 18 sec 14 sec

18. Valve Closure Time Voltage Analysis Piping Stress Analysis Normal Operation Operating Margin Design Margin Analytical Margin 20 sec 16 sec 12 sec Normal Operation Operating Margin Design Margin Analytical Margin Normal Operation Operating Margin Design Margin Analytical Margin Margin regained on valve closure time Margin lost on Voltage Analysis and Piping Stress Analysis Motor Operated Valve Example Margins

19. CM Process Model High level model Integrated processes used to return CM equilibrium Developed in early 2002 by CMBG task force

20. CM Process Model Influenced content of industry guidance documents: NEI Standard Nuclear Performance Model INPO Operation Excellence Outcomes enablers Used by CMBG to develop CM Performance Indicators

21. Evaluate Identified Problem or Desired Change apparent discrepancy (discovered error) desired change (modification, manipulating plant components) Evaluate Identified Problem or Desired Change Change Facility Configuration Information ? Change Design Requirements ? Change Physical Configuration ? Do Nothing More CM Equilibrium Physical Configuration Change Authorization Process Design Requirements Change Process Facility Configuration Information Change Process No Yes No CM001 CM Process Model

22. Change Design Requirements? What are Design Requirements? Does change affect Design Requirements?  Use Design Requirements change process CM Process Model Evaluate Identified Problem or Desired Change Change Facility Configuration Information ? Change Design Requirements ? Change Physical Configuration ? Do Nothing More CM Equilibrium Physical Configuration Change Authorization Process Design Requirements Change Process Facility Configuration Information Change Process No Yes No CM002

23. Change Physical Configuration? Modify components or change position of components?  Use mod process to change design Configuration  Use operating procedures to change component position CM Process Model Evaluate Identified Problem or Desired Change Change Facility Configuration Information ? Change Design Requirements ? Change Physical Configuration ? Do Nothing More CM Equilibrium Physical Configuration Change Authorization Process Design Requirements Change Process Facility Configuration Information Change Process No Yes No CM003

24. Change Facility Configuration Information? Design Output documents (drawings & specs) Operational Configuration Documents Other operating, maintenance, training, etc. CM Process Model Evaluate Identified Problem or Desired Change Change Facility Configuration Information ? Change Design Requirements ? Change Physical Configuration ? Do Nothing More CM Equilibrium Physical Configuration Change Authorization Process Design Requirements Change Process Facility Configuration Information Change Process No Yes No CM004

25. Do Nothing More If cost effective, do nothing more…except Document your conclusion CM Process Model Evaluate Identified Problem or Desired Change Change Facility Configuration Information ? Change Design Requirements ? Change Physical Configuration ? Do Nothing More CM Equilibrium Physical Configuration Change Authorization Process Design Requirements Change Process Facility Configuration Information Change Process No Yes No

26. Functional Areas of CM #1Protect the Design Basis Design Basis Configuration #2Modify the Plant Engineering Change Control #3Operate the Plant Operational Configuration Control #4Maintain the Plant Configuration of SSCs not in service #5Test the Plant Plant Design Validation

27. Protect the Design Basis Objective: Understand and maintain design basis consistent with licensing basis design Major processes control of licensing and design basis documents (such as 50.59 & UFSAR) engineering calculations Causes for upsets in CM Equilibrium new or revised Design Requirements inadequate original review Functional Areas of CM

28. Modify the Plant Objective: Assure that changes to design configuration conform to Design Requirements and are accurately reflected on Facility Configuration Information Major processes modification process Causes for upsets in CM Equilibrium desired change (modification) undocumented plant changes Functional Areas of CM

29. Operate the Plant Objective: Assure that alignment of in service equipment is consistent with approved design through use of approved technical procedures. Major processes operating procedures tag out process Causes for upsets in CM Equilibrium failure to follow operating procedures human errors due to workarounds, abandoned equipment, temp mods, etc. Functional Areas of CM

30. Maintain the Plant Objective: Assure that SSCs are procured and maintained in accordance with approved design Major processes maintenance procedures procurement procedures Causes for upsets in CM Equilibrium failure to follow procedures inadequate procurement QA Functional Areas of CM

31. Test the Plant Objective: Assure the performance of SSCs meets Design Requirements Major processes performance testing plant walkdowns Causes for upsets in CM Equilibrium inadequate performance testing programs inadequate plant aging programs Functional Areas of CM