1. INPO Update Operational Excellence Outcomes and Configuration Management Glenn J. Neises, INPO Sr. Evaluator June 2004 CMBG Glenn J. Neises, INPO Sr. Evaluator June 2004 CMBG

2. Session Content INPO Mission and Cornerstones Operational Excellence Outcomes Overview Configuration Management Overview INPO Perspectives Configuration Management Current Themes Future INPO Mission and Cornerstones Operational Excellence Outcomes Overview Configuration Management Overview INPO Perspectives Configuration Management Current Themes Future

3. INPO’s Mission To promote the highest levels of safety and reliability – to promote excellence – in the operation of nuclear electric generating plants To promote the highest levels of safety and reliability – to promote excellence – in the operation of nuclear electric generating plants

4. INPO Cornerstones Accreditation and Training AssistanceAssistance Analysis Evaluations

5. Evaluations Plant Evaluation Areas  Organizational Effectiveness  Equipment Reliability  Operational Focus  Performance Improvement  Configuration Management  Radiological Protection  Organizational Effectiveness  Equipment Reliability  Operational Focus  Performance Improvement  Configuration Management  Radiological Protection  Work Management  Maintenance  Engineering  Operations  Chemistry

6. Analysis  Analysis of industry trends and data  Detect emerging industry trends  Predict future performance issues  Evaluation focus areas  Analysis of industry trends and data  Detect emerging industry trends  Predict future performance issues  Evaluation focus areas Analysis

7. Operational Excellence Outcomes

8. Why OEO? Changed industry High levels of safety and reliability A few stations unable to keep pace Events revealed increased effort needed in several areas A few activities important to operational excellence not evaluated Robust self-assessment and corrective action programs Changed industry High levels of safety and reliability A few stations unable to keep pace Events revealed increased effort needed in several areas A few activities important to operational excellence not evaluated Robust self-assessment and corrective action programs

9. Sustainable, Event-Free Operations Sustainable, High Levels of Plant Performance Avoidance of Unplanned, Long-Duration Shutdowns Well-Managed and Understood Safety, Design, and Operational Margins Well-Managed and Understood Safety, Design, and Operational Margins Highly-Skilled, Knowledgeable, and Collaborative Workforce Operationa l Excellence High Levels of Plant Worker Safety

10. CM.1 Maintaining Margins Consistent with Design Requirements CM.1 Maintaining Margins Consistent with Design Requirements CM.2 Operational Configuration Control CM.2 Operational Configuration Control Well-Managed and Understood Safety, Design, and Operational Margins CM.3 Design Change Processes CM.3 Design Change Processes

11. Configuration Management Overview

12. Why Configuration Management? Plant safety degraded, long-term shutdowns caused by problems with: Operating and design margins Design basis validity Plant status and configuration control Design product quality Quality and oversight of engineering programs Plant safety degraded, long-term shutdowns caused by problems with: Operating and design margins Design basis validity Plant status and configuration control Design product quality Quality and oversight of engineering programs

13. Well Managed Margins CM.1 Performance & Configuration Consistent with Design Requirements CM.2 Activities Maintain Configuration, Operating & Design Margins CM.5 Reactor Cores Designed & Operated within Performance Limits CM.3 CM Processes Clearly Defined & Implemented CM.4 Engineering Provides Technical Information & Support Evaluating Configuration Management

14. Well Managed Margins Design Authority is Clear CM.1 Performance & Configuration Consistent with Design Requirements Physical Plant Matches Documentation Training Addresses Roles SSCs Meet Requirements PM & PdM Validates Margins Vulnerabilities Identified Extent of Condition Investigated OP and MA Maintain Status Plant Emergent Issues Promptly Investigated Degraded Conditions Resolved Aggressively Degraded Conditions Evaluated Sound Engineering Programs Good Craft Workmanship Infrequently Performed T&E Controlled CM.2 Activities Maintain Configuration, Operating, & Design Margins Sound Parts Evaluations CM.4 Engineering Provides Technical Information & Support CM.4 Engineering Provides Technical Information & Support Design Interfaces Effective Margins Verified Thru Testing Contingencies Planned CM.5 Reactor Cores Designed & Operated within Performance Limits Written Guidance Controls CM Functions Proper Vendor Oversight CM.3 CM Processes Clearly Defined & Implemented Design Control Is Rigorous Safety Evaluations Are Thorough Personnel Trained On Plant Changes Field Changes Evaluated Design &Operating Margins Documented Quality Design Requirements Documented & Retrievable Process Controls Maintain D &L Limits Temp Mods Controlled Comprehensive Testing & Engineering Programs Quality Engineering Products FME Controls Rigorous Programs For Core Design, Reactivity Mgmt, & Core Monitoring Reactor Engineers Provide Support Defect Free Fuel Operation Approved Programs For Fuel Movement & Storage EOP and AOP Bases Documented Design Authority is Clear

15. Evaluating Configuration Management Advance Screening (analysis) Historical or present issues and initiatives Preliminary Evaluation Plan (3-4 weeks prior) General focus areas Specific document reviews Refined Evaluation Plan (1 week prior) Interview schedule Specific focus areas In-field activities / observations (on-site weeks) dialogue on impacts, causes, extent of condition Advance Screening (analysis) Historical or present issues and initiatives Preliminary Evaluation Plan (3-4 weeks prior) General focus areas Specific document reviews Refined Evaluation Plan (1 week prior) Interview schedule Specific focus areas In-field activities / observations (on-site weeks) dialogue on impacts, causes, extent of condition

16. INPO Perspectives

17. Performance Indicator Index *2004 values as of March 31, 2004

18. Performance Indicator Index All components of the index have declined slightly Unit capability factor Forced loss rate Unplanned automatic scrams Safety system performance Fuel reliability Chemistry performance Collective radiation exposure Industrial safety All components of the index have declined slightly Unit capability factor Forced loss rate Unplanned automatic scrams Safety system performance Fuel reliability Chemistry performance Collective radiation exposure Industrial safety

19. Why? Equipment performance has declined Grid and switchyard problems are challenging operations Non-station personnel not well trained or supervised Senior managers are less focused on operations Short-term and long-term needs are out of balance Equipment performance has declined Grid and switchyard problems are challenging operations Non-station personnel not well trained or supervised Senior managers are less focused on operations Short-term and long-term needs are out of balance

20. Declining Equipment Performance

22. Configuration Management Current Themes

23. CM Areas for Improvement

24. Engineering Product Quality Examples: Engineering results not supported with rigorous documentation Modification delays Vendor errors Temporary modification control Calculation errors Examples: Engineering results not supported with rigorous documentation Modification delays Vendor errors Temporary modification control Calculation errors

25. Engineering Product Quality Causes: Supervisor engagement Lack of operating experience use Preparation & verification not thorough Lack of human performance tool use Inadequate modification review meetings Inadequate vendor oversight Insufficient verification or testing for vendor-supplied designs Causes: Supervisor engagement Lack of operating experience use Preparation & verification not thorough Lack of human performance tool use Inadequate modification review meetings Inadequate vendor oversight Insufficient verification or testing for vendor-supplied designs

26. Operational Configuration Control Examples: Changes to the plant without approved engineering documents Uncontrolled temp power / temp mods Long term open operability determinations Mispositionings resulting in equipment damage Uncontrolled equipment and setpoint changes Blocking of protective equipment trips Protective doors locked open Examples: Changes to the plant without approved engineering documents Uncontrolled temp power / temp mods Long term open operability determinations Mispositionings resulting in equipment damage Uncontrolled equipment and setpoint changes Blocking of protective equipment trips Protective doors locked open

27. Operational Configuration Control Causes: Personnel lack an understanding of the design change process Indicators limited to component mispositionings Human performance weaknesses Inadequate engineering management oversight Tolerance of temporary, unauthorized changes CM viewed by station personnel as a design engineering role as opposed to a station role Causes: Personnel lack an understanding of the design change process Indicators limited to component mispositionings Human performance weaknesses Inadequate engineering management oversight Tolerance of temporary, unauthorized changes CM viewed by station personnel as a design engineering role as opposed to a station role

28. Margin Management Examples: Low operational margin on safety-related components Safety-related heat exchanger tube blockage Design documents & calcs not updated Errors in operability determinations Modifications don’t consider all operating regimes Modifications cause significantly reduced operational margins Examples: Low operational margin on safety-related components Safety-related heat exchanger tube blockage Design documents & calcs not updated Errors in operability determinations Modifications don’t consider all operating regimes Modifications cause significantly reduced operational margins

29. Margin Management Causes: Lack of operating margin focus Inadequate testing and monitoring programs Insufficient understanding of design information Station management did not challenge and question power uprate evaluations Power uprate was a fast-track project, and time pressure contributed to insufficient reviews Causes: Lack of operating margin focus Inadequate testing and monitoring programs Insufficient understanding of design information Station management did not challenge and question power uprate evaluations Power uprate was a fast-track project, and time pressure contributed to insufficient reviews

30. Reactor Engineering & Fuel Examples: Fuel Failures Reactor engineering support & communication with operations Incorrect values entered into computer calculations Causes: High localized power due to control rod movement No long-term, integrated plan to achieve zero fuel defects Unclear expectations for reactor engineering support Inadequate human performance tool use Examples: Fuel Failures Reactor engineering support & communication with operations Incorrect values entered into computer calculations Causes: High localized power due to control rod movement No long-term, integrated plan to achieve zero fuel defects Unclear expectations for reactor engineering support Inadequate human performance tool use

31. Engineering Programs Examples: Program results not verified or in error Testing not adequately performed Causes: Inadequate management oversight Insufficient coordination between modification & testing program Inadequate program and component health monitoring Turnover of program engineers Examples: Program results not verified or in error Testing not adequately performed Causes: Inadequate management oversight Insufficient coordination between modification & testing program Inadequate program and component health monitoring Turnover of program engineers

32. Recurring Causes Management oversight Human performance Oversight of non-station personnel Procedure / process adherence or adequacy Management oversight Human performance Oversight of non-station personnel Procedure / process adherence or adequacy

33. Future What else is out there

34. Transformers Grid Margins / Power Uprate Margins / Power Uprate Fuel Emerging

35. Evaluations Margin Focus Programs Review Engineering Program Excellence Guidelines Initiatives Nuclear Fuel Engineering Work Management Non-station Personnel Transformers and Switchyards Evaluations Margin Focus Programs Review Engineering Program Excellence Guidelines Initiatives Nuclear Fuel Engineering Work Management Non-station Personnel Transformers and Switchyards Actions

36. Good News! Many strengths continue to be written (31) CM steering committee used to raise awareness on low margin components Improved procurement process for critical station components Calculation simplification to reduce the probability design errors Benchmarking to improve configuration management activities Effective fleet communications to implement notable CM improvements Operation without fuel defects for ten years Many strengths continue to be written (31) CM steering committee used to raise awareness on low margin components Improved procurement process for critical station components Calculation simplification to reduce the probability design errors Benchmarking to improve configuration management activities Effective fleet communications to implement notable CM improvements Operation without fuel defects for ten years

37. Good News! Improved evaluation process Pre-evaluation activities leading to better core team preparation Improved counterpart dialog Better developed causes, contributors, and insights Higher-level, vulnerability AFIs More issues related to manager and supervisor performance Improved cross-functional evaluation process is being well received Improved evaluation process Pre-evaluation activities leading to better core team preparation Improved counterpart dialog Better developed causes, contributors, and insights Higher-level, vulnerability AFIs More issues related to manager and supervisor performance Improved cross-functional evaluation process is being well received

38. Margins “By decreasing our margins, we are relying more and more heavily on our operators, engineers, and managers to make the right decisions, and to make them in a timely manner.” Zack T. Pate WANO Biennial General Meeting March 2002 “By decreasing our margins, we are relying more and more heavily on our operators, engineers, and managers to make the right decisions, and to make them in a timely manner.” Zack T. Pate WANO Biennial General Meeting March 2002

39. Discussion