NUREG/CR-5848

PNL-7987

Recordkeeping Needs to

Mitigate the Impact of

Aging Degradation

Prepared by

J. S. Dukelow

Pacific Northwest Laboratory

Operated by

Battelle Memorial Institute

Prepared for

U.S. Nuclear Regulatory Commission
I

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IAn

NUREG/CR't848

PNL-7987

Recordkeeping Needs to

Mitigate the Impact of

Aging Degradation

Manuscript Completed: September 1992

Date Published: October 1992

Prepared by

J. S. Dukelow

Pacific Northwest laboratory

Richland, WA 99352

Prepared for

Division of Engineering

Office of Nuclear Regulatory Research

U.S. Nuclear Regulatory Commission

Washington, DC 20555

NRC FIN B2856
Abstract

7Tiis report discusses technical issues associated with the role of nuclear plant records systems in understanding and

managing the aging of nuclear plant components, systems, and structures. It considers both the types of technical data

useful for verifying continued safe operation and the use of new technology for upgrading records systems. Specific

topics reviewed include the need for maintenance and reliability data, operational history data to support the assessment of remaining fatigue life, comprehensiveness and usability of the engineering design basis, improvement of the

data input process, and conversion of eisting records into machine-readable forms.

The report concludes that successful management of nuclear plant aging wll require improvement of existing plant

records systems; several generic and specific recommendations are provided. The computer-based technology for

meeting this need and implementing these recommendations already exists and can be implemented at a reasonable

cost.

iii lii ~~~~~NUREG/CR-5
Contents

Abstract ........................................................................... iii

Summaiy ........................................................................................ v ii

Aclmo ........................................................................... wl e d g ments s i

1 Introduction ...........................................................

1.1

2 Assessment of Current Utility Recordkeeping Practices .............................................. 2.1

3 Reviewof NPAR Prgramlk sks Relevant to Recordkeeping ........................................ 3.1

4 Recordkeeping Implications of Other Wfe Extension Initiatives ..................................... 4.1

4.1 Monticello BWR Pilot Plant Study .......................................................... 4.1

4.2 PWR Pilot Plant fe Extension Study at Suny Unit I ......... ................................ 4.2

4.3 Sandia Study of Operational Data Collection and Analysis

to Support Nudear Plant We Extension .................................................... 4.2

4.4 IAEA (draft) Guidelines for Data Collection and

and Record Keeping ......................................................................... 4.3

5 Recordkeeping Approaches Supporting Aging Management ......... .............. .5 .1

5.1 Screening and Prioritization of Components, Systems, and Structures for Aging Management ...... 5.1

5.2 Determination of the Expected lifetime of Components, Systems, and Structures ..... 5............ 5.2

5.3 Generic Recordkeeping Approaches to Manage Plant Aging ................................... 5.4

5.4 Specific Recordkeeping Approaches to Manage Plant Aging .................................... 5.4

5.4.1 A Specific Example of the Recommended Approach ..................................... 5.4

5.4.2 Recordkeeping to Support Maintenance ............. .................................. 5.5

5.4.3 Reconstitutionof Missing Data ................... .................................... 5.6

5.4.4 AgingofArdilval Records ............................................................ 5.6

5.4.5 Avoiding Surpis ......... . ........................................................ 5.7

5A.6 Specific Recommendations from the Monticello Pilot Plant Study ......................... 5.7

6 Techniques and `lbchnologies for the Improvement of Recordkeeping ........ ........................ 6.1

6.1 Enhanced Forms Design . ................................................................... 61

6.2 Direct Input of Data ....................................................................... 6.1

6.3 Integrated Plant Databases ................................................................. 6.1

6.4 Expert System Control of Data Input ............... ......................................... 6.1

6.5 Optical Disk Storage and Dissemination of Data ............................................. 6.2

6.6 Digital Scanners and Optical Character Recognition ........................................... 6.2

6.7 Enhanced Retievability of Data ................. ........................................... 6.2

6.8 Simulation, Multivariate Statistical Analysis, and Related lbchniques ............................ 6.2

v V ~~~~~~NUREG/CR
7 Conclusions ........................................................................... 7.1

8 References ........................................................................... &I

Appendix A - Examples of Component-Specific Recordkeeping Rewommendations ....................... A.1

Appendix B - High Priority Plex Data Requirements Not Currently Being Collected by the Pilot Plants ...... B.l

Appendix C - Summary of Recommendations for Operational Data Collection Related

to Aging Management . ............................................................... C I

Appendix D - Acronyms and Abbreviations .......................................................... D.1

NUREGICR-5848 Vi v
Summary

This report documents work done for the US. Nuclear Regulatory Commission (NRC) as part of its Nuclear Plant

Aging Research (NPAR) Program. This work is one task in a research program managed by the Electrical & Mechanical Engineering Branch of the NRC Office of Nuclear Regulatory Research. The NPAR Program focusses on aging

assessments of electrical and mechanical components and systems. Complementary efforts are being conducted or

supported by other organizations, including the Nuclear Management Resources Council, the Electric Power Research

Institute, the US. Department of Energy, the Board of Nuclear Codes and Standards, the nuclear steam supply system

vendors, the International Atomic Energy Agency, and industry and regulatory organizations in a number of foreign

countries.

The objective of this work has been to ascertain if existing nuclear plant records systems are adequate to support the

understanding and management of aging degradation mechanisms and, if necessary, to recommend enhancements to

the records systems. TJpics considered in this work were:

(1) the status of current nuclear plant records systems from the perspective of aging management,

(2) the results of NPAR Program research and other plant aging and life extension efforts,

(3) implications of the above for the understanding and management of aging,

(4) formulation of generic and specific recommendations for recordkeeping requirements in the context of aging management, and

(5) consideration of the techniques and technology available to implement those recommendations.

This work was conducted using a review of the literature and discussions with nuclear plant records managers Conclusions are based on this information plus the author's experience as a user of records systems at an architect-engineering firm, a research reactor, a commercial nuclear utility system, a defense production reactor, and a high-level nuclear

waste project. Conclusions regarding the capabilities of computer-based record-keeping tools are based on the

author's experience with computer systems, software development, and as Lectur in Computer Science.

Relevance of Records Systems to Nuclear Plant Aging Management

There are a number of reasons for a nuclear utility to maintain a comprehensive records system; these include NRC

regulations, other regulatory requirements, and adherence to engineering and business good pracces U.S. nuclear

utilities currently maintain ctensive records systems, partly in response to 10 CFR 5071, Regulatory Guide L28,

Regulatory Guide 88, ANSI/ASME NQA-1, ANSI/ASME N4529, and 10 CFR Part 50, Appendix B, and partly as

an implementation of good business practices, as with the records the same utilities maintain to support their fossil

plants.

From the standpoint of aging mechanisms, there are three reasons for recordkeeping:

(1) Maintenance and reliability records can be used to monitor the condition of equipment, to predict failures, and to

design appropriately conservative predictive and preventive maintenance programs.

vii NUREGICR-5848
-

(2) Design, maintenance, operational history, and reliability records provide the basis for comparing the actual operating environment and operational stressors to the design assumptions. This comparison provides the justification

for continuing to operate systems or components out to or beyond their original design lifetime.

(3) Maintenance and reliability records can support the decision to replace or refurbish systems, structures, or components (SSCs).

Extensive records of maintenance, equipment reliability, and plant operating status are maintained, but they have frequently been inadequate to support the desired analyses of past performance and predictions of future performance.

In addition, at many nuclear plants, the records constituting the engineering design basis of the plant were incomplete

at plant startup or they have not been kept current with the state of the plant. NRC implementation of Safety System

Functional Inspections (SSFls) and Safety System Outage Modification Inspections (SSOMls), I & E Notice 85-66,

and Systemic Assessment of Licensee Performance (SALP) have all highlighted the safety impact of failure to adequately document a plant's engineering design basis and to provide adequate configuration control and timely

retrievability of the information in the plant's records system (Brackney et aL 1987). Approximately three dozen

nuclear utilities have been upgrading their Configuration Management and Design Basis Documentation programs in

response to these problems.

Existing records systems have exhibited a number of deficiencies, many of them related to the fact that they are primarily based on hard copy records (on paper or on microform), with the attendant slow retrieval and difficulty in processing or manipulating the records in any way. Computerized indexing of the hard copy records in plant records systems

is extensive, but not computerized delivery of the information.

On the positive side, a number of utilities have implemented computer-assisted drafting systems for the storage and

maintenance of plant drawing records, with the associated benefits in retrievability, legibility, and ease of modification

and use. Also, several utilities have put procedures, technical specifications, and similar controlled documents on-line,

thus benefiting from improved accessibility and reduced cost for controlling the distribution and managing the configuration of those documents.

NPAR Program Research Relevant to Recordkeeping

The Phase I Tasks of the NPAR Program have typically either characterized a particular aging degradation mechanism

or have characterized all the mechanisms affecting a particular nuclear plant system or type of component. These

reports frequently call for monitoring and surveillance to assess the impact of the degradation mechanisms; this represents a tacit recommendation for increased recordkeeping, since presumably the data resulting from the increased

monitoring and surveillance will not simply be discarded. Few NPAR reports contain explicit recommendations

regarding the data which should be collected, on what schedules, and to what purpose. On the other hand, there is a

sense in several NPAR documents that to demonstrate that piping and large pressure vessels can continue to operate

out to 60 years within their design fatigue life will require significant improvement in the characterization and records

of irradiation history, operating pressure transients, and temperature transients.

The NPAR Program developed a basis to prioritize its own research by having a panel of experts determine, for each of

fifty types of nuclear plant components, the change in total plant risk due to aging of the component as a function of 1)

the risk importance of the component, 2) the increase in the component's failure rate as it ages, 3) the inspection interval, 4) the probability of successful detection of degradation, and 5) the conditional probability of successful repair,

given that the degradation has been detected. The derivation of this functional relationship, called the RSCAAMP

(for Risk Significance of Component Aging and Aging Management Practices) model, is described in a report by Levy

NUREO/CR-5848 viiii
et al. (1988). The resulting prioritization has had additional benefits, including insights on which plant parameters are

important to managing total plant risk and aging degradation.

lb support prioritization and screening for aging management and to support the assessment of effectiveness of the

maintenance program, utility records systems will need to provide information equivalent to the parameters described

above. Most present systems do not provide all of this information. Therefore, recordkeeping enhancements are

needed. The method used to prioritize, or screen, components and systems to determine which will require aging management will probably not be the RSCAAMP model, but It will require the development of similar information. The

risk importance of a component would be determined using a plant probabilistic risk assessment, but the plant records

system will have to support determination of the other four variables In the RSCAAMP model or determination of

equivalent measures of the aging importance of plant components, systems, and structures.

Implications of NPAR Results for Utility Recordkeeping

Components having an expected lifetime on the order of the original design lifetime of the plant are those of most

relevance and interest from a plant aging and life extension standpoint. They are reliable and long-lived enough that

the operating history and failure records cannot be expected to support, with high degrees of confidence, statistical

estimation of their residual life. Accordingly, if residual life assessment is chosen as one of the elements of an effective

program to manage the aging of these components, the data from the design documentation, from the ISI program,

and from NDE must be relied upon to assess the condition of such components and to estimate their residual life.

Similarly, there may be components for which a careful assessment of the operating history and environment, particularly with respect to thermal and pressure transients, may be critical to an assessment of the remaining fatigue life of

the component

For components with an expected lifetime significantly less than forty years, the plant maintenance program will have

already established a record of the efficacy of In-service inspection and monitoring to track aging degradation, so that

the components can be replaced or refurbished in a timely fashion. The function of the records system in this context

is to support the evaluation of aging degradation and determination of timely replacement or repair.

Finally, there should be consideration, on a plant-specific basis, of possible alternatives to expanded recordkeeping.

These alternatives may include preventive maintenance, system or component refurbishment, or the development and

implementation of testing and examination techniques capable of establishing the current condition of the system or

component, without any need to consider Its operating and maintenance history.

The ultimate criterion for evaluating the impact of aging degradation, together with the plant owner's program for

mitigating that impact, is whether the plant will continue to meet the design adequacy acceptance criteria, as defined in

the plant's licensing basis, throughout plant life. The nuclear plant records system must be capable of providing the

information needed to support this conclusion.

Conclusions

The nuclear plant records system must provide access to the information needed 1) to prioritize SSCs according to

their safety importance and their susceptibility to aging degradation, 2) to understand the actual course of aging

degradation in the plant, and 3) to manage, by appropriate mitigation, that aging. The first of these goals Is most

strongly determined by the plant design and how that design has been implemented in the process of construction and

tx ix ~~~~~~NUREG/CR
later modifications to the plant; that is, by the engineering design basis of the plant The second and third goals

represent the information needed to design and implement an effective maintenance program in the plant.

An effective data collection and recordkeeping system, supportive of aging management activities, should meet the

following performance criteria:

* Provide sufficiently comprehensive and accurate information about the plant, including engineering baseline data,

historical operational status, and maintenance history.

* Provide for flexible management of that information.

* Provide secure storage of the information.

* Provide for the integrity of the information over the life of the plant.

* Provide timely and accurate retrieval of the information.

* Provide adequate tools for data analysis, graphical display, and production of reports.

Expanded recordkeeping and enhanced databases will be necessary to manage aging in operating nuclear power plants.

The records should be, wherever feasible, machine-readable, to facilitate later use of the information in ways not originally contemplated. The information should be integrated throughout the plant, using common formats, and centralized planning and management of the information systems function. The information should be carefully preserved

and itself protected against aging. Finally, the plant databases and records system should include more than the miinimum necessary' to operate the plant, providing the engineering staff with the data and tools needed to minimize the

impact of unexpected degradation phenomena.

The computer-based technology for meeting this need and implementing these recommendations already exists and

the recommendations can be implemented at a reasonable cost. An appropriate computer-based system is likely to

yield a substantial savings over the life of the plant, compared to a records system based on management of hard copy'

records.

NUREGICR-5848x x
Acknowledgments

The author is indebted to Mr. J. P. Vora of the Office of Nuclear Regulatory Research, Division of Engineering, US.

Nuclear Regulatory Commission for programmatic guidance and careful review of this effort. Within the Pacific

Northwest Laboratory (PNL), similar valuable guidance has been provided by Dr. A. B. Johnson, Jr., Project Manager

for PNL NPAR worL

Thanks are extended to the Nuclear Information and Records Management Association, to Nucleonics Week, to the

Electric Power Research Institute, and to the Utility Data Institute for permission to quote copyrighted material.

Special thanks are extended to the members of the Nuclear Information and Records Management Association and its

Plant Life Extension Committee, who have provided valuable insight into the operation of nuclear plant records

systems.

xin xi ~~~~~~NUREGICR
1 Introduction

The U.S. Nuclear Regulatory Commission (NRC) has

established the Nuclear Plant Aging Research (NPAR)

Program to study the safety-related technical issues associated with the aging of nuclear plant systems and

components. The Program deals with issues related to

the impact of aging degradation on the continued safe

operation of the plants. The Nuclear Plant Aging Research Program Plan (USNRC 1991) describes the Program's goals and approach to meeting those goals.

More specifically, the NRCs lbchnical Integration

Review Group for Aging and Life Extension

(IRGALEX) developed a Plan (USNRC 1987a) which

identified *technical safety and regulatory issues related

to reactor aging and life extension' and provided "a plan

to integrate NRC and external activities to resolve the

issues.! One of the NRC action items described in the

TIRGALEX-Plan is the development of guidance for

adequate recordkeeping to support license renewal.

In support of that action item, Pacific Northwest Laboratory (PNL) established an NPAR Program Fisk during fiscal years (FYs) 1988 through 1990 to assess current nuclear utility recordkeeping practices and, if

required, to formulate recommendations for changes

needed to support aging management. Phase I NPAR

Program research tasks aimed at identifying the aging

degradation mechanisms affecting different classes of

plant systems and components have typically recommended testing, surveillance, monitoring and trending,

which implies some additional recordkeeping. The PNL

NPAR Guidance for Recordkeeping Uisk has made recommendations regarding needed records, paying particular attention to any records (related to the

engineering design basis of the plant or records of past

plant, system, or component environment or performance) that may need to be reconstituted if they are not

currently being maintained. In addition, it has assessed

current nuclear plant recordkeeping practices and existing and developing technology in the areas of data

acquisition, storage, database management, and data

interpretation.

As with other NPAR Program components, the Guidance for Recordkeeping lksk was conducted in a phased

fashion. Phase I work during FY 1988 concentrated on

the assessment of current utility practices, review of the

recommendations resulting from other NPAR Program

tasks, and an assessment of current and developing technology for dealing with recordkeeping needs. In addition, the tasks for Phase II of the effort were planned.

The Phase II effort during FY 1989 and FY 1990 invohved continuing review of current recordkeeping practices and NPAR Program research, and formulation of

more extensive and explicit technical recommendations.

Section 2 of this report reviews current recordkeeping

practices of U.S. nuclear utilities. Section 3 reviews

those aspects of other NPAR Program tasks relevant to

the role of records systems in the identification and

management of aging degradation. Section 4 considers

the recordkeeping implications of some of the other life

extension programs. Section 5 contains recommendations for the use of records to support the management

of aging degradation. Section 6 discusses the feasibility

of implementing those recommendations and Section 7

summarizes the conclusions of the report.

1.1 NUREG/CR-5848
2 Assessment of Current Utility Recordkeeping Practices

There are a number of reasons for a nuclear utility, like

other business organizations, to maintain a comprehensive records system, including:

* understanding and maintaining an audit trail of the

economic performance of the organization

* business and/or engineering good practices

* prevention of accidents or upsets

* defense against future liability claims

* regulatory requirements.

From the standpoint of aging management, there are

three reasons for recordkeeping:

(1) Maintenance and reliability records are essential for

the design and optimization of predictive and preventive maintenance programs.

(2) Design, maintenance, operational history, and reliability records provide the basis for comparing the

actual operating environment and operational stressors with the design assumptions. This comparison

may provide a justification for continuing to operate

systems or components out to or beyond their original design lifetime.

(3) Maintenance and reliability records support decisions on when to replace or refurbish systems, structures, or components (SSC).

As the commercial nuclear industry has grown and matured, there has been a significant increase in the number of explicit regulatory requirements, including requirements for improved or Increased recordkeeping.

Much of this increase in regulatory requirements has

been a result of the NRCs TMI-2 Action Plan (USNRC

1980), the identification of Unresolved Safety Issues and

Generic Safety Issues, and the efforts to resolve those issues. Some of the impetus for additional recordkeeping

comes from the need for information to support analytical, predictive models of various aspects of plant,

equipment, and operator performance. An example is

the desire to collect enough information from the monitoring and surveillance of major equipment to successfully estimate the residual life of that equipment Additionally, there is a desire to provide sufficiently broad

records of plant transients and equipment operating

conditions to detect and understand previously unknown or unexpected phenomena (e g., intergranular

stress-corrosion cracking or pipe wall thinning due to

erosion/corrosion).

Recordkeeping practices at US. nuclear utilities were

reviewed using a combination of literature search and

discussions with utility recordkeeping personnel Discussions with members of the Nuclear Information and

Records Management Association (NIRMA) and a review of NIRMA publications (NIRMA 1986,1987,

1988) have been of particular value in assessing the efficacy of current recordkeeping practices. Some of the

judgments expressed are based upon the author's experience as a user of records systems at an Architect-Engineering firm, a research reactor facility, a commercial

nuclear reactor, a plutonium production reactor, and a

high-level nuclear waste repository project.

U.S. nuclear utilities currently maintain extensive records systems, partly in response to 10 CFR 50.71, Regulatory Guide (R G.) 1.28 (USNRC, 1985), Regulatory

Guide 1.88 (USNRC, 1976), ANSI/ASME NQA-1

(ASME, 1986), ANSTIASME N45-9 (ASME, 1979),

and 10 CFR Part 50, Appendix B and partly as an implementation of good business practices, as with the

records the same utilities maintain to support their fossil plants. Existing records systems are generally recognized to have a number of deficiencies, including the

fact that they are primarily based on hard copy records

(on paper, microfilm, or microfiche), with the attendant

slow retrieval and difficulty in processing or manipulating the records in any way. Computerization of nuclear

plant records systems is extensive (although not consistently so throughout the industry), but has concentrated

on computerized indexing of the hard copy records. Although extensive records of maintenance, equipment

reliability, and plant operating status are maintained,

they have proved to be inadequate to support desired

21 2.1 ~~~~NUREQ/CR-
Current Utility Recordkeeping

analyses of past performance and predictions of future

performance. At many nuclear plants, the records constituting the engineering design basis of the plant have

been incomplete or have not been kept current with the

state of the plant. In particular, the quality of trending

and root-cause analysis at nuclear plants is generally

considered to be inadequate.

On the positive side; a number of utilities have implemented computer-assisted drafting (CAD) systems for

the storage and maintenance of plant drawing records,

with the associated benefits in retrievability, legibility,

and ease of modification and use. Also, several utilities

have put procedures, technical specifications, and similar controlled documents on-line, with the benefits of

improved accessibility and usability and reduced cost for

controlling the distribution and managing the configuration of those documents.

A recent survey by Utility Data Institute compiled information on nuclear plant records systems at 56 separate

plants at 33 reactor sites, comprising approximately half

of US. nuclear plants (Nucleonica Week 1988)

Ulble 21, adapted from the cited reference, summarizes

the status of computerization of different apes of plant

record systems at the 33 sites. The report notes high

levels of computerization of records systems for

maintenance planning, radiation monitoring. and plant

chemistry trackg but far less in areas directly

supporting operations and engineering, such as trending

on operations history, safety system tagout control, and

documentation of the engineering design basis of the

plant. There is little standardization in the database

systems used, because of a large number of vendors and

a desire on the part of utility organizations to do at least

part of the system development process themsehvs.

Tlble 21 Status of Selected Computerizd Nulear Information Systems

Number of Reactor Sites wi Systems

System Descriptions In Place UnderDevelopment No System

Radiation Exposure Monitoring 32 1 0

Process Monitoring Computer 31 0 2

Inventory Control 30 3 0

Maintenance Planning 29 0 2

Master Equipment List 24 2 3

Design Document Status 21 3 7

Radioactive H&e Management 21 2 10

Plant Radiation Monitoring 20 6 6

Plant Chemistry lacking 20 4 9

Operator Assistance 19 2 12

Operations Log ¶fend Analysis 11 2 20

ibol Control Accountability 10 6 17

Safety System 7hgout Control 9 9 14

Source of data. 'Nuclear Plant Information Systems Survey,' October 1987, prepared by the Utility Data Institute,

Vshington, D.C. (Nucleonics Week, 1988).

NUREG/CR-584822 2.2
Current Utility Recordkeeping

What standardization there is can be attributed to the

predominance of mainframe computers of one particular computer vendor in the nuclear plant recordkeeping

market. Utility involvement in the development of recordkeeping systems probably facilitates successful

implementation by providing psychological "ownership

of the systems. Although there has been some consideration given to standardization in the records area and to

formal cooperation between utilities, to date there has

been almost no such interaction.

Records computerization has tended to favr areas related to finances, administrative support, and materials

management, where it is easiest to show "hard dollars

savings. 'De term 'hard dollar' refers to the case with

which the savings produced by automation of the record

system can be quantified; typically, these are easily

qutifiable sags in the recordkeeping process itself

Soft dollar savings arising from the increased productivity ofrecords users or increased efficiency and safety

of plant operation are much more difficult to quantify.

Changes in the utility operating environment in recent

years, Including the trend toward deregulation and the

appearance of prudency hearings have tended to increase the buget pressures on proposed upgrades of

utilities' records systems. Discussions with NPRMA

members and review of NIRMA Annual Symposia papers (NIRMA 1986,1987,1988) suggest strongly that

hard dollar savings predominate in the utility planning

and budgeting process and that improvements to records systems with the goal of increasing plant safety may

require regulatory Impetus.

Significant areas of ongoing record system Improvements which have gotten such a regulatory push are Design asis Documentation and the closely related area of

Configuration Management. Personnel at one US. nuclear utility have been candid in describing the problems

associated with poor recordkeeping, recognizing that

fundamental management deficiencies are the root

cause of these problems, and admitting the importance

of regulatory impetus in persuading uiit management

to solve the problems (Caz and FiliaM 1987, Outhrie et

aL 1986). NRC iplementationof Safety System Fnctional Inspections (SSFI) and Safety System Outage

Modification Inspections (SSOMI), I&E Notice 85-66,

and Systemic Assessment of Licensee Performance

(SALP) have all contributed to current efforts by many

utilities to upgrade their configuration management

programs, in particular the description of the engineering design baseline.

A revie of several SSFIs and SSOMIs provides the following description of common records system deficiencles (Bracney et al. 1987):

* High occurrence of Inadequate availability and retrievability of design basis documents or data for

Inspected safety systems.

* A demonstrated lack of consideration of the original

design basis (e.g., in the design and execution of

plant modifications).

* Reliance on unsubstantiated or undocumented

engineering judgments.

* Inadequate control of the design change process.

* Inadequate design verification.

Further analysis of these findings reveals that the

root cause of many of these deficiencies is the lack

of availability or retrievability of original design

documents or data. In some situations where

these documents were provided to the utility, the

documents are poorly organized or indexed and, as a

result, difficult to retrieve in a timely manner.

Many program enhancements stress the reestablishment of the plant's baseline but do not pay adequate

attention to improving the availability of baseline

design information to support future plant modifications; - the lack of prompt retrieval of records

sometimes causes Inappropriate conclusions to be

drawn by NRC inspectors, quality auditing groups,

and public utility regulators, or Intervenors. In

addition to knowing the precise location of records,

records must be retrievable to suit the information

needs of potential uses in a time period commensurate with the urgency of obtaining the information.

The NIMA position paper on configuration management systems (NIRMA 1988) identifies some symptoms

of additional programmatic problems with configuration

management and recordkeeping systems:

2.3 2.3 ~~~~~NUREG/CR
Current Utility Recordkeeping

* Outages are extended when problems surface during

implementation or testing of changes (problems

that could have been prevented if the design basis

irmatOn in the records system were more

usable).

* Multiple (databases) exist in different departments,

which may contain conflicting data.

* Documents are not updated after a design change is

completed.

* Personnel are not cognizant of changes that have

been completed.

* Responses to operability questions are indcterminate because the design basis is unknown.

* System configuration problems result in LERs,

NRC violations, NRC citations, and low SALP

ratings.

The Nuclear Construction Issues Group (NCIG) and

the Tisk Group on 7bhnical Data Requirements, in cooperation with the Elecric Power Research Institute

(EPRI), have conducted a review of nuclear plant records requirements (as laid out in ANSJ/ASME NQAA,

Regulatory Guide 128, and ANSUJASME N4529)

This review was recently published as a EPRI Report

(EPRI 1988c), subsequently referred to as the Guidelines. The intent of this review is signalled by the opening paragraph of the Abstract:

The record systems at many nuclear power plant

sites are becoming overloaded with unnecessary

and superfluous records. The reason for this

overload is that although the Codes and Standards list the record types to be retained, there

is no definition for the contents of the records.

This encourages varied interpretations which

often lead to the approach of save evrything.

The approach NCIG used was to perform an engineering review of each record type to Identify which data are

'essential data,' in the sense of being of significant

value' in:

* maintaining, reworking, repairing, replacing, or

modifying an item

* determining the cause of an accident or malfunction

of an Item

* providing required baseline data for in-service

insp ection.

This engineering review classified each type of data as

either 1) essential data contained in lifetime records,

2) verification data contained in lifetime records, or

3) non-permanent records. The distinction drawn between essential data and verification data was that verification data demonstrate that the as-built plant meets

the quality requirements laid out in the regulations, the

engineering design basis, and the plant's Quality Assurance program. It should be noted that some verification

data, particularly that verifying In-process quality rather

than the quality of the final product, were classified as

non-permanent records. Verification data are viewed by

the Guidelines as helpful for resolving questions and for

conducting root cause evaluations, but are of secondary

importance to essential technical data. In addition to

the above cassification, the engineering review attempted to Identify alternate sources for essental technical

data, for use in the event of missing or incorrect data.

Considerations related to possible plant renewed license

term were specifically excluded from the scope of the

NCIG engineering review and the resulting Guidelines.

That noted, the author of this report concludes that several of the record types classified as non-permanent records In the Guidelines would be, in fact, of considerable

value in assessing the capability of safety-related SSC to

perform their function during a license extension period. On the other hand, many of these classifications as

non-permanent records agreed with similar classifications in current recordkeepag standards, such as

R.G. 1.28 or ANSllASME N45.29. Examples of such

record types classified as non-permanent in the

Guidelines are provided in Ibble 2.2

* demonstrating capability for safe operation

NUJREG/CR-58482. 2.4
Current Utility Recordkeeping

Table 2.2 Record l)pes Classified as 'Non-Permanent' In LPRI Guidelines Document (1988c)

Cassilication In

Record Iype R.G. 128 ANSIJASME N452.9

Radiographs not required by ASME 10 year Lifetme storage required for some

Section Xi radiographs

Manufacturing test procedures 3 year Some are lifetime records

DesignReviewReports 10year Duringwarrantyperiod

Construction phase welding test 3 year Until Operating iUcense or during

procedures warrantyperiod

Concrete/cement composition reports 10 year Until Operating Icense or during

warrantyperiod

Pressure test results lifetime (manufacturing) Lfetime

3 year (installation)

lifetime (?) (pre"op)

Calibration procedures and reports 3 year Until recalibration

Meeting minutes of plant nuclear - iWfetime

safety committee and company

nuclear review board

Ilcensee Event Reports - Per regulatory requirements

2. 2.5 ~~~~~~NTUREG/.C
3 Review of NPAR Program Tbsks Relevant to Recordkeeping

Research on specific components and systems conducted to date by the NPAR Program was reviewed with

particular emphasis on explicit recommendations for

recordkeeping for aging management.

The Phase I tasks of the NPAR Program Plan have typically either characterized a particular aging degradation

mechanism or have characterized all of the mechanisms

affecting a particular nuclear plant system or type of

component. The NPAR UIsk reports will list or, less

frequently, evaluate the in-service Inspection (ISI) techniques which have the potential for tracking the degree

of component or system degradation due to the mechanisms considered. A frequent generic recommendation is

for increased monitoring and surveillance to mitigate

the impact of the degradation mechanisms; this represents a tacit recommendation for increased recordkeepIng, since presumably the data resulting from the increased monitoring and surveillance should not simply

be discarded.

Many of the NPAR Program tasks have attempted to

characterize aging mechanisms and ascertain their prevalence by the use of the national reliability and operating experience databases such as the Nuclear Plant Reliability Data System (NPRDS) and the Ucensee Event

Report (LER) database. These databases share all of the

quality problems described in Section 52 of this report

plus, for NPRDS, the additional difficulty that, although

the information required has been reasonably well defined, the actual submittal of data was voluntary until

1984, when U.S. nuclear utilities made a commitment to

the Institute for Nuclear Power Operations (INPO) to

provide complete reporting of both engineering and failure data. Even since 1984, NPRDS reporting obligations have been subject to varying interpretations by

utilities involved, although INPO does employ three

data 'auditors to review Input to the database and has

some ability to compell corrections or enhancements to

the data submittals. Therefore, conclusions drawn

regarding operating experience using the national databases tend to be significantly different from the conclusions obtainable when the investigators are able to talk

candidly one-on-one with plant engineering and maintenance personnel and review actual plant records. See,

for example, the experience of Jarrell et al. (1989), in

attempting to use the generic national databases to assess aging degradation mechanisms of safety-related

plant service water systems. They note:

The generic data analysis results did not appear

reasonable in light of the investigator's previous

plant experience. Subsequently, a broader

search for information led the researcher to specific plant data bases and finalply] to the system

expert. ... It is important for the Investigator to

understand the intended purpose, features, and

limitations of the data base being considered.

Other NPAR Program Tasks (Hoopingarner and

Zaloudek 1989) have been able to use the national

generic databases, in combination with data from

proprietary equipment history databases and with

subjective Interpretation of the data by experts, to

successfully assess and characterize the aging

mechanisms Impacting a particular plant system.

In a few NPAR Uask reports there are explicit recommendations regarding the data that should be collected,

on what schedules, and to what purpose. The example

that stands out is the report by Hoopingarner and

Zaloukek (1989) on emergency diesel generator (EDG)

aging. Hoopingarner and Zaloudek propose periodic

EDG tests consisting of a slower start and load sequence

(e.g., 30 second start and 2 minute load sequence)

followed by fairly extensive monitoring and logging of

EDO operational parameters, comprising an engine

health check. In Appendix A of their report, they

propose logging of about 30 parameters, chosen to provide confirmation of the operability and stability of the

EDG and its subsystems. In addition to these periodic

(but still monthly) slow start and load operability tests,

they propose less frequent (every 6 to 12 months) fast

start and load tests, with each such test followed by a 2

hour run at full power to monitor operational parameters and relieve the stresses created by the rapid start.

The report also proposes less frequent complete overhauls combined with somewhat more extensive postoverhaul testing than current practice, again with the

emphasis on operability and stability rather than fast

3.1 NUREG/CR-5848
NPAR Program Thsks

start and load. Important operability variables collected

in the proposed program would be subjected to statistical analysis and trending much more extensively than

that currently practiced, with the goal of optimizing

(with respect to safety and economics) the preventive

maintenance program.

Another example of detailed consideration of increased

monitoring and surveillance (and, implicitly, increased

recordkeeping) is found in a variety of studies on

electrical cable aging mechanisms and the efficacy of

nondestructive examination (NDE) and in situ ISI

techniques (Ahmed et aL 1985; Mopsick et al 1988;

EPRI 1984). Te general conclusion of these reports is

that existing techniques for in situ ISI of electrical cable

are not capable of characterizing the condition of the

cable and require additional research and development.

In particular, they are not capable of predicting that the

cable will fulfill its function for some length of time into

the future and be able to continue to fulfill its safety

function during and after a design basis accident occurring at that future date.

There is a general sense throughout many of the NPAR

Program documents (and in the documents of other organizations investigating plant life extension) that assuring piping and pressure vessels can continue to operate

within their design fatigue life will require significant

improvement in the characterization and records of operating pressure and temperature transients. Beyond this

general sense, there are few explicit recommendations

One of the exceptions is the report compiled by Shah

and MacDonald (1986) which reviews in Chapters 11-14

the state-of-the-art in nondestructive examination and

ISI and the prospects for advanced techniques still

under development. Chapter 15 then makes explicit recommendations, including some directly impacting

recordkeeping needs.

NUJREGICR-58483. 3.2
4 Recordkeeping Implications of Other Life Extension Initiatives

In addition to NPAR and other aging-related NRC activities, the nuclear industry, under the aegis of the Nuclear

Management Resources Council (NUMARC), and with

the support of EPRI and the US. Department of Energy

(DOE), has undertaken a number of programs investigating the feasibility of plant life extension. Results of

these programs as reported to date offer a number of insights and recommendations regarding the place of records systems in supporting aging management, plant life

extension (PLEX), and license renewal. Specifically,

EPRI supported two Pilot Plant Studies, one at a BWR

and the other at a PWR. Results of the Pilot Plant

Studies have been published in a series of EPRI reports.

4.1 Monticello BWR Pilot Plant Study

The Interim Phase 2 report on the BWR Pilot Plant

Study (EPRI 1988a) reviews the Monticello Phase 1 and

Phase 2 Programs, gives Component Evaluation Summaries for 15 components (some safety-related, some

not), discusses the Monticello PLEX Implementation

Plan, provides conclusions of the Phase 2 Program, and,

In an appendix (EPRI 1988b), gives a database printout

of 336 different FLEX follow-on activities. There is

much In the report with interesting implications for

nuclear plant recordkeeping.

'b summarize some of the main highlights and conclusions of the report:

* The component, system, and structure (SSC) prioritization was done in Phase 1 using the Delphi Method and criteria based on safety, availability, and

replacement/refurbishment cost.

* Phase 1 evaluated the "critical components,"

arbitrarily taken to be the 27 highest ranked.

• Phase 2 expanded the Component Evaluations from

the 27 critical' components to all 120 SSC and supplemented the Phase 1 Component Evaluations

with in-plant condition assessment and testing of

the 27 critical components.

* The 93 new Component Evaluations produced more

than 400 recommended actions aimed at improving

component life; half of these are relevant not only

to life extension, but also to assuring that the plant

can reach its design life of 40 years.

* Phase 1 concluded that *a major part of a successful

life extension program must include a major rethinking of maintenance practices and equipment

monitoring.' Phase 2 confirmed that and other

Phase 1 conclusions.

* 'Procedures generally do not provide sufficient

space for recording data, observations or part

replacements listings.'

* It is necessary "to ensure that all maintenance observations and data needed for FLEX and for longterm preventive maintenance are obtained.'

* 'Data obtained when components are found in acceptable condition may be as important to future

PLEX evaluations as data suggesting Immediate refurbishment.'

* 'As the plant ages and the amount of field data

grows, a well developed computerized system for

maintenance and for supporting major component

replacement/refurbishment studies will be

essential

* Regarding vendor maintenance manuals: '.these

supplier manuals have initial deficiencies both in

format and content and as they age, they tend to become more deficient and technically outdated

regardless of supplier efforts to revise them. The

FLEX issue which deserves further evaluation is

whether or not the operating plant should continue

to rely on supplier manuals as primary maintenance

procedures for the long term.'

* 'Recording of maintenance observations and data

for PLEX should be improved.'

4.1 4.1 ~~~~~NUREG/CR
Recordkeeping Implications

* A component based documentation system for the

storage and retrieval of maintenance history should

be developed.-

* "the large percentage of maintenance (34%) and

testing/surveillanceAISI (29%) improvements recommended [of the 505 total recommended follow-on

activities) for Monticello show that a successful justification for license renewal will be very dependent

on a good quality maintenance program with trended data collection and analysis, to support degradation studies and demonstrate adequate margins for

extended service.

Appendix A summarizes some of the componentspecific recordkeeping recommendations from the report. In addition to the recommendations summarized

in Appendix A, each of the 15 Component Evaluation

Subsections of the report also describes the aging degradation mechanisms relevant to that component and contains a table evaluating the significance of each of the

degradation mechanisms for each of the components

treated in that subsection.

4.2 PWR Pilot Plant Life Extension

Study at Surry Unit 1

The NUMARC/EPRVDOE-supported PWR Pilot Plant

Study identified in Phase 1 and partially implemented in

Phase 2 a number of records system enhancements intended to improve 'both the near-term effectiveness and

efficiency of records management, and the long-term

integrity and availability of records necessary to support

life extension evaluation' (EPRI 1989b). The project

team 'evaluated the completeness, accuracy, availability,

and retrievability of records pertinent to future PLEX

analyses." This evaluation identified the following

shortcomings of the Surry recordkeeping system:

* Some data required to perform life extension

evaluations are not available.

* Some data are difficult to retrieve.

* Some data are recorded on media (e.g., radiographs)

that will degrade over the life of the plant.

* Nuclear Steam Supply System (NSSS) vendor stress

reports and detailed drawings, and other data are

retained by the NSSS vendor and ArchitectEngineering (A-E) firms and are, thus, not under

the direct control of the licensee (Virginia Power).

* Certain data are not prepared in a format that

enables storage in the current data format (e.g.,

computer data files).

* During the 2-year interval between receipt of data

for storage and actual archiving (Le., microfilming),

records can potentially be lost, misfiled, or

damaged.

* The manual indices used for the current (records)

system are cumbersome and time consuming, and

will become more so over time.

* The recordkeeping system is designed to meet regulatory requirements rather than operations needs.

This record systems review identified the need for a records database that would tie records to the plant system

number, component mark number, document type, date,

keywords appearing in the record, and other operationally useful sorting parameters. An investigation of new

recordkeeping technologies led to the decision to implement, on a pilot project basis, a records system upgrade

based upon capture of the image of a record page in

digitized form (using an optical scanner) followed by

indexing and storage of the digitized image on optical

disks. Storage on optical disks was chosen because of

enhanced security, data integrity, and retrievability.

4.3 Sandia Study of Operational Data

Collection and Analysis to Support

Nuclear Plant Life Extension

Personnel from Multiple Dynamics Corp. and Northern

States Power with the support of Sandia National

Laboratories and the Department of Energy have been

evaluating the results of the Monticello and Surry PLEX

Pilot Plant programs to define the operational data

needed to support nuclear plant life extension (USDOE

1989; Berg et al. 1989). They have developed a series of

NUJREG/CR-58484. 4.2
Recordkeeping Implications

TPLEX Aging Indicators,' have considered how current

industry databases can be used to support PLEX, and

have considered what improvements should be made in

data collection, preservation, and dissemination to improve plant life extension prospects. The report on this

study, Operational Data Collection and Analyses for

Nuclear Plant Wfe Extension" (Berg at al. 1989), defines

291 operational data types, covering 11 classes of data,

such as transient, water chemistry, testing, surveillance,

and environmental data. The data identified in the report are associated with only fifteen critical components

and structures, identified during the course of the Pilot

Plant programs.

The highest priority data consisted of those items required to evaluate a degradation mechanism that will

definitely affect component life. Of the high priority

data items, 10.5% are not currently being collected by

the Pilot Plants; Appendix B summarizes these items.

The report also identifies potential PLEX Aging Indicators (USDOE, 1989), including

* ISI examination results

* pressure/temperature transient history

* water chemistry transient history

* reactor pressure vessel beltline material radiation

sample test results

* primary containment vessel wall thickness test

results

* carbon steel piping wall thickness test results

* concrete crack mapping and growth history

* concrete core sample compressive test results

* results of destructive testing on removed electrical

cable

enhancements to commercial databases, and suggested

Improvements in the collection and dissemination of

chemistry data, summarized here in Appendix C

4.4 LEA (draft) Guidelines for Data

Collection and Record Keeping

The International Atomic Energy Agency (LAEA) Advisory Group on Nuclear Power Plant Ageing and Life Extension recommended in June 1988 that guidelines for

data collection and recordkeeping of baseline, operational, and maintenance data for nuclear power plant

components be drafted. An LAEA Consultants Panel

met in Vienna during July 1989 to prepare the draft,

which was subsequently reviewed at a Technical Committee meeting in Vienna in November 1989. A second

draft was prepared during a Consultants Meeting in

March 1990. After further review and revision the

guidelines were published in December 1991 as the

Safety Series report Data Collection and Record Keeping

for the Management of Nuclear Power Plant Ageing

(LAEA 1991).

The report treats the following topics: 1) general data

needs for the evaluation and management of aging,

2) the attributes of an effective data collection and

recordkeeping system, 3) factors that may be used to

prioritize the data requirements and provide the basis

for phased implementation of the records systems,

4) the need for differing approaches to records system

implementation in planned plants and existing plants,

and 5) participation of the operations and maintenance

staff of the plant in the design and Implementation of

the records systems. Appendix I of the report provides

specific examples of data needs for the management of

aging of the reactor pressure vessel, the emergency

diesel generators, and electrical cables. Appendix II

provides some examples of effective data collection and

recordkeeping systems and Appendix HI offers some

guidance for the implementation of an advanced data

collection and recordkeeping system.

The report includes specific recommendations on data

measurements and recording methods, suggested

4.3 4.3 ~~~~~NUJREG/CR
5 Recordkeeping Approaches Supporting Aging Management

We suggest two criteria for determining which SSCs and

which aging mechanisms need to be treated to support

aging management. The first is determination that a

particular SSC is important to safety, a determination

made using the plant's current licensing basis. The second criterion is the expected lifetime of the SSC under

the influence of specific aging mechanisms. If the SSC

needs to be repaired, refurbished, or replaced several

times during the plant's design lifetime due to the effects

of a particular aging mechanism, then by definition that

mechanism becomes a problem that the plant owner has

had to deal with during the original life of the plant

license in the context of the plant maintenance program.

On the other hand, if the expected lifetime of a SSC

under the influence of a specific aging mechanism is on

the order of the design/licensed lifetime of the plant,

then, again by definition, neither the plant owner nor

vendors will have an extensive experience base of SSC

failures to support aging management for that SSC. It is

these combinations of plant SSC and aging mechanisms

that the life extension effort must characterize. Note

that a SSC may be at the same time a maintenance concern with respect to one aging degradation mechanism

and a life extension concern with respect to another degradation mechanism.

As a conceptual model for deciding, on a plant-specific

basis, what types of data need to be collected, maintained, and analyzed in support of an aging management effort, consider a matrix (or table) indexed on one side by

the collection of safety-significant plant systems and

component types (as determined by the plant's current

licensing basis) and indexed on the other side by the aging degradation mechanisms (as determined by NRC

and industry supported research projects and by plant

operational experience). The ij-th entry in this matrix

represents the assemblage of information related to the

impact of the J-th aging degradation mechanism on the

i-th plant system or component. In order to complete

the ij-th entry, the plant owner should collect and

evaluate, as part of the aging management effort,

information answering the following questions:

(1) Is the j-th aging degradation mechanism relevant to

the i-th system in this specific plant?

(2) If relevant, what is the condition of the i-th system

(with respect to the J-th degradation mechanism),

again, in this plant?

(3) What are the plans for mitigating any I-th system

degradation due to the j-th mechanism, as well as

plans for managing and controlling the impact of

that mechanism on the system?

The specific information required wil vary from plant to

plant, depending on the type of reactor, details of the

original design, how the plant has been modified, maintained, and operated, any significant operational transients experienced by the plant systems, and the specific

refurbishment strategies chosen by the applicant. Plant

owners may discover that they need to replace or refurbish plant systems for which detailed and comprehensive records would have supported continued operation

without major modifications.

The ultimate acceptance criterion for evaluating the impact of aging mechanisms together with the licensees

program for mitigating that impact is whether the plant

will continue to meet the design adequacy acceptance

criteria specified In the plant's licensing basis, throughout the life of the plant.

5.1 Screening and Prioritization of

Components, Systems, and Structures

for Aging Management

Methodologies proposed for the screening and prioritization of SSCM for aging management generally involve

consideration of some or all of the following factors:

* the risk or safety significance of the SSC

* the effectiveness of the inspection and maintenance

programs

* the expected lifetime of the component or structure

* the feasibility of replacing or refurbishing the SSC

5.1 5.1 ~~~~~NUREG/CR
Recordkeeping Supporting Aging Management

The NPAR Program developed a methodology to prioritize SSC for its own research by having a panel of experts determine values (using available data or their

engineering judgment) of the parameters in the following equation for each of fifty types of nuclear plant

components.

R wN-A.( LPD.(I) (5.1)

R~~~l -* (-)* JP () (M ID-)}

where R = the inaement in total plant risk dueto

aging of the component

N = the Birnbaum Risk Importance of the

component

A -the derivative of the failure rate of the

component with respect to time (iLe., a

measure of the increase or decrease in the

failure rate with aging of the component)

L = the standard inspection interval for the

component

P(D) the probability of detecting aging

degradation at the time of inspection

P(MID) = the conditional probability of correcting

or mitigating the aging degradation, given

that it has been detected.

Ile derivation of this equation, called the RSCAAMP

(for Risk Significance of Component Aging and Aging

Management Practices) model, is described in a report

byLvyte aL (1988).

The method used to prioritize, or screen, components

and systems to determine which will require detailed

evaluation in an aging management program may not be

the RSCAAMP mode, but, in any event, will require

the development of similar information. The risk importance of a component is determined using a plant

probabilistic risk assessment, but the plant records system will have to support determination of the other four

parameters on the right hand side of the RSCAMP

model or of equivalent data.

5.2 Determination of the Expected

Lifetime of Components, Systems, and

Structures

One of the major applications of plant records is to enable the estimation of the failure distributions for particular systems and components. These estimates allow.

* incorporation Into existing or planned probabilistic

risk assessments of failure data reflecting actual

plant experience and aging impact

* a legitimate basis for the design of preventive maintenance programs and surveillance and testing

requirements

* predictions of remaining component or system life

in support of continued operation of the plant to or

beyond the current license termination date.

One factor which must be take into account in fbrmulating recommendations for nuclear utility recordkeeping

systems (on the basis of the results from the NPAR

Program) is the effec of the expected lifetime of a

system or component as a function of its original design

and fabrication, together with the preventive maintenance progrmi. Plant systems and components can be

roughly divided into three categories:

* Category 1- Systems and components with expected

lifetimes significantly less than the plant lifetime.

Examples are batteries, most of the valves, and

many of the -active plant components.

* Category2 - Systems and components with expected

lifetimes significantly greater than the plant lifetime. By this we mean that at the end of the plant

design lifetime, such systems or components still

fulfill their design function with unused design margins. Possible examples are structural concrete and

passive components subject to mild environments.

* Category3 -Systems and components with lifetimes

of the same order as the lifetime of the planL

Examples of these might be some of the electrical

NUREG/CR-58485. 5.2
Recordkeeping Supporting Aging Management

cabling, containment penetration seals, some of the

piping, and, in general, 'passive components of the

plant which are subject to aggressive environments

or have smaller design margins.

Aging mechanisms and techniques for detecting and

mitigating them are relevant to all three categories, but

the proper use of the knowledge gained varies from

category to category.

For Category 1 components, Information about aging

mechanisms is used to design preventive maintenance

programs that will maintain an acceptable level of the

required function of the system or component. Indeed,

predicting and mitigating aging of Category 1 components is a major goal of the nuclear plant maintenance

program. The only aging management concerns are

(1) to confirm that such a program has been in place and

will continue in place, (2) to verify that equipment

spares will continue to be available, and (3) to assess

whether technology advancement makes replacement/

redesign desirable from an economic or safety viewpoint. For Category 1, aging management Is not essentially different from the earlier operation of the plant

and the continuation of a demonstrated effective program should be adequate to maintain safety and

availability.

For Category 2 components, failure data will be scarce

or non-existent. Information on the impact of aging

mechanisms will necessarily consist mostly of in-service

surveillance and monitoring information using destructive and nondestructive examination techniques. This

information should verify that the condition of the components shows no unexpected or undue deterioration

and that the operational environment remains within

the design envelope of the component.

Category 3 components are those of most relevance and

interest from an aging management standpoint. They

are reliable and long-lived enough that the operating

history and failure records cannot be expected to provide statistically strong guidance to assess their residual

life and expected performance during the renewed license period. Accordinglydata from ISI and NDE may

be relied upon to assess the condition of the component

and estimate its residual life. Similarly, there may be

components for which a careful assessment of the operating history and environment, particularly with respect

to thermal and pressure transients, may be critical to an

assessment of the remaining fatigue life of the

component

Consideration was given to the quantity and quality of

data required to make reliable estimates of failure distributions, particularly in the case of most interest for aging management, where we want to estimate the end-oflife parameters for systems or components which have

exhibited few failures to date. The quality of reliability

data for nuclear plant components and systems imposes

significant uncertainties upon attempts to estimate residual life of SSC for reasons partially explained by Fussell and Arendt (1979):

Reliability data are unlike other data such as

nuclear cross sections. The basis of crosssection data is a large finite number of nuclei

all with identical properties. The basis of reliability data is stochastic, involving ever-changing

components and environmental conditions. In

addition, reliability data have the property of

describing a statistical distribution rather than a

fixed but unknown value. In other words, even

under perfect measurement conditions, reliabilIty data for a single event cannot be determined

by a single test but rather must be determined

from years of observation of equipment in various environments during which time the equipment designs may change. In addition, it is frequently easy to determine how many components of a certain type failed in a certain way

during a known time period. Unfortunately, it

is often not known how many identical components did not fall during this time interval;

Le., the population of components in use is not

known. Collecting and evaluating reliability

data is very frustrating.

In addition to the difficulties with collecting high quality

reliability data described in the quotation, difficulties

which apply to all three categories of components and

systems, there are additional problems associated with

the long-lived Categories 2 and 3. These additional

problems are a result of the rarity of failures for components and systems with expected lifetime on the order of

40 years or more. For a reliability engineer to successfully characterize the ability of a system or component

53 5.3 ~~~~NUREG=C-
Recordkeeping Supporting Aging Management

to fulfill its required function out to 60 years based on data from the first 30 years of life would be similar to a statistician trying to build an annuity table for the U.S. population based only on data about people no more than 30 years old. Such estimates can be made by assum- ing a particular shape for the failure distribution (more specifically, by assuming a failure distribution belonging to a particular parametric family of distributions), but the estimation process is rn-conditioned and the result- ing confidence intervals will tend to be large. On the other hand, when relevant information Is available from accelerated aging tests and equipment qualification pro- grams, ISL and in service testing, it may be possible to supplement the statistical estimation or to eliminate the need for it altogether.

5.3 Generic Recordkeeping Approaches

to Manage Plant Aging

In the context of aging management, the nuclear plant records system must provide access to the information needed (1) to prioritize SSC according to their safety Importance and their susceptibility to aging degradation, (2) to understand the actual course of aging degradation in the plant, and (3) to manage, by appropriate mitig- ation, that aging. The first of these goals is most strongly determined by the plant design and how that design has been implemented in the process of construe- tion and later modifications to the plant; that is, by the engineering design basis of the plant The second and third goals represent the information needed to design and Implement an effective maintenance program in the plant.

An effcive data collection and recordkeeping system, supportive of aging management activities, should meet the following performance elements:

* Provide sufficiently comprehensive and accurate information about the plant, including engineering baseline data, historical operational status, and

maintenance history.

* Provide for flexible management of that information

* Provide secure storage of the information.

* Provide for the integrity of the information over the (possibly extended) life of the plant.

* Provide timely and accurate retrieval of the

information.

* Provide adequate tools for data analysis, graphical display, and production of reports.

At the same time, there should be full consideration of the alternatives to recordkeeping requirements for specific components or systems. For some safety signifi- cant components, systems, and structures, a conservative

preventive maintenance program, based upon equip- ment history, may provide for aging management, without the need for extensive records of the operating envi- ronment. A commitment to refurbishment or replace- ment of a plant system may reduce the need for records documenting the earlier operating environment of that equipment. Similarly, techniques for "de novo' condi- tion assessment (that is, determining the adequacy of a system or component, as if it were new and did not have

an operating history) may permit continued operation without the need for extensive records of the past oper- ating environment.

5.4 Specific Recordkeeping Approaches to Manage Plant Aging

Specific rcommendtions flowing from the generic per- formance criteria described in the preceding section

emphasize two basic design principles:

(1) lb the extent possible, data should be entered by maintenance and operations personnel directly in a machine readable form.

(2) Databases distributed throughout the nuclear plant should have common organization, format, and central indexing and should be stored and archived

digitally on stable and usable media.

5A.1 A Specific Example of the Recommended

Approach

Consider an example of the recommended approach to recordkeeping in the context of the framework for EDO

NUREGICR-58485. 5.4
Recordkeeping Supporting Aging Management

testing, monitoring, and trening proposed by

Hoopingarner and Zaloukek (1989).

On the first point, the preferred method for direct input

of machine readable data would involve replacement of

paper forms filled out by the maintenance personnel

with a program nrnning on a portable computer. This

program, to be used by the maintenance and test personnel during the test, would request the desired data in the

appropriate order, perform input validation, and immediately calculate operational parameters of Interest (ie.,

heat exchanger performance parameters could be calculated once the input and output temperatures and the

flows are known). Such a program could produce hard

copy reports as needed and could enable easy transfer of

the data into the preferred long-term database format.

Another approach to direct data input for some of the

desire data is to have the portable computer or a portable terminal directly interrogate the machinery. This

requires vendor cooperation, but is an approach widely

used in the computer, instrument, machine tool and

automobile industries. Hoopingarner and Zaloukek

(1989) recommend this approach for the colectdon of

data verifying the integrity of EDG control circuitry and

control logic. Alternative, but less desirable, approaches include (1) the collection of data on paper

forms which are machine readable in some fashion or

(2) business-as-usual with the maintenance personnel

filling out a form, which may or may not be transcibed

later into a machine-readable form and may or may not

be centrlly-indexed in machine readable form. Thes

approaches offer several additional opportunities for

introducing eros into the database, while providing no

opportunity for validity checing while remeasurement

is still possible.

The primary reason for utilities to move quicwy toward

the direct capture of plant Information in a machine

readable form is to enable straightforward utilization of

evolving analytical and data processing capabilities without the formidable barrier of having to recover and convert information that is only available in hard copy form

On the second point, for some utilities, various databases relevant to a particular plant system or piece of

equipment are spread throughout the organization, on

different media or data processing equipment, with different formats, and no central coordination or indexiz

In some cases data are archived in unwieldy formats, on

suspect media, or under inappropriate environmental

conditions. As a practical matter, many plant records,

although archived, are not sufficiently retrievable to be

usable by the plant staff Among developing storage

technologies, optical disk storage, particularly in the

wrlte-once, read-manytimes (WORM) format, seems to

offer the best combination of large storage capacity,

good retrievability, a builtin audit trail, and good permanent archiving cDuracteristics. The Plant IS Extension Pilot Project at Surry is investigating optical disks

as a storage media for plant records. Pacific Gas &

Electric and Northern States Power are each involved in

what appear to be cooperative on projects

exploring the utility of optical disks and related technologies. Papers by Ruhz (1988), Minkler (1988), and Lancaster (1986) discuss some of the important issues related to possible uses of optical disks in nuclear plant

records systems.

In addition to these major points, the Hoopingamer and

Zaloukek report (1989) suggests more consistent and

informative collection of data related to equipment procurement, installation, and reliability. Explicitly exeluded from the remmndations are data that support

analysis of the spectral signature of the EDO vibration.

Although of proven value in maintenance of pumps, turbines, etc., for EMS it amounts to too much of a good

thing. The day-to-day and even minute-to-minute variations in EDO vibration, due to reciprocating components and a variable power source in each cylinder, are

too great to permit the timely selection of appropriate

action.

SA.2 Recordkeeping to Support Maintenance

Good maintenance records, supported by root cause

analysis and usable engineering design baseline documentation, are necessary to enable the reliability engineering analysis used to design a Reliability-Centered

Maintenance (RCM) program. Additional data are

needed on operator error probabilities and inspection

effidencies to support development of an RCM program (Smith 1987). Thereport by Jarrell et aL (1989)

contains specificrecommendations for types of data

needed to support root cause analysis and to enable

determination of equipment failure rates and estimation

of residual lf

S5. 5.5 ~~~~NUJREG/C
Recordkeeplng Supporting Aging Management

Reliability-Centered Maintenance programs have been

widel used during the last 20 years for both commercial

and military aircraft and for US. Navy submarines and

surface vessels. RCM uses reliability engineering (in

some cases, a fault tree analysis of the system) to characterize the dominant failure modes for a system, to

order them according to their relative importance to the

preservation of system function, and to prioritize and

evaluate the preventive maintenance actions with potential impact on a dominant failure mode. The preventive

maintenance actions are evaluated according to their

eficacy in reducing the probability of system failure and

also with respect to their cost-eicisency. The net effect

of this analysis tends to shift preventive maintenance

tasks away from scheduled overhaul or replacement and

toward condition monitoring used to track degradation

and predict incipient failure. The economic and safety

benefits of a well designed RCM program are substantial, as a result of improved availability, fewer forced

outages, and reduced levels of scheduled overhaul or replacement. EPRI has supported pilot studies of RCM in

nuclear plants and Is supporting technology transfer to

other utilities through the auspices of an RCM Users

Group (Smith 1987; Brauer and Brauer 1987).

Implementation of RCM Programs requires thorough

documentation of the engineering design basis of a

plant, together with good records of its operational history and equipment histories. The RCM focus on continuous or frequent periodic condition monitoring of

equipment requires suficient recordkeeping to facilitate

trending of equipment condition parameters and prediction of maintenance needs.

5X43 Reconstitution of Missing Data

A particular attempt has been made to identify those situations requiring utilities to 'reconstructs missing data

from the early years of plant operation, e g., plant transient conditions logging to provide a basis for estimating

the remaining fatigue lifetime of critical components.

Any such requirement needs to be carefully considered

because of the een and difficulty of such records

Indeed, the only such data identified are those of the

example, transients occurring during the plant operating

history and other data relevant to assessing the impact

of those transients on-the low-cycle fatigue design basis

for piping and pressure vessels. There are several initiatves underway to develop methodologies for reconstructing such information (when missing) and also for

re-analyzing more realistically the impact of the plant

transient history on low-cycle fatigue limits.

SAA Aging of Archival Records

One of the major data integrity Issues with potential Impact on license renewal is the adequacy of weld radiograph storage. Even under Ideal storage conditions, the

proven archival lifetime of photographic media is on the

order of the original 40 year license period. In many

cases, actual storage practice is not ideal. Thsting of

residual sodium thiosulphate may not have been performed adequately, radiographs may be stored in facilities that ar too warm or moist; they may be stacked

horizontally, rather than stored on end; acid-free interleaving paper may not have been used; the radiographs

may be handled at times without gloves. Any of these

conditions may result In significant degradation of the

original radiographs (Anderson 1988).

Somevendo rs are offering microfilming of original

radiographs as a way of solving the problems cited. This

raises the question of loss of resolution in the copying

process and avoids the Issue of the ultimate archival lifetime of film media.

Another possible solution enabled by evolving computer

technologies uses digital scanners to digitize the information in critical radiographs. If necessary, It is possible

to apply image enhancement algorithms to the digitized

data. The digitized information can then be stored on

compact, archival media (such as optical disks or optical

digital tape) using data compression and errorcorrecting codes. The stored data could be reread

periodically and reconstituted exactly if the errorcorrecting codes indicated any degradation of the stored

data. Subsequent use of the data for comparison with

on-going ISI can be based upon exact, verified copies of

the master disks, using processes imposing minimal risk

on the integrity of the original data.

Other types of records may also be subject to ageinduced deterioration. Utility records from the design

and construction period may be copies of originals

NUREGICR-58485. 5.6
Recordkeeping Supporting Aging Management

produced byvendors, architect-engineer, or constructor.

From the author's personal cexperience, such copies may

be subject to considerable fading and legibility problems

after a few years of storage, particularly those made using wveto copying techniques prior to the widespread use

of xerography. Data stored on magnetic tape requires

careful control of environmental conditions, periodic rewinding, and, perhaps, periodic recopying to maintain

data integrity. In addition to these problems of physical

deterioration, design and construction records particularly may suffer from loss of the original context of supporting assumptions in which they were generated. At

the time of their generation, that context Was provided

mostly by the memory of the individuals involved. Many

years later, with those Individuals unavailable (or their

memory faded), it may be extremely difficult to reconstruct all of the information in the original record In its

original context.

5A5 Avoiding Surprises

Particular attention was paid to the types of records required to Identify 'unexpected* physical and operational

phenomena with the Intent of enabling early identification of phenomena such as intergranular s o

sion cracking, steam generator tube thinning and denting, and pipe wall thinning due to eosion/orrosion. By

definition, a surprising' physical or chemical phenomenon is unewpected. As such, it is difficult to predict what

information should be collected and evaluated to permit

early Identification and ch aon of the un

exectd phenomenon. Experience suggests, however,

that broad collection of data on (1) plant water chemistr, (2) paint temperatures, pressures, and flows; and

(3) noise data-neutron, pressure, temperature, and

audio noise-even if no immediate need for the data is

seen, will provide opportunities to predict some

'surprises." irther, it is important not to disard

unexplained or 'outying" data. The British scientists

who discovered the annual formation each winter of an

ozone "hole over Antarctica delayed for some time

reporting their results because they didn't understand

why the American satellite measuring global ozone

levels had not already seen this phenomenon. Upon

publication by the British, American scientists revisited

their data and dscovered the ozone "hole had been in

their raw data all along, but the computer program

processing the raw data contained instructions to ignore

such 'unrealistically low' ozone levels.

SA.6 Specific Recommendations from the

Monticello Pilot Plant Study

The reports documenting the Monticello Pilot Plant

Ufe Extension Studies (EPR 1988a, 19DMb, 1989b; Berg

1989) are the richest single source of specific types of

operational data of value for plant life extension. Some

of this material has been included in this report as

Appendixes A, B, and C Some of the judgments and

recommendations are specific to BWRs or to Monticello in particular, but many are of generic interest.

5.7 5.7 ~~~~~NUREG/CR
6 Techniques and lRchnologles for the Improvement of Recordkeeping

One of the reasons for existing limitations and deficendes In plant recordkeeping has been the high personnel,

software, and hardware costs associated with maintaining a comprehensive record of plant performance, operating history, and equipment maintenance Indeed, recor Ing systems have always been strongly driven by

the capabilities of the available technologies, going all

the way back to the beginnings of written history. Many

of the early innovations In written language and mathematics were impelled by a need for more efficient or secure methods for maintaining commercial and cultural

records (e. g., caneiform script, arabic numbers, papyrus,

and movable type)

The strking reduction in the effective cost of computation and data storage and the coming of age of machine

pattern recognition and expert systems during the last

decade may make feasible and economic what could not

be done at a reasonable cost in the past.

lchniques and technologies impacting the feasibility of

recordkeeping improvements will be described in the

following sections.

6.1 Enhanced Forms Design

One of the ways of improving the quality of data in plant

records systems is to eliminate erors at the data input

stage. The use of human factors design principles can

create data input forms less subject to misinterpreation.

The need for a procedure prescribing how to fill out a

form, which the author has seen in several organizations, is prima fame evidence of poor forms design.

6.2 Direct Input of Data

The direct input of data in a machine-readable form, using on-line 'help' facilities, has a great potential for improving the quality of initial data input as well as essen1ially eliminating errors due to transcription of hardcopy data into a machine readable form. Thi report is

being written using a fairly complex word processing

program, which has 45 half screens of on-line documentation, any of which can be accessed in no more than 2

or 3 seconds, practically eliminating the need to use the

written manual Direct Input of data in machinereadable form can be achieved using portable (even

band-held) terminals and/or computers, FM modems,

bar code readers, passive and active transponders, FM

transmission of data on normal plant AC power lines,

and write-once laser card technologies. These may not

be cost-lc e for backlfit application, but should be

carefully considered as new data collection needs arise.

Southern California Edison has joined with Radix of

Salt Lake City in a pilot study of the use of hand-held

computers to automate the data logging required by the

San Onofre plant's Control Room Surveillance procedure (Electric Lght and Power 1988).

6.3 Integrated Plant Databases

Already available are integrated plant databases, providing a single, coherent database which can be used to suppor plant xonstruction, produce drawings, manage

maintenance, prepare licensing submittals, and support

plant operation. Examples of such databases are the

EPRI-supported Plant Information Model and the Plant

Configuration Model of Construction Systems Associates (Smith 1989).

6.4 Expert System Control of Data

Input

Expert systems can be created to assist primary data collectors, I.e, the plant maintenance, engineering, and administrative staff, with the input process. The purpose

of the cepert system would be to capture the expertise of

the plant's most knowledgeable and experienced personneL For example, this technique has been used to build

'expert assistants' for the creation of input files for compler thermohydraulic computer codes.

6.1 6.1 ~~~~~NUREGICR
lbchniques and lbchnologies for Improvement

6.5 Optical Disk Storage and

Dissemination of Data

Optical disks offer many significant advantages for nuclear records applications, including low cost per bit

stored; a stable archival media; access to massive

amounts of data, even on desktop machines; and, in the

case of compact disk-read only memory (CD-ROM) and

vwriteonce read-many (WORM) systems, a secure audit

tril and assurance that configuration managed data

have not been subject to unauthorized changes. CDROM is most suitable for 'publishing' applications

where the cost of creating a master disk can be spread

over a number of copies. Tlere is currently a strong

move toward publishing machine-readable vendor manuals on CD-ROM, mixing both tex and graphics (and

soon the capability of mixed text, graphics, and audio).

6.6 Digital Scanners and Optical

Character Recognition

Conversion of existing records to machine-readable formats can be achieved using digital scanners to directly

capture tet and graphics as an image which can be

stored digitally. Such an image cannot be directly manipulated by word procesors or database software until

the textual content of the image has been captured using

optical character recognition (OCR) software, producing an ASCI (or other format) text file which can be

manipulated by other computer programs. Although

conversion of many types of existing hard copy records

using scanners and OCR software is possible, it may require a substantial QA=QC effort to catch errors made

by the scanner and/or the OCR software Both scanners

and OCR have improved substantiallyover the last

S years and can be expected to continue to do so.

6.7 Enhanced Retrievability of Data

Associative memory, pattern recognition techniques,

hypert software, optical disk jukeboxes,' and database 'engines' (comuter hardware specialized by architectumre for the storage and retrieval of data) all offer potential for significantly enhanced data retrievability. For

exanple, the U.S. Environmental Protection Agency has

recently produced a hypertext version of its regulations

on leaking underground storage tanks (Foskett 1990).

Entitled `Reg-ina-Box,! It has been widely distributed

at nominal or no cost in versions suitable for the two

commonest types of microcomputers. Hypertext incorporates links between sections of text which reflect the

document's logical relationships, offer footnotes, give

parenthetical information, and trace cross-references

through the regulations and the underlying lws It allows the reader to navigate reely through the document

following logical 'threads and backtracking to pick up

previous paths.

6.8 SimulatIon, Multivariate Statistical

Analysis, and Related Techniques

One of the ways of attacking 'missing data problems is

to construct simulations which can be used to solve an

inverse problem (and thus estimate the value of the missing data) An example along these lines is work by

Structural Integrit Associates to construct Greaes

Functions which ransform their input values, existing

coolant system temperatures and pressures, directly into

fatigue usage fars for vessel locations for which the

necessary local temperature records are not available.

A Brookhaven National Laboratory report by Samanta

et AL (1989) examines four different multivariate statistical analysis tools for their applicability to the analysis

of nuclear plant operational data. The tools considered

are correlation analysis, principal component analyss,

cluster analysis, and regression analysis (using Caes

proportional hazard model). The are considered for

applicability to operational event traces (that is, the collection of operational variable time series which characterize the event), to safety ystem acuations, and to

component level failure prediction. The evaluation performed was preliminary, using computer codes and operator training simulators rather than actual plant data.

Some of the potential benefits adduced:

* uncovering the underlying structure of the operational data discovering (perhaps previously unlnown) interrelationships between operational data

variables

NUREG/CR-584862 6.2
Techniques and mlchnologies for Improvement

* reduction of dimensionality - that is, the ability to

replace a set of operational data variables with a

much smaller set of variables incorporatlng most of

the information available in the larger set

* enhancing the sensitivity of the analysis - replacing

the csting operational variables with combination

variables which more sensitively reflect degradation

and incipient failure processes

The authors emphasize the preliminary nature of their

evaluation and the iterative, exploratory nature of the

statistical techniques described. These tools are power.

ful, but their use is sensitive to the weighting and scaling

of variables. For this reason, use of these tools requires

a strong feedback between the results of statistical analysis and the engineering reality represented by the

underlying data

* dasslfication - the use of dusteranalysis to identify

combinations of operational data values associated

with degraded plant condition and incipient failures

or transients.

6.3 6.3 ~~~~~NUREG/CR
7 Conclusions

Virtually all parties involved in consideration of aging

management have recognized the likelihood that nuclear plant records systems would need to be upgraded.

Although current records systems are extensive (NCIG

argues that they are too extensive), they are not implemented consistently throughout the industry and have a

number of recognized deficiencies. Indeed, many utilities are currently upgrading the documentation of their

engineering design basis, in response to deficiencies

identified during SSFI, SSOMI, or SALP reviews.

NPAR Program Phase I tasks have identified aging

degradation mechanisms relevant to safety-significant

nuclear plant systems and types of components. Most of

these tasks have also tentatively identified surveillance

or monitoring programs which can be used to assess and

trend equipment condition. Any additional surveillance

or monitoring carries with it a need for additional

recordkeeping.

One of the goals of the Phase 11 NPAR tasks, including

the Guidance for Recordkeeping task, is the development of functional requirements in the area of equipment condition assessment trending and prediction of

residual life. Many systems and components have expected lifetimes significantly less than the 40 years of the

original plant license. For these SSCS, the plant owner

has already had to develop a maintenance program

which manages the relevant aging mechanisms. For aging management of such SSCs, continuation of the existing maintenance program is not sufficient; there must

also be assurance of the continued availability of spares,

an evaluation of the desirability of system upgrades, and

an assessment to assure that there are no additional aging degradation mechanisms operating during extended

life.

For Category 2 and 3 SSCs, records establishing the

engineering design baseline, records documenting the

operating environment and transients experienced, and

maintenance records detailing both failures and successful operation of the SSC are recommended to support

the plant-specific "matrixe approach described in Section

5.0 of this report.

In response to additional recordkeeping needs and as

part of a continuing program to upgrade the usability

and archival integrity of existing records, there is a need

to evaluate, on a plant-specific basis, the new and more

cost effective recordkeeping technologies discussed in

Section 6.0 of this report.

7.1 7.1 ~~~~~NUREG/CR
8 References

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Berg, R J. E Lewis, S. A. Skay, and T L Bailey,

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Brackey, J, H. Cheatham, R. Vecchlarello, and B.

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Cax, S. and P. Filiak, Design Basene Reconstituton,'

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IL

Electric Lght and Power, 1988, SoCd automates

data gateing at San Onofir' VL 66, No. 11

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PlLfeEtensionStudyateMonticdloPant: Inerin Phase 2 EPRI NP-5836M, Palo Alto, California.

Electric Power Research Institute, 1988b,BWH Piot

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the Ck nttofRecords to Su port Nucear Power Plant

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Plant Lif Exteion Study at SwTy Unit 1: Phase 2

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Plant Lzfe Extension Study at the Monticelo Plant:

Phase Z EPRI NP-6541m, Palo Alto, California.

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Pattison, 1986, *Confiraton Managnent at rown

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8.1 8.1 ~~~~~NUREG/CR
References

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Jarrell, D. B, A B. Johnson, Jr, P. W Zimmerman, and

M. L Gore, 1989,Nuclear Plant Service Water System

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Minkler, W. S., 1986, Realistic Look at Laser- cs and

Mcrographics Technolog at Nuclear GeneratingPlant,

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8.3 8.3 ~~~~~NUREG/CR
Appendix A

Component-Specific Recordkeeping Recommendations
Appendix A

Appendix A

(from EPRI 1988a)

Component-Specific Recordkeeping Recommendations

component or

Component lVpe Recordkeepig Recommendation

Main Thrbine Obtain (from vendor) or reconstruct turbine design basis and material

specification Information. Update the stress analysis.

Mend oil test data

tend results of LP Thrbine Casing inspections.

Improved vibration monitoring

Main Generator Install monitoring equipment for all generator water-cooled armature winding

RD's and thermocouples.

Perform NDT of generator retaining rings and rotor every five years to detect

SCC -[perform) borosonic inspection of the rotor shaft.

Evaluate implementation of monitoring devices to detect fatigue cracking and

water erosion of copper stator conductors, including radio frequency and particulate sensors, and advanced temperature sensors such as sacrificial coatings and

optical fibers

Main Condenser Internal inspection and thickness testing of shel, tube support plates, and lagging

- Thickness testing can be trended to determine material loss rates

%ter box thickness testing and trending of results is necessary to verify corrosion

rates and estimate service life.

Monitoring of condenser conductivity near each tubesheet - to evaluate increases

in tubesheet to tubesheet leakage.

Track number of plugged tubes

Control Rod Drive

Hydraulic Control

Units

rending failure data - Failure of certain HCU components can be expected to

occur in a predictable manner.

Al1 Al ~~~~~~NUREG/CR-5848
Appendix A

Component or

Component l3epc Recrdkeepnin Recommendation

Underground

Piping

Additional testingurvelance should be periodically performed such that

improved accuracy may be obtained In the life predictions

Vater quality testing and a biological assay should be performed on river water

and groundwater to better assess the general corrosion and MIC (microbiologically induced corrosion) potential

Main Steam Vales

(MSTV, SRV, ISV,

TCV)

Inboard Isolation

Valves

The steam valves should be included in an overall valve trending program.

Information on specific performance indicators (primarily test results), subcomponent replacement histories and data on contributing effects (ag., number of

cycles) would be included. This data would help schedule maintenance, predict

life and establish an experience record to justify le extension.

Study the available valve diagnostic programs to ascertain their value in

identifying incipient degradation of motor-operated valves by monitoring key operating parameters.

lb provide assurance that actual corrosion rates conform to predicted rates, it is

recommended that wall thicnesses be measured and trended.

A [database] for valve data is recommended. - to increase valve reliability by

monitoring key valve operating and inspection data and scheduling maintenance

on the basis of reliability and cost benefit considerations

Moisture

Separators

Minimum vessel wall thickness should be determined and the effects of erosion

and corrosion be monitored to establish a wall thinning rate.

Proper documentation of inspectio findings and test results is required if

extension of the service lie of moisture separators is to be assured. .including

results from visual inspections thic.ckness measurements of problem areas should

be documented and trended.

Large Heat

Exchangers

Thickness measurements of the shells [shouldJ be performed every three to five

years, and results be trended to establish the rate of corrosion.

Plugged tubes should be trended and compared with allowables.

Failure data, operating and maintenance records, tests, and inspections [at the

plant should] be maintained through the use of a [database].

Instrumentation, controls, and acoustic monitoring systems - to detect damaging

vibration should be investigated

Compile data of existing and potential heat exchanger materials and their causes

of corrosion.

NUREG/CR-5848 A.2
Appendix A

Component or

Component Akpe &I--- --

Containment

Coatings

Perform [an] analysis of the effects of complete loss of containment coatings into

the torus . This analysis includes a complete inventory of coating type, thickness,

and surface area.

Reactor Vessel Monitoring of water chemistry parameters Important to Internals IGSCC,

especial in plants using hydrogen water chemistry.

Use of plant specific in-reactor sensors to develop crack growth rate data.

Power and Control

Cables

Generic cable life expectancy is difficult to predict due to a lack of appropriate in

situ monitoring test and accurate artificial aging methods.

Power cables will require more extensive monitoring than control cables ...

Destructive testing of cable currently provides the best assessment of cable

condition.

Actual replacement will be based on the results of periodic inspections and

destructive testing.

Control Room 1E

Components

Active Electrical

Components

A computerized maintenance [database] for control room commodity groups

should be developed, for better trending of component maintenance, failure and

refurbishment activities, and for refining service life assessments.

Revise inspection and maintenance procedures to observe and record data

concerning degradation of metal clad enclosures, bus work, mounting bolts and

structures, and other passive electrical subcomponents. Trend and analyze results

for service life assessment

Perform periodic infrared thermal scanning of switchgear and MCCs and record

and trend results.

Selectively remove, analyze and test low voltage/current protective relays to

determine actual aging characteristics, and trend failure/replacement rates.

Develop O&M parts assurance program.

A.3 A.3 ~~~~NUREG/CR-5
Appendix B

High Priority PLEX Data Requirements Not Currently Being

Collected by the Pilot Plants
Appendix B

Appendix B

(from Berg etal. 1989)

High Priority PLEX Data Requirements Not Currently Being

Collected by the Pilot Plants

category

of Data

Inspection

Ikansient

Surveillance

Qm~onent

RPV

RPV

RPVI

PC

ii-0

M-G

RSG

CABLE

M-G

M-0

Descrittion of Data Not Currently Collected

Vr and UT eaamination of CRD housing, stub tube, welds, and adjacent base

metal

RPV sliding foot assemblies, VT or on-line monitoring

Inspection of radial keys, devis inserts, and alignment pins

UT of diffuser to adaptor weld region of jet pump diffuser assembly

Visual inspection of reinforced concrete containments

Concrete crack mapping and growth monitoring

Evaluation of waterproofing membrane

Inspection rCsults of main generator thermosetting insulation

Boresonic inspection results of generator rotor shaft

Tempemre and pressure vs. time for charging and safety Injection nozzles

Steam outlet tmperature

SG feedwater inlet temperature

SG girth weld inner diameter temperature

'Imperature and radiation levels in proximity to selected electrical cables in

ontainment

Full load motor input currents

Generator radio frequency signal monitoring

B.1 B.1 ~~~~~NUREGICR-5848
Appendix B

Category

of Data Component Description of Data Not Currently Collected

Surveillance

Materials

Testing

Chemistry

Abnormal

CABLE

EDG

EDG

EDO

PC, CCS

PC

MC

MC

ELECT

CABLE

MCP

RPV, RPVI

HCU

PC, CCS

CABLE

Power cable conductor and insulation temperatures within trays

Machine vibration measurements

Measurements of EDO parts subject to wear

Engine temperature

Concrete core sampling and compressive strength testing

Containment component thickness testing

Water box thickness measurements

Condenser shell thickness measurements

Testing and analysis of removed low current, low voltage protective relays

Destructive examination results of removed cables

Boat sample analysis of MC pump casing

RWCU inlet and outlet isotopics

CRD cooling water oxygen content

Heavy loads data

Occurrence of unusual events of cable submergence, chemical exposure,

excessive heat, power surges, and similar incidents

NUREO/CR-5848B2 B.2
Appendix C

Summary of Recommendations for Operational Data

Collection Related to Aging Management
Appendix C

Appendix C

(from Berg et aL 1989)

Summary of Recommendations for Operational Data

Collection Related to Aging Management

1. Utilities contemplating a PLEX program for their plant, or wishing to preserve the option for PLEX, should compare the PLEX data needs defined in Appendix A [of Berg et aL] with their current data gathering and records

storage programs, to define areas of Improvement. This will represent a major step towards ensuring the future

success of a life extension program.

2. Utilities should Improve methods used to record maintenance, surveillance and inspection data, to provide quantitative and qualitative descriptions of as-observed or as-failed conditions. This improvement is necessary to

support use of the PLEX workbook concept for component degradation trending and continuous service life evaluations. It would also provide a statistical [database] for justification of a license renewal application.

3. Industry [databases] should be reviewed to determine if failure codes need to be added or expanded [if existing], to

better support aging assessments and more precisely define aging-related failures.

4. Owners of existing [databases] which currently record failures and significant outages should be contacted to determine if they wish to expand their [database] to support PLEX. Of the [relevant databases], one would be selected

for expansion to include significant preventive maintenance events which are performed to preclude a failure or

influence significant day-to-day events affecting service life. In addition, the frequency of activities, the service life

and hours of operation prior to the preventive maintenance or failure would also be added to the [database] to enhance PLEX evaluations.

5. A future phase of this program should survey plant maintenance, surveillance, testing, non-Section Xl ISI and

materials records and data collection practices. Mot plant studies revealed that records in these areas probably

are not adequate to support PLEX, particularly for large passive components and structures.

6. The industry should examine the need for additional R&D to develop special tools and methods for PLEX data

collection vs. currently available practices -

7. Plants should implement Improvements in current data collection practices Identified in 7bble 4 [of Berg et al.], to

support a life extension program.

8. A future phase of this program should examine the candidate aging indicators identified in 'lhble 5 [of Berg et al.,

Section 4.3 of this report], and possibly others, to assess their validity and usefulness in developing utility selfassessment tools for PLEX

9. Improve PLEX chemistry data dissemination among utilities by creating an industry [database] for chemistry

parameters, or by revising the scope and application of the NSSS vendor [databases]. Additional software may be

needed to pool and trend the raw data for dissemination.

C1 Cl ~~~~~NUREG/CR-5
Appendix C

10. Improve collection of BWR secondary system chemistry data and PWR tertiary system chemistry data to support

component degradation analysis and service life evaluation -

11. Expand the initial operational [database] to include the scope of safety system components and subcomponents to

be examined in the License Renewal Lead Plant Program.

12. Expand the extent of validation for PLEX operational data capture and preervation to other BWR's and PWR's

to determine the level of consistency among the domestic plants.

NUJREG/CR-5848 C2.
Appendix D

Acronyms and Abbreviations
Appendix D

Appendix D

Acronyms and Abbreviations

A-E

AC

ANSI

ASCII

ASME

BWR

SSC

CAD

CCS

CD-ROM

CFR

CRD

DOE

EDG

EPRI

architect-engineering

alternating current

American National Standards Institute

American Standard Code for Information

Interchange

American Society of Mechanical

Engineers

boiling water reactor

systems, structures, and components

computer-assisted drafting

critical concrete structures

compact disk-read only memory

Code of Federal Regulations

control rod drive

U.S. Department of Energy

emergency diesel generator

Electric Power Research Institute

MC

MCC

MCP

M-G

MIC

MSIV

MVS

NCIG

NDE

NDT

NIRMA

NPAR

NPRDS

NRC

NSSS

NUMARC

NUPLEX

OCR

main condenser, or main coolant

motor control centers

main coolant pumps

main generator

microbiologically-induced corrosion

main steam isolation valve

operating system software for IBM

mainframe computers

Nuclear Construction Issues Group

nondestructive examination

nondestructive testing

Nuclear Information and Records

Management Association

Nuclear Plant Aging Research

Nuclear Plant Reliability Data System

Nuclear Regulatory Commission

nuclear steam supply system

Nuclear Management Resources Council

nuclear plant life extension

optical character recognition

FM

FY

HCU

I&E

IBM

IEEE

IGSCC

INPO

ISI

LER

LP

LR

frequency modulation

Fiscal Year

hydraulic control unit

Inspection & Enforcement (formerly a

Division of NRC)

International Business Machines

Institute for Electrical and Electronics

Engineers

inter-granular stress corrosion cracking

Institute for Nuclear Power Operations

In-service inspection

Licensee Event Reports

low pressure

license renewal

PC

PLEX

PM

PNL

PWR

Q-List

QA

QC

R.G.

RCM

RCS

RPV

RPVI

RSCAAMP

primary containment

plant life extension

preventive maintenance

Pacific Northwest Laboratory

pressurized water reactor

list of safety-related equipment

Quality Assurance

quality control

Regulatory Guide

Reliability-Centered Maintenance

reactor cooling system

reactor pressure vessel

reactor pressure vessel internals

Risk Significance of Component Aging

and Aging Management Practices

D.1 D.1 ~~~~~NUREGICR-5848
Appendix D

RTD

RWCU

SALP

SCC

SG

SRP

SRV

SSC

SSCs

SSFI

SSOMI

resistance thermometer devices

reactor water cleanup

Systemic Assessment of Licensee

Performance

stress corrosion cracldng

steam generator

Standard Review Plan (NUREG-0800)

safety relief valve

system, structure, or component

systems, structures, or components

Safety System Functional Inspection

Safety System Outage Modification

Inspection

TMI-2

TSV

TVA

Three Mile Island - 2 nuclear power plant

turbine stop valve

Tennessee Valley Authority

USNRC U. S. Nuclear Regulatory Commission

UT ultrasonic testing

VSLIC very large-scale integrated circuit

VT visual testing

WORM write-once, read-many-times optical disk

drives

TCV

TIRGALEX

turbine control valve

Technical Integration Review Group for

Aging and Life Extension

NUREG/CR-5848D. D.2
NUREG/CR-5848

PNL-7987

Distribution

No. of

oIpesONS1TE

50 Pacific Northwest Laboratory

R. P. Allen, P8-10 (10)

D. E. Blahnik, P8-10

S. H. Bush, K2-05

M. E. Cunningham, PS-10

L R. Dodd, K6-48

J. S. Dukelow, K6-43 (20)

W. I. Enderlin, K6-43

J. L Ethridge, P8-10

R. L Gruel, K643

K R. Hoopingarner, K6-43

D. B. Jarrell, K6-43

A. B. Johnson, Jr., P8-10

L S. Levy, P8-10

R. L Moffitt, K6-46

W. C. Morgan, P8-10

W. K Winegardner, K5-20

Publishing Coordination

Technical Information (5)

Distr.1
NRC FORM 335 US. NUCLEAR REGULATORY COMMISSION 1. REPORT NUMBER

(2J91 harAwdy T6RC. Add Vol. GUM.. Rev..

3201.30n 2 BIBLIOGRAPHIC DATA SHEET ,, Nia ,,,,, my.

(So mtnuefiom oIlfe reyerb NUREG/CR-5848

2. TITLE AND SUBTITLE PNL-7987

Recordkeeping Needs to Mitigate the Impact of

Aging Degradation Aging Degradation 3. ~~~~~~~~~~~~~~~~~~~MONTH DATE REPORT PUBLISHED YA

October 1992

4. FIN OR GRANT-NUMBER

B2856

5. AUTHORESS 6. TYPE OF REPORT

J. S. Dukelow Technical

7. PERIOD COVERED nft*.*On Cmal

1983 - 1992

& PERFORMING ORGANIZATION -NAME AND ADDRESS tit NRC. paie Dibidon. Officee rmRyion U.S. r Rert _ . Adz-by it eo. raooeFe

mael and maM&W addmLJ

Pacific Northwest Laboratory

'Richland, WA 99352

9. SPONSORING ORGANIZATION - NAME AND ADDRESS h NR C. Wope -. me a_ aow ;H aC"IrFWeNXRCODkkIJan. Officem bagonw UhS, Nucladr Amu'arto. Coiiong

b-e sddmeJ .

Division of Engineering

Office of Nuclear Regulatory Research

U.S. Nuclear Regulatory Commission

Washington, DC 20555

10. SUPPLEMENTARY NOTES

11. ABSTRACT 02aw*erk*l

This report discusses technical issues associated with the role of nuclear plant records

systems in understanding and managing the aging of nuclear plant components, systems,

and structures. It considers both the types of technical data useful for verifying

continued safe operation and the use of new technology for upgrading records systems.

Specific topics reviewed include the need for maintenance and reliability data,

operational history data to support the assessment of remaining fatigue life,

comprehensiveness and usability of the engineering design basis, improvement of the data

input process, and conversion of existing records into machine-readable forms.

The report concludes that successful management of nuclear plant aging will require

improvement of existing plant records systems; several generic and specific

recommendations are provided. The computer-based technology for meeting this need

and implementing these recommendations already exists and can be implemented at a

reasonable cost.

I2 KEY WORDSIDESCR!PTORS gkt bwet OPhm r 1iame watuweawff&`d in eoab O I" .1",eP 13 AVAIL" UITY STATEMENT

Unlimited

Nuclear plant aging 14. SECURITY CLASSIFICATION

Recordkeeping . Th Pa")

Nuclear plant records Unclassified

Unclassified

15. NUMBER OF PAGES

16. PRICE

NRC FORM 33512491
Federal Recycling Program
NUR.EGICR-5M84 RECORDKEEPING NEEDS TO MITIGATE THE IMPACT OF AGING DEGRADATION OCTOBER 1992

UNITED STATES

NUCLEAR REGULATORY COMMISSION

WASHINGTON, D.C. 20555-0001

FIRST CLASS MAIL

POSTAGE AND FEES PAID

USNRC

PERMIT NO. G-67

OFFICIAL BUSINESS

PENALTY FOR PRIVATE USE, $300