B12150, Forwards Proposed Rev 9 to QA Program Topical Rept,Including Organization Changes Due to Commercial Operation & QA Commitments Re Fire Protection & Environ Qualification.Rev Will Be Issued Upon Receipt of NRC Approval or in 60 Days
| ML20206T994 | |
| Person / Time | |
|---|---|
| Site: | Millstone, Haddam Neck, 05000000 |
| Issue date: | 06/26/1986 |
| From: | Opeka J NORTHEAST UTILITIES, NORTHEAST UTILITIES SERVICE CO. |
| To: | Murley T NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION I) |
| References | |
| B12150, NUDOCS 8607080281 | |
| Download: ML20206T994 (151) | |
Text
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l o NORTHEAST UTILITIES c n.,o ore,c.. . s.io.n sir..i. B.,nn. conn.ci,cui l . rr 's5I=cNI. P O BOX 270 HARTF ORD CONNECTICUT 06141-0270 k k J Cd.". 'd'.
N c7,'. (203) 66s-5000 June 26,1986 Docket Nos. 50-213 50-245 50-336 50-423 B12150 i l
Dr. Thomas E. Murley Regional Administrator Region !
U. S. Nuclear Regulatory Commission 631 Park Avenue King of Prussia, PA 19406 l
Dear Dr. Murley:
Haddam Neck Plant Millstone Nuclear Power Station, Unit Nos.1,2, and 3 Annual Reporting of Changes to the Quality Assurance Program l Proposed Revision 9 to the Northeast Utilities !
Quality Assurance Program Topical Report In accordance with 10 CFR 50.54(a)(3) and 50.55(f)(3), transmitted herewith are three (3) copies of proposed Revision 9 of the Northeast Utilities Quality Assurance Program (NUQAP) Topical Report (Attachment II) submitted for your review and approval. Proposed changes to the Topical Report are indicated by a vertical line in the right-hand margin. The issue and basis for each change are detailed in Attachment I which is arranged in a sequence which coincides with the Topical Report sections. Attachment I does not include minor editorial '
changes in accordance with 50.54(a)(3)(li) and 50.55(f)(3)(ll).
Several of the changes to the Topical Report are due to organization changes made as a result of Millstone Unit No. 3 going into commercial operation and other quality assurance related commitments in areas such as Wire Protection and Environmental Qualification of Equipment.
All changes included in proposed Revision 9 of the NUQAP Topical Report have the effect of upgrading our quality assurance program which continues to meet the criteria of 10 CFR 50 Appendix B.
Please note that the draf t NUQAP Topical Report is shown as Revision 9 without a date. This draft will be issued as Revision 9 and dated the same as your effective submittal as date of approval prescribed when weand in 50.54(a)(3)(lv) receive it, or sixty)(60) 50.55(f)(3)(iv . days following this 8607080281 860626 PDR ADOCK 05000213 h0i g P PDR
e If you have any questions regardirig this submittal, please contact Mr. denald O.
Nordquist at (203) 665-5447.
Very truly yours, NORTHEAST UTILITIES SERVICE COMPANY h . F. OA J. F. O'pekd "
l Senior Vice President '
cc: U.S. NRC Document Control Desk (15 copies) 1 l
NRC Region IV Vendor Program Branch (1 copy) ,
- 3. Shediosky - NRC Senior Resident inspector - Millstone Station (1 copy)- !
T. Rebelowski - NRC Senior Resident inspector - Millstone Station (1 copy)
P. Swetland - NRC Senior Resident inspector - Haddam Neck (1 copy)
F. Cassella - NRC Resident inspector - Millstone Station (1 copy)
l 1
ATTACHMENT A !
NUQAP TOPICAL REPORT REVISION 9
SUMMARY
OF PROPOSED CHANGES QAP - ABSTRACT l
o Added new paragraph defining the NUQAP applicability to all Quality-Related Programs as defined in Appendix E. ;
l QAP - POLICY STATEMENT o Changed third paragraph to reflect the applicability of the NUQAP to all Quality-Related Programs as defined in Appendix E. Changed fourth paragraph to reflect current responsibilities of the Senior Vice President Nuclear Engineering and Operations, NU as they relate to the NUQAP.
QAP - INTRODUCTION o Changed subparagraph 2 to reflect the applicability of the NUQAP to all Quality-Related Programs as defined in Appendix E.
o Paragraph 3 - deleted entire first sentence. These words are continued in subparagraph 2. Deleted " safety related" in order to standardize terminology throughout the NUQAP. '
o Paragraph 4 - deleted " safety related" for continuity.
QAP 1.0 - ORGANIZATION o Paragraph 1.2.1 - Revised to reflect the current responsibilities of the Chairman, President and Chief Executive Office, o Paragraph 1.2.2 - Deleted "NUSC0" from title for continuity. Added subparagraph 1.2.2.e to reflect the current organization of the i VP-IRG.
o Paragraph 1.2.3 - Deleted. No longer applicable. Renumbered !
paragraphs 1.2.4, 1.2.4.1, 1.2.4.2 and 1.2.4.3. Also removed I "NUSC0" from title in new paragraph 1.2.3 for continuity.
o Paragraph 1.3.3 - Deleted "related" for continuity, o Paragraph 1.3.3.a and c - Deleted "related" for continuity, o Paragraph 1.3.3.e - Changed "related matters" to " activities" for continuity, o Paragraph 1.4 - Deleted "related" for continuity.
o Paragraph 1.4.1 and 1.4.1.1 - Revised to reflect the reorganization of the Vice President and Director of Generation Engineering and Design Department. Also changed " Betterment" to " Generation Construction" for continuity.
} C) - e 1
I o Paragraph 1.4.1.2.a - Deleted due to the reorganization of the Director, Generation Construction Department. Changed " Betterment" to " Generation". Deleted "related" and " existing" for coqtinuity.
o Paragraph 1.4.1.3 - Changed " Betterment" to " Generation Construction" i for continuity.
o Paragraph 1.4.1.3.c - Added new title for Millstone 3 (MP3) to
- reflect the reorganization of the Director, Generation Projects j Department.
i
- o Paragraph 1.4.1.4 - Deleted due to the turnover of MP3; this position no longer exists.
o Paragraph 1.4.2 - Deleted "for new and existing nuclear generation facilities". This portion of the paragraph was considered redundant, i
o Paragraph 1.4.2.1 - Changed " Betterment" to " Generation Construction" for continuity.
1 o Paragraph 1.4.2.1.a - Revised to reflect the reorganization of the Quality Assurance (QA) Branch. Also changed " Betterment" to
, " Generation Construction" for continuity.
t o Paragraph 1.4.2.1.c-Revisedtoreflectthehurrentresponsibil-ities of the Manager, Reliability Engineering.
)
o Paragraph 1.4.3 and 1.4.3.2 - Revised to reflect the current respon-
- sibilities of the Vice President, Nuclear Operations and the NUPOC j
Station Superintendent. Also in paragraph 1.4.3.2 changed "of new" to "at" and " Betterment" to " Generation Construction" for continuity.
l o Paragraph 1.4.3.2.c - Deleted "and in new nuclear projects commencing
- at system turnover" because we have no present or future plans to construct another nuclear plant.
i .
4 o Paragraph 1.4.3.2.c(4) - Deleted "related" for continuity. l I
l i o Paragraph 1.5.1 - Deleted " quality related". He controls all i purchasing procedures. '
1 I;
o Paragraph 1.5.2.3.b(4) - Deleted " quality related". He's responsible for traceability and auditability of all computer programs.
4 o Paragraph 1.5.2.5 - Added new paragraph to reflect responsibilities of the Director - Communication System.
-l o Paragraph 1.5.3 - Deleted "related" for continuity. Changed " Betterment" to " Generation Construction" for continuity.
} o Figure 1.2 - Changed due to the reorganization of NU management.
l o Figure 1.7 - Changed due to the reorganization of Information i
Resources Group.
i
O e QAP 2.0 - QA PROGRAM o Paragraph 2.1 - Deleted reference to the Preliminary Safety Analysis Report. No longer applicable. Deleted "related" for continuity.
Changed second paragraph to read the same as the statements contained in the Abstract, Policy and Introduction.
o Paragraph 2.2.1.b and c - Deleted " nuclear" and "related" for continuity.
o Paragraph 2.2.1.d - Deleted " quality related". The VP NE&O is made aware of all unresolved problems and trends which could have a significant effect on plant safety, o Paragraph 2.2.2 - Deleted "related" for continuity, o Paragraph 2.2.3 - Changed " quality related" to " safety related" to be in agreement with the SARs. Added new paragraph covering require-ments contained in Appendix G. Deleted "Section III". It's only applicable to material now. Deleted " designated as Cat. I in Appendix A and in implementing NUSCO/NUPOC Procedures". This statement is redundant.
I o Paragraph 2.2.4 - Deleted " quality of nuclear" and "related" for I continuity. Deleted subparagraphs 6 and 7. No longer applicable.
Subparagraph 8 deleted "During operation". All plants are considered in operation.
o Paragraph 2.2.5 - Deleted "related" for continuity.
o Paragraph 2.2.6 - Deleted "NUSC0" for continuity. Deleted "related" for continuity.
QAP 3.0 - DESIGN CONTROL o Paragraph 3.1 - Deleted " nuclear" and "related" for continuity.
Deleted last part of first paragraph beginning with " defined" and l ending with " Appendix A". This is covered in the Abstract. Rewrote the third paragraph to reflect our current method of operation.
o Paragraph 3.2 - Revised to reflect the latest QA program requirements are applied. In process verifications are now assigned to all Sections of the QA Branch. L o Paragraph 3.2.1 - Deleted "related" for continuity. Revised last i paragraph to reflect current method of operation. [
l o Paragraph 3.2.2 - Second and third paragraphs deleted reference to '
operating license. No longer applicable. Deleted " quality related".
Not applicable in this case. Changed " Category I" to " quality" for continuity. Deleted "related" for continuity.
o Paragraph 3.2.4 - Deleted " quality related" for continuity. Deleted ,
" Nuclear Project Engineer". No longer applicable. l
j , 'o .
- QAP - PROCUREMENT DOCUMENT CONTROL o Paragraph 4.1 - Changed " Category I" to " quality" for coat,inuity, o Paragraph 4.2.1 - Deleted first paragraph entirely. No longer applicable. Second paragraph changed " Category I" to " quality" for continuity. Third paragraph changed " Category I" to " quality" for continuity. Fourth paragraph changed " Category I" to " quality" added in-process verifications to existing QA programs for audits /
surveillances/ inspections. Fifth paragraph deleted "related" for continuity. Deleted "(i.e., Millstone Unit 3)" which is no longer applicable, o Paragraph 4.2.3 - Deleted " Category I". NUSCO Purchasing does not review purchase requisitions for approved suppliers. i QAP 5.0 - PROCEDURES, INSTRUCTIONS AND DRAWINGS l
l i
o Paragraph 5.1 - Deleted "of Category I" for continuity. ;
{ o Paragraph 5.2 - Changed " safety related" to " quality" for continuity. l l Changed " System Superintendent" to " Director Generation" due to '
l reorganization. Deleted "NUSCO Nuclear Project Engineer" which is l no longer applicable.
I l o Paragraphs 5.2 and 5.2.1 - Deleted "NUSCO Superintendent New Construction" which is no longer applicable.
)
o Paragraph 5.2 - Added in process verifications to the existing QA programs for audits /surveillances/ inspections. l o Paragraph 5.2.1 - Changed " System Superintendent" to " Director Generation" due to reorganization. Deleted "NUSCO Nuclear Project Engineer" no longer exists. Deleted " quality related" for continuity.
Deleted "during the preoperational test and in-service phase. NUPOC reviews and approves all Quality Related Procedures which implement the NUQAP. Deleted "related" for' continuity. Deleted " specifications".
NUSCO/NUPOC does not review and concur with specifications.
QAP 6.0 - DOCUMENT CONTROL o Paragraph 6.1 - Deleted "related" for continuity. l l
o Paragraph 6.2.1 - Deleted "the" and "of nuclear quality related" for '
continuity.
o Paragraph.6.2.3 - Deleted "During three power plants". This statement is no longer applicable. Deleted "NUSCO Nuclear" from the title Project Engineer. He no longer exists due to completion of MP3.
o Paragraph 6.2.4 - Deleted "related" for continuity. Deleted "During all phases of plant life". This is a redundant statement. Criterion 6, 10CFR5 Appendix B establishes this requirement. g
o .
o Paragraph 6.2.1, 6.2.2, 6.2.3 and 6.2.4 - Added in-process verifications to the existing QA program for audits /surveillances/ inspections.
QAP 7.0 - CONTROL OF PURCHASED MATERIAL, EQUIPMENT AND SERVICES o
Paragraph 7.1 - Changed " Purpose" to " General Requirements" for continuity.
'o Paragraph 7.2.2.d - Changed "NM or MS Quality System" to ASME N, NA, NPT or NU Certificate of Authorization. In order to comply with IE Information Notice No. 86-21.
QAP 8.0 - IDENTIFICATION AND CONTROL OF MATERIALS, PARTS AND COMPONENTS o
Paragraph 8.1 - Deleted "During the operation phase". This statement is redundant. This requirement applies to all phases. Deleted
" Category I" for continuity.
o Paragraph 8.2 - Subparagraph 3 deleted sentence beginning with "During" and ending with " nuclear power plants". Again, this requirement applies to all phases.
o Paragraph 8.2 - Added in-process verifications to the existing QA Program for audits /surveillances/ inspections.
QAP 9.0 - CONTROL OF SPECIAL PROCESSES o
Paragraph 9.1 - Changed " Category I" to " quality" for continuity, o
Paragraph 9.2 - Deleted " Nuclear" from the title "NUSCO Nuclear Project Engineer". This title is no longer applicable, o
Paragraph 9.2.2 - Deleted the title "NUSCO Nuclear Project Engineer".
This title is no longer applicable. Change " System Superintendent" to " Director Generation Construction" due to the reorganization of the Generation Construction Departmant. Deleted the title "NUSCO Superintendent New Construction".
o No longer applicable, o
Paragraph 9.2.3 - Deleted the title "NUSCO Nuclear Project Engineer".
No longer applicable. Changed the title " System Superintendent" to
" Director Generation Construction" due to the reorganization of Generation Construction, o
Paragraph 9.2 - Added in process verifications to the existing QA Program for audits /surveillances/ inspections.
o Paragraph 9.2.3 - Deleted NUSCO Superintendent New Construction which is no looser applicable, o Paragraph 9.2.2 - Deleted (1980). Individuals and suppliers are certified to one of three (3) editions 1975, 1980 or 1984.
o w QAP 10.0 - INSPECTION o
Paragraph 10.1 - Deleted " Category I" for continuity. .
o Paragraph 10.2.2 - Deleted "in service". Inspections are performed during all phases of nuclear plants.
,o Paragraph 10.2.1 - Added in process verifications to the existing QA program for audits /surveillances/ inspections.
o Paragraph 10.2.2 - Changed " Construction QA" to " Operations QA" due to the reorganization of the QA Department.
QAP 11.0 - TEST CONTROL o
Paragraphs 11.1 and 11.2.1 - Deleted " Category I" for continuity.
o Paragraph 11.2.1 - Subparagraph 5 deleted. No longer applicable.
Subparagraph 6 deleted "During the in-service phase of nuclear power plants".
all phases.This statement is redundant. This requirement applies to o
Paragraph 11.2.3 - Deleted "in service". This requirement applies to all phases. l o
Paragraphs 11.2.1 and 11.2.4 - Added in process verifications to the existing QA program for audits /surveillances/ inspections.
QAP 12.0 - CONTROL OF MEASURING AND TEST EQUIPMENT o .
Paragraph 12.1 - Deleted " Category I" for continuity.
o Paragraph 12.2.1 - Deleted "During the preoperational testing and the in-service phase of nuclear power plants". This statement is redundant. Criteria 12, 20CFR50 establishes the requirements for M&TE during all phases. Subparagraph three changed " Betterment" to
" Generation" due to the reorganization of Generation Construction.
Subparagraph four changed "the operations" to "NUPOC-directed" for continuity, o
Paragraph 12.2.2 - Changed " System Superintendent Betterment '
- Construction" to " Director Generation Construction" due to the reorganization of the Generation Construction Department.
o Paragraph 12.2.1 - Added in process verifications to the existing QA program for audits /surveillances/ inspections.
QAP 13.0 - HANDLING, STORAGE AND CHIPPING o
Paragraphs 13.1 and 13.2.1 - Deleted " Category I" for continuity.
o Paragraphs 13.2.1 - Added in process verifications to existing QA program for audits /surveillances/ inspections.
x
a .
QAP 14.0 - INSPECTION, TEST AND o
Paragraph 14.1, 14.2.1 - Deleted " Category I" for continuity, o Paragraph 14.2.1 - Deleted "the NUSCO Nuclear Project Engineer (during plant construction)". No longer applicable. Deleted
"(during preoperational testing phase and at in-service plants)".
' This statement is redundant. Criterion 14 is required during all phases of the nuclear plant. Changed " Betterment" to " Generation" due to the reorganization of the Generation Construction Department.
o Paragraph 14.2.1 - Added In-Process Verifications to Existing QA Program for Audits /Surveillances/ Inspections. Deleted "during plant =
construction".
C o
Paragraph 14.2.2 - Deleted " safety related" for continuity. ,
QAP 15.0 - NONCONTORMING MATERIALS, PARTS, COMPONENTS OR SERVICES o
Paragraph 15.1, 15.2.2, 15.2.3 - Deleted " Category I" for continuity.
o Paragraph 15.2.3 - Deleted "NUPOC" from trend analycis program.
NUSCO only does the trend analysis. I o Paragraph 15.2.4 - Changed " System Superintendent Betterment Construction" to " Director Generation Construction" due to reorganization of the Generation Construction Department.
o Deleted "in-service" NUSCO directs activities during all phases.
Deleted " Betterment" due to reorganization of the Generation Construction Department. Changed "the operations" to "NUPOC directed activities" for continuity, o
Paragraph 15.2.1 - Added in process verifications to existing QA program for audits /surveillances/ inspections, o
Paragraph 15.2.4 - Deleted "NUSCO Superintendent, New Site Construction" which is no longer applicable.
QAP 16.0 - CORRECTIVE ACTION o
Paragraph 16.1 - Deleted " Category I" for continuity.
o Paragraph 16.2.1 - Deleted "NUSC0" from title of Sr. VP for continuity. Deleted " quality related" for continuity, o
Paragraph 16.2.1 - Added in-process verifications to existing QA program for audits /surveillances/ inspections.
QAP 17.0 - QUALITY ASSURANCE RECORDS o
Paragraph 17.2 - Deleted "the quality of" and " Category I" for continuity. Deleted "NUSCO Nuclear Project Engineer". Position no longer exists. Deleted "During the preoperational testing and
. >m. -
l s .
in-service phase of nuclear power plants" Criterion 17,10CFR50 requires records be kept for all phases of a nuclear plant.
o Paragraph 17.3 - Deleted " quality" for continuity.
o Deleted "NUSCO Nuclear Project Engineer". Position no longer exists.
o Paragra'ph 17.2 - Added in-process verifications to existing QA program for audits /surveillances/ inspections.
QAP 18.0 - AUDITS o
Paragraph 18.2.1 - Rewrote paragraph to reflect the current NUSCO QA method of operation due to the organizational change. Deleted
" quality related" for continuity.
o Paragraph 18.2.4 - Deleted "NUSC0" from title of Sr. VP for continuity, o Paragraphs 18.2.1 - Deleted subparagraph C-NUSCO Construction Site Audits which is no longer applicable. Added in process verification to existing QA program for audits /surveillances/ inspections.
APPENDIX C o
Updated to reflect current procedures issued by various organizations within NU.
o I Deleted all MP3 procedures. With MP3 going on line, all these procedures were retired in place. .
l APPENDIX E o
Design Changes, Design Documents, Engineer - Constructor and Engineer -
Constructor / Contractor Installation Inspection - Deleted " Category I" for continuity.
o Defined Engineering Assurance Audits.
o Engineer-Constructor / Contractor - Deleted "as defined in the NUPOC Startup Manual". No longer applicable.
o Nuclear Plant Operating Companies (NUPOC) - Deleted " Category I" for continuity. Deleted "in-service". No longer applicable. All plants are considered in service.
o NUSCO Internal Audits - Deleted. Redefined by Engineering Assurance Audits.
o NUSCO Nuclear Project Engineer and NUSCO Nuclear Project Manager -
Deleted. Positions no longer exist.
o NUSC0/NUPOC Engineer-Constructor Contractor - Deleted "related" for continuity.
o Plant Audits - Deleted "in-service. No longer applicable. All plants are considered in service.
o Preoperational Testing - Deleted " Category I" for continuity.
Deleted "in-service". No longer applicable. All plants are in service.
,o Preoperational Testing Audits - Deleted. No longer applicable.
o Proof Test - Deleted " Category I" for continuity.
o Purchased Material, Equipment, and Parts - Deleted " Category I" for continuity.
o Purchased Service - Deleted "in-service". No longer applicable.
All plants are considered in service.
o QA Records - Deleted " Category I" for continuity.
o Retest - Deleted " Category I" for continuity.
o Defined the terms "In process Verifications" and " Quality Related Activities".
o Redefined " Quality Related Procedures" and "Surveillances".
APPENDIX G ADDED QUALITY ACTIVITY MATRIX - Guide to direct individuals to appropriate requirements.
ABSTRACT NORTHEAST UTILITIES QUALITY ASSURANCE PROGRAM (NUQAP)
TOPICAL REPORT .
Northeast Utilities (NU) has developed and is implementing a compre-hensive Quality Assurance Program to assure conformance with established regulatory requirements, set forth by the Nuclear Regulatory Commission
'(NRC), and accepted industry standards. The participants in the NU Quality Assurance Program assure that the design, procurement, construc-tion, testing, operation, maintenance, repair and modification of nuclear power plants are performed in a safe and effective manner.
The NU Quality Assurance Program (NUQAP) Topical Report complies with the requirements set forth in Appendix B, of 10 CFR Part 50, along with applicable sections of the Safety Analysis Report (SAR) for each license application, and is responsive to the United States NRC Regulatory Guide 1.70, which describes the information required to be presented in the Quality Assurance Section of the SAR's for nuclear power plants.
This NUQAP is also established, maintained and executed with regard to Radioactive Material Transport Packages as allowed by 10 CFR 71.101(f).
Quality Assurance provisions for Fire Protection activities are detailed in the Northeast Utilities Fire Protection Program.
This NUQAP is applicable in its entirety to Category I systems, structures, components, material, equipment, parts, and services. Appendix A defines Category I systems, structures, and components. The NUQAP is also applicable to other quality related programs, including Fire Protection Quality Assurance (FPQA), Radwsste Quality Assurance, Radwaste Systems, Anticipated Transient Without Scram (ATWS), Environmental Qualification of Electric Equipment Important for Nuclear Power Plants (EEQ) and Mechanical Equipment Qualification (MEQ) as defined by NU commitments as listed in Appendix G.
The NUQAP is committed to utilize the guidance obtained from the Regula-tory documents and their endorsed Standards as referenced in Appendix D of the Topical Report.
l f
I QAP - Abstract i Rev.: 9 Date:
Page 1 of 1
TABLE OF CONTENTS t NORTHEAST UTILITIES QUALITY ASSURANCE PROGRAM (NUQAP) l TOPICAL REPORT -
Rev. Pages ;
Abstract 9 1
' Table of Contents 9 1 Policy Statement 9 1 Introduction 9 1-2 Quality Assurance Program j QAP 1.0 Organization 9 l-15 Organizational Charts 9 Figs. 1.1-1.7 QAP 2.0 Quality Assurance Program 9 l-6 QAP 3.0 Design Control 9 l-6 QAP 4.0 Procurement Document Control 9 1-4 QAP 5.0 Procedures, Instructions and Drawings 9 l-2 QAP 6.0 Document Control 9 1-4 QAP 7.0 Control of Purchased Material, Equip- 9 l-4 ment and Services QAP 8.0 Identification and Control of 9 1-2 Materials, Parts and Components QAP 9.0 Control of Special Processes 9 1-3 QAP 10.0 Inspection 9 l-4 QAP 11.0 Test Control 9 1-3 QAP 12.0 Control of Measuring and Test Equip- 9 l-3 ment QAP 13.0 Handling, Storage, and Shipping 9 l-2 QAP 14.0 Inspection, Test and Operating Status 9 l-2 QAP 15.0 Nonconforming Materials, Parts, 9 l-3 Components, or Services ;
QAP 16.0 Corrective Action 9 l-3 QAP 17.0 Quality Assurance Records 9 1-2 i
QAP 18.0 Audits 9 1-3 Appendices A. Category I Systems, Structures and Com- 9 l-3 l ponents B. Qualification and Experience Requirements 9 1 NUSCO Manager, Quality Assurance C. List of Typical Quality Assurance Related Procedures 9 l-32 D. Regulatory Guide and ANSI Standard 9 l-2 Commitments E. Glossary of Quality Assurance Terms 9 1-7 F. l Program Exceptions 9 l-2 j G. Quality Activity Matrix 9 1-2 QAP Table of Contents Rev.: 9 Date:
Paea 1 of 1
, __ ._ . _ _ . _ _ _ , , _.~. . _ . _ _ _ _ _ , . -
POLICY STATEMENT NORTHEAST UTILITIES QUALITY ASSURANCE PROGRAM TOPICAL REPORT .
The policies, requirexents and tasks contained in this Northeast Utili-ties Quality Assurance Program description have been developed to achieve a recognized need for quality assurance during the design, procurement,
, ' construction and operation of our nuclear facilities.
i i Northeast Utilities procedures which implement this program are described in various manuals which are referenced herein.
This NUQAP is applicable in its entirety to Category I systems, structures, components, material, equipment, parts, and services. Appendix A defines Category I systems, structures, and components. The NUQAP is also applicable to other quality related programs, including Fire Protection Quality Assurance (FPQA), Radwaste Quality Assurance, Radwaste Systems, Anticipated Transient Without Scram (ATWS), Environmental Qualification of Electric Equipment Important for Nuclear Power Plants (EEQ) and Mechanical Equipment Qualification (MEQ) as defined by NU commitments as listed in Appendix G.
] The development and overall responsibility for this Quality Assurance
' Program lies with the Senior Vice President - Nuclear Engineering and l Operations. Corporate authority is delegated to the NUSCO Manager, Quality Assurance for the preparation and administration of the Quality Assurance Program. Individual group Vice Presidents are responsible for the implementation of their portion of the Northeast Utilities Quality Assurance Program. Revisions, additions to, and audits of this program are the responsibility of the NUSCO Manager, Quality Assurance. Any.
I revisions or additions shall be approved by affected Departments prior to the incorporation of such changes into the program. Final approval of revisions or additions to this pr.licy statement rests with the Senior Vice President - Nuclear Engineering and Operations.
1 J. F. Opeka Senior Vice President - Nuclear Engineering i
and Operations Northeast Utilities 1
l i
i QAP - Policy Statement Rev.: 9 Date:
Page 1 of 1 i
i l
INTRODUCTION NORTHEAST UTILITIES QUALITY ASSURANCE PROGRAM TOPICAL REPORT -
l This Northeast Utilities Quality Assurance Program (NUQAP) Topical Report 1 contains the quality assurance requirements which are relative to the safety of the nuclear power plant. The Topical Report consists of the
'following three parts:
- 1. Introduction, which delineates the purpose of the Topical Program, and summarizes its scope and applicability.
- 2. This NUQAP is applicable in its entirety to Category I systems, structures, components, material, equipment, parts, and services.
Appendix A defines Category I systems, structures, and components.
The NUQAP is also applicable to other quality related programs, including Fire Protection Quality Assurance (FPQA), Radwaste Quality Assurance, Radwaste Systems, Anticipated Transient Without Scram (ATWS), Environmental Qualification of Electric Equipment Important for Juclear Power Plants (EEQ) and Mechanical Equipment Qualification (ME0) as defined by NU commitments as listed in Appendix G.
3
- 3. Appendices, which provide supporting statements and tabulations.
1 This NUQAP Topical Report has been prepared to document that a meaningful quality assurance program has been established and implemented to ensure that adequate quality requirements are being complied with to safeguard NU employees, contracted personnel and the general public,'from the conceptual phase through the operations phase of nuclear power plant life.
The controls which implement the actions identified in the NUQAP Topical
, Report are departmental procedures and instructions which delineate
. actions and steps necessary to accomplish quality requirements. Procedures and instructions are written by company groups, divisions, departments, branches, or sections, which have the responsibility for implementing actions assigned to them as delineated by the NUQAP. Quality related procedures and revisions thereto are reviewed by and concurred with by the applicable NUSCO/NUPOC Quality Assurance Organization, in accordance with QAP 2.0 and QAP 5.0.
lo y The NUQAP is responsive to applicable codes, Nuclear Regulatory Commis-
[ sion regulatory requirements, accepted industrial standards and revisions
- =
thereto. Provisions are established to update the NUQAP Topical Report in accordance with revisions to codes, standards and regulatory require- l
,- ments, and to inform cognizant personnel to implement appropriate action QAP - Introduction Rev.: 9 Date:
Page 1 of 2
'l I
i to assure the highest standard of quality is achieved for systems, '
structures, components and services for nuclear power plants.
Donald O. Nordquist NUSCO Manager, Quality Assurance I
e i
i QAP - Introduction Rev.: 9
-Date:
Page 2 of 2
. . I i
1 1.0 ORGANIZATION
1.1 INTRODUCTION
Northeast Utilities (NU) is a holding company which owns all of the common stock in several companies as illustrated by Figure 1.1.
The Connecticut Light and Power Company (CL&P) and Western Massachusetts Electric Company (WMECO) are the sole owners of Millstone Units Number One and Two with 81% and 19% ownership respectively. They are the principal owners in Millstone Unit Number Three with 65% ownership and, by contract have the authority to make all of the decisions affecting the design, procurement, construction and operation of that unit. This decision making authority would be similar for any future units.
The NU Companies jointly own 44% of The Connecticut Yankee Atomic Power Company (CYAPCO). By contract, NU and Northeast Utilities Service Company (NUSCO) have been delegated operational control of 1
4 CYAPCO. NUSCO provides technical support for the operation of that plant. This is also illustrated in Figure 1.1.
i Northeast Nuclear Energy Company (NNECO) and CYAPCO are the operating companies established to operate their respective facilities. NNECO is delegated the responsibility for operating the Millstone Units by the owners. NNECO in turn has contracted for the services of NUSCO for the design and construction management of all of the units at Millstone and may solicit technical support during plant operations.
NNECO and CYAPC0 comprise the Nuclear Plant Operating Companies (NUP0C) as illustrated in Figure 1.1.
NUSCO, parts of which are organized as shown in Figures 1.2, 1.3, 1.4 and 1.5 provides services such as engineering, quality assurance, accounting, planning and procurement for the NU system operating companies where these services can be more efficiently and economically performed on a system-wide basis.
The NUPOC and NUSCO interrelationship shown in Figure 1.6, for-quality related activities, indicates how conflicts are resolved. '
As indicated, the Senior Vice President-Naclear Engineering and Operations - NUSCO is also the Senior Vice President-Nuclear Engineering and Operations - NUPOC. He resolves disputes arising from a difference of opinion between Quality Assurance personnel and ;
other department personnel.
l 1.2 GENERAL (Refer to Figure 1.2) 1.2.1 The Chairman, President and Chief Executive Officer of NU is also the Chairman, President and Chief Executive 4
Officer of NUSCO and directs specified nuclear-related activities within NU. He has the ultimate responsibility i
QAP 1.0 Rev.: 9 i
Date:
Page 1 of'15 l
.- . _ . . _ _ - - - _, _ _ _ . - _ _ _ _ _ - - _ - - -- .~
l l l . .
l for the establishment and execution of the NU Quality Assurance Program (NUQAP). Reporting to the Chairman, President and Chief Executive Officer, is the Sepior Vice President-Administrative Services, and the Vice President-Information Resources Group. Authority for the establishment and execution of the NUQAP is delegated to the Senior Vice President-Nuclear Engineering and Operations (see para-graph 1.2.3).
1.2.2 The Senior Vice President-Administrative Services is responsible for procurement activities within NU. The System Director-Purchasing and Materials Management reports to the Senior Vice President-Administrative Services and is responsible to ensure that procurement requirements of the NUQAP are carried out within his division (see Para.1.5.1).
The Vice President - Information Resources Group is responsible for all information storage, handling and delivery systems at NU. The following Directors / Managers report to the Vice President-Information Resources Group:
- a. Director-Engineering Computer Systems and Technical Support (see paragraph 1.5.2.1).
- b. Director-Business Computer Applications and Data Center Operations (see paragraph 1.5.2.2).
- c. Director-Information Resources Administration (see paragraph 1.5.2.4).
- d. Manager-Information Resources Planning and Control (see paragraph 1.5.2.3).
- e. Director-Communication System (see paragraph 1.5.2.5). l 1.2.3 The Senior Vice President-Nuclear Engineering and Operations is also the Senior Vice President-Nuclear Engineering and Operations for NUP0C. He is responsible for nuclear engineering, construction, operation, mainte-nance, modification and quality assurance.
1.2.3.1 The responsibilities of the Senior Vice President -
Nuclear Engineering and Operations relating to the Quality Assurance Program are described in the Nuclear Engineering and Operations Policies and Procedures Manual. He has contact with quality assurance activities through the receipt of various documents such as: Weekly progress reports, Nuclear Review Board Meeting Notes and :
other reports, and audits related to NUPOC nuclear plant operations activities.
QAP 3.0 Rev.: 9 l Date:
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1.2.3.2 The Senior Vice President-Nuclear Engineering and Operations is responsible to assess the scope, status, implementation and effectiveness of the NUQAP. To meet this responsibility, he appoints a qualified team of individuals to perform an annual Management Quality Assurance Review.
This Management Quality Assurance Review is: l
- a. A systematic evaluation;
- b. Preplanned toward the objective of deter-mining the adequacy of the NUQAP and its compliance with Appendix B to 10 CFR Part 50 and other regulatory requirements;
- c. Capable of identifying, communicating and tracking any required corrective action.
The team is made up of individuals knowledgable in Quality Assurance, Quality Related Activities, Auditing, Management Responsibilities, and the NUQAP Topical Report.
1.2.3.3 The following division Vice Presidents report to the Senior Vice President-Nuclear Engineering
, and Operations:
- a. Vice President-Generation Engineering and Construction (see Para.1.4.1)
- b. Vice President-Nuclear and Environmental Engineering (see Para.1.4.2)
- c. Vice President-Nuclear Operations (see Para. 1.4.3) 1.3 RESPONSIBILITIES (Refer to Figure 1.6) 1.3.1 Overall responsibility for the NUQAP is assigned to the NUSCO Manager-Quality Assurance who reports to the Vice President-Nuclear and Environmental Engineering through the Director-Nuclear Engineering and Operations Services.
These responsibilities include: direction of the Quality Assurance program; implementation of policies, plans, requirements, procedures, and audits; verification to assure compliance with 10 CFR 50 Appendix B and other regulatory requirements; and verification of the imple-mentation of the NUQAP Topical Report requirements.
QAP 1.0 Rev.: 9 Date:
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, s
- 4 1.3.2 Overall responsibility for the implementation of the NUQAP Topical Report at the NUPOC Nuclear Plant is assigned to a NUP0C Superintendent. Each NUPOC Quality Assurance Super-visor, reporting to the appropriate NUPOC Superi~ntendent, is responsible for verifying implementation of the require-ments of the NUQAP Topical Report.
2 1.3.3 The head of each NU department or organization performing
- . quality activities is responsible for
l
- a. Administering those activities within his organiza-tion which are defined by the NUQAP Topical Report; l 4
- b. Ensuring implementation of the Quality Assurance Program;
- c. Establishing and clearly defining the duties and i
responsibilities of personnel within his organization who perform quality activities; l
- d. Planning, selecting and training personnel to meet the requirements of the NUQAP Topical Report;
- e. Performing and coordinating quality matters within t
his department and interfacing with NUSCO/NUPOC Quality Assurance on quality activities. l 1
1.3.4 Each individual, performing or verifying activities affecting quality, is responsible to conduct those activities in accordance with the requirements of the
, NUQAP and implementing procedures.
i 1.3.5 The responsibility, authority, and organizational 4
relationship for performing quality activities within each l
- organization is established and delineated.in the NU l Organizational Charts, jurisdictional statements, and written job or functional descriptions.
1.4 NU PARTICIPATING GROUPS - NUSCO NUCLEAR ENGINEERING AND OPERATIONS i GROUP The Senior Vice President-Nuclear Engineering and Operations Group is responsible for providing and directing projects and for providing
- technical and support personnel to meet responsibilities during engineering, construction, preoperational and startup testing, modification, and operation of nuclear power plants.
The Nuclear Engineering and Operations Group is divided into three divisions:
)
a) Generation Engineering and Construction (Figure 1.3);
1 QAP 1.0 Rev.: 9 j Date:
Page 4 of 15
s .. -l b) Nuclear and Environmental Engineering (Figure 1.4); and c) Nuclear Operations (Figure 1.5). .
The functions of the personnel, who perform quality activities l !
within these divisions, are as follows: 1 1.4.1 The Vice President-Generation-Engineering and Construction is responsible for engineering and design, and modifica-tion, backfit, and Generation Construction projects for l existing NU generating facilities. The following department heads report to him: (See Figure 1.3) 1.4.1.1 The Director-Generation Engineering and Design Department is responsible to provide technical and support personnel to provide Project Engineers and support for Generation Construction projects in generating facilities directed by the Generation l Projects Department. Technical support is also provided for operations and maintenance activities of the generating facilities. The Generation l
Engineering and Design Department provides expertise for systems, specifications and pro-curement of equipment and material; it provides design expertise for_the preparation and main-tenance of design documents for generating j facilities. These Generation Engineering and Design Department activities are performed by personnel within the following department i
branches:
l a. Mechanical Engineering; i
- b. Electrical Engineering; ,
- c. Civil Engineering;
- d. Engineering Design.
1.4.1.2 The Director-Generation Construction Department is responsible for the following areas in t
generation facility projects: 1) the direction and coordination of processes and assurance of necessary resources for construction; and
- 2) coordination of startup activities with 4
NUPOC. When assigned projects, the department is responsible for providing construction ,
management and quality control services. The !
department consists of:
- a. Generation Construction to oversee the construction and quality activities of
' QAP 1.0 Rev.: 9 Date:
Page 5 of 15 e.- - , , - . - .,-. -
- r. .r .
.c-- y_ - - - . _ - _ - . . _ _ ,
._.---w.~. , s - , . - . , . - , - - - ,_.,y-,w-, rw-- +----v---+-- - ---- - - -
I I
construction contractors for construction work on generation facilities.
l 1
- b. NUSCO Construction Quality Control to perform quality control functions on items i' affecting quality, such as; inspection, .
receipt control coordination among applicable
' NU departments and outside organizations (see Figure 1.6).
1.4.1.3 The Director-Generation Projects Department is i responsible to provide project management and coordination of projects involving Generation Construction facilities performed by NUSCO for the NU operating companies. This activity includes but is not limited to projects involving Generation Construction and backfit modifications l made to generation facilities. The coordinating function includes cost and schedule control of projects and outage planning and. scheduling for the operating companies. Sections of.this Department, which perform quality related activities, are:
- a. Generation Projects-Millstone Unit No. I
- b. Generation. Projects-Millstone Unit No. 2
- c. Generation Projects-Millstone Unit No. 3 l
- d. Generation Projects-Connecticut Yankee j
- e. Cost and Schedule Control l 1.4.2 The Vice President-Nuclear and Environmental Engineering is responsible for Nuclear Engineering and Operations Services (including: Quality Assurance, Reliability
}
A Engineering, Generation Facilities Records, Nuclear Materials and Chemistry, and Nuclear Safety Engineering);
Environmental Programs; Nuclear Engineering (including:
~
Radiological Assessment, Reactor Engineering, Licensing, l 4
' and Nuclear Fuel); and Nuclear Training. The following department Directors report to the Vice President-Nuclear and Environmental Engineering (see Figure 1.4):
{
1.4.2.1 The Director-Nuclear Engineerina and Operations Services is responsible to direct and coordinate the support services as required for nuclear and
- Generation Construction projects and for NUSCO/
NUPOC Departments during the design, construction l and operation of nuclear power plants. He has reporting to him the following managers / supervisors:
QAP 1.0 Rev.: 9
.Date:
Page 6 of 15
- - , m - . ,--,n - , - , , + - - - ,_-,.,,,,n-.--,--, ,---,e- , , , - - , . - ,, , , . , - , - ~ . , - - - , - - - - . , .
. ~
A
- a. The NUSCO Manager, Quality Assurance is responsible for the preparation and issuance of the NUQAP Topical Report, and verification of the implementation of its requirements ,
by applicable NUSC0/NUPOC Departments. l Verification is performed by.a planned '
program of audits / surveillance / inspections /
' in-process verifications by the quality assurance sections of operations, procure- I ment, and engineering assurance. He provides management with objective evidence of the , performance of activities affecting ,
quality, independent of the individual or !
- group directly responsible for performing the specific activity. ;
i 1
He has the authority and organizational .
freedom to assure all necessary quality affecting activities are performed and is j'
independent of undue influences and respon- l sibilities for schedules and costs. He has the responsiblity and authority delineated in writing, to stop unsatisfactory work and
-control further processing, delivery, or installation of nonconforming materials.
He also has the responsibility and authority
- to identify quality problems, to provide solutions, and to verify their implementation.
He maintains an overview of NUPOC quality i
assurance activities through a planned and systematic program of audits and surveil-4 lances.
I The following supervisors and their staffs report to the NUSCO Manager, Quality Assurance (see Figure 1.6):
3
- 1. Supervisor, Operations Quality Assurance. )
- 2. Supervisor, Engineering Assurance.
- 3. Supervisor, Procurement Quality Assurance.
The Supervisor, Operations Quality Assurance assures that Quality Assurance responsibilities; as they relate to the operational phases-and Generation Construction projects of nuclear power plants; are being implemented.
4
- QAP 1.0 Rev.: 9 Date:
Page 7 of 15
e The Supervisor, Engineering Assurance assures that Quality-Assurance responsi-bilities; as they relate to design control of nuclear power plants; are being imple- l mented.
The Supervisor, Procurement Quality Assurance l assures that Quality Assurance responsibilities, I as they relate to procurement activities for the nuclear power plants, are being implemented.
These supervisors have positions which are free from non-Quality Assurance duties and can give full attention to assure that-the Quality Assurance Program is being effectively implemented and have appropriate organizational responsibilities and authority to exercise j proper control over the Quality Assurance Program. They have the responsibility and authority to. identify quality problems, to provide solutions, and to verify their implementation. Stop work orders initiated by NUSCO Quality Assurance personnel are delineated in writing with the concurrence of a NUSCO Supervisor, Quality Assurance and approved by the NUSCO Manager, Quality Assurance.
The responsibilities and duties of all NUSCO Quality Assurance personnel are described in NUSCO implementing procedures and job descriptions,
- b. Manager, Generation Facilities Records is responsible to provide guidance by the establishment of a corporate Nuclear Plant Records Program and Manual for the effective 1 operation of all Northeast Utilities '
Nuclear Plant Records Facilities to meet corporate nuclear records objectives, i 4
, c. Manager, Reliability Engineering is responsible to establish and implement specific programs that are intended to monitor and to improve the reliability or capacity of the nuclear generating facilities.
- d. Manager, Nuclear Materials and Chemistry is responsible to provide evaluations of nuclear plant coolant chemistry and materials and to implement controls in accordance QAP 1.0 Rev.: 9 Date:
Page 8 of 15 l
- ,- - - - , _ _ _ _ _ _ - _ _ . _ - _ _ - , . . . _ _ _ - _ . , , _ __,.I
. o. .
I with the Nuclear Plant Water Chemistry Program,
- e. Manager, Nuclear Safety Engineering is responsible to provide ' nuclear safety .
engineering evaluations of operational experience at NU and industry nuclear power plants.
- 1. 4. 2. 2 ' The Director-Environmental Programs is respon-sible for the planning, design, coordination and supervision of all scientific engineering studies of problems related to environmental impacts of NU activities affecting proposed and-operating generation facilities. He has, reporting to him, the following Managers /
l Supervisors : ,
- a. Manager, Earth Sciences is responsible for the preparation of atmospheric dispersion-calculations required to estimate dose to the public from both routine releases and postulated accidents. He provides criteria and studies to assure that such calculations
, reflect state-of-the-art techniques and adequately support the corporate program for Nuclear Emergency Preparedness.
- b. Supervisor, Ecological Assessments provides statistical support to the NU Environmental Lab to ensure state-of-the-art statistical methods and techniques in all areas of the ecological monitoring programs,
- c. Manager, NU Environmental Laboratory )
directs ecological. impact assessment :
studies for the operating generation .
facilities.
1.4.2.3 The Director-Nuclear Engineering is responsible to direct and coordinate the activities of Radiological Assessment, Generation Facilities Licensing, Reactor Engineering and Nuclear Fuel.
The following managers report to Director-Nuclear i
Engineering:
- s. The Manager-Radiological Assessment is responsible to provide technical services l
- ' in radiological matters relating to nuclear plant design and operation in nuclear and Generation Construction projects. It l includes the studies of radiation exposure
] QAP 1.0 l Rev.: 9 Date:
Page 9 of 15
i i
. . o to plant personnel and the general public, liaison with regulatory agencies, and responsibility for the corporate program for Nuclear Emergency Preparedness.
- b. The Manager-Generation Facilities Licensing is responsible for corporate liaison with the Nuclear Regulatory Commission and coordination of responses to regulatory requirements for new nuclear projects and changes to operating facilities. This includes the preparation and coordination of documents for submittal to various regulatory agencies,
- c. The System Manager-Reactor Engineering is a
responsible to provide reactor engineering, NSSS safety analysis, probabilistic risk
( assessments, fuel design, and reactor core analysis and performance evaluation services for new nuclear projects, Generation l Construction projects, and operations of I nuclear generation facilities. This includes services during reload of nuclear reactor cores, direction for optimal operations of reactor cores, evaluation of design and analysis of reactors, and NSSS transient' evaluations,
- d. The Manager-Nuclear Fuel is responsible for the planning, scheduling and coordination of the nuclear fuel supply requirements for
~
proposed and operating nuclear generation facilities. This includes contract engineering for technical administration of fuel contracts and technical support for the procurement of all elements of the nuclear fuel cycle, the handling of fuel removed from operating facilities, and determination of nuclear fuel costs.
1.4.2.4 The Director-Nuclear Training is responsible for i
all Nuclear Training and Training Evaluation i
activities. The Department consists of the Connecticut Yankee, Millstone, and the Berlin Nuclear Training Organizations.
1.4.3 The Vice President-Nuclear Operations is responsible for plant modifications, refueling, maintenance and operation of operating nuclear generation facilities. The division consists of a Nuclear Operations Engineering staff and the NUPOC organizations (see Figure 1.5).
QAP 1.0 Rev.: 9 Date:
Page 10 of 15 1
l l I
l
- 1.4.3.1 The Supervisor - Nuclear Operations is responsible for the coordination of activities between the NUSCO Engineering personnel and the NUPOC personnel. An engineer is assigned to each-NUPOC operating nuclear generating facility to perform the coordination of the activities. , ,
i 1.4.3.2 NUPOC Station Superintendents (Millstone and Connecticut Yankee) are responsible for the operation, maintenance, plant modifications, refueling and services of operating nuclear generation facilities. They provide operational _ ;
input to the Project Engineers for the design at nuclear and operating plant Generation Construction projects.
1
- a. NUPOC Station Services Superintendents (Millstone and Connecticut Yankee) report
^ to the individual Station Superintendents and are responsible for the service depart- i ments of each station such as Security, 1 Health Physics, Chemistry, Stores, Nuclear j Records and Quality Assurance (see Figure 1.6).
- b. At the Millstone Station only, the Quality i
l Services Supervisor reports to the Station Services Superintendent and has responsibility for the areas of Stores, Records, and
- Quality Assurance (see Figure 1.6).
a
- c. The Millstone Quality Assurance Supervisor j reports to the Quality Services Supervisor.
The Connecticut Yankee Quality Assurance '
Supervisor reports to the CY Station i Services Superintendent (see Figure 1.6).
l The Quality Assurance Supervisors are responsible for the verification of the implementation of the NUQAP. requirements in j
the operating nuclear generation facilities.
They provide nuclear generation facility l management and the NUSCO Manager, Quality Assurance with objective evidence of the implementation of the Quality Assurance
!' Program within the facility. Their duties l and organizational positions are described '
- in NUPOC Procedures.
t They have the authority, organizational freedom, and are sufficiently removed from undue cost and schedule influences to perform quality assurance functions effec-tively including responsibilities to: -
QAP 1.0 Rev.: 9 i
Date:
Page 11 of 15
, - - , - ,,.m.-~9,-,-, , ,-,- . - - - . .. - , w-,.,--,,,w- ,--en. -- ;,---, --,-,e - --*w- ---- -
e -
l (1) Stop unsatisfactory work and control further processing,-delivery or installation of nonconformin,g materials as delineated in writing; (2) Identify quality problems; (3) Initiate, recommend or provide solutions;
- and; (4) Verify implementation of solutions.
The Millstone and Connecticut Yankee Quality Assurance organizations routinely attend and participate in daily plant work
, schedules and status meetings to assure they are kept aware of day-to-day work assignments throughout the plant. This also assures that there is adequate Quality Assurance coverage relative to procedural and inspection control, acceptance criteria, and Quality Assurance staffing and qualifi-cation of personnel to carry out Quality Assurance assignments for quality activities. l 1.5 OTHER NU PARTICIPATING GROUPS 1.5.1 ADMINISTRATIVE SERVICES The System Director-Purchasing and Materials Management is responsible to the Senior Vice President-Administrative Services for procurement activities within NU. Reporting to the System Director-Purchasing and Materials Management, are several Purchasing Directors and Managers responsible for:
- a. The procurement of materials and services from qualified suppliers in accordance with predetermined commercial, technical, and quality requirements;
- b. Issuing Purchase Orders / Contracts and changes thereto;
- c. Maintaining traceability of purchasing records from NUSCO/NUPOC;
- d. Processing of purchase requistions through to preparation for payment for the purchased item.
4 The System Director-Purchasing and Materials Management l l controls purchasing procedures. I l 1
QAP 1.0 Rev.: 9 Date:
Page 12 of 15 l
1.5.2 INFORMATION RESOURCES GROUP (See Figure 1.7)
The Vice President - Information Resources Group _is.
responsible for all information storage, handling and delivery systems at NU.
1.5.2.1 .The Director - Engineering Computer Systems and Technical Support is responsible for:
- a. The design, coding and implementation of computer systems in support of engineering and scientific functions at NU.
- b. The initial supply, life-cycle support and '
replacement of NU process _ computer systems including the nuclear plant computers and various special purpose systems.
- c. Mainframe Computer Systeri technical support, which includes all associated teleprocessing
- and distributed processing networks. !
1.5.2.2 The Director - Business Computer Applications and Data Center Operations is responsible for:
- a. The design, coding and implementation of all computer systems in support of business-related functions at NU.
- b. The operation of all NU Data Centers.
1.5.2.3 The Manager - Information Resources Planning and Control is responsible for:
- a. Evaluating new and emerging. technologies to determine their applicability to NU and their impact on strategic directions.
- b. Coordinating-all Information Resources .{'
Group Software Quality Engineering activities including:
- 1. Development of software engineering standards detailing policies and procedures governing the development of computer software.
- 2. Identifying minimum documentation. !
levels for all software requirements specifications, design descriptions, verification plans and verification reports.
QAP 1.0 Rev.: 9 Date:
Page 13 of'15
. _ - - . 2 c. . - .
e
- l ,
i l
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- 3. Development of computer based systems for automated auditability and traceability, including source code libraries, object code libraries and executable load modules.
l
- 4. Application and review of software !
products which ensure traceability and !
auditability of computer programs. l S. Development of software system test plans.
- 6. Development of training and indoctrination j programs in software engineering.
- 7. Monitoring compliance with all Information Resources Group Software Engineering standards.
- 8. Identifying deficiencies with existing Information Resources Group policies and standards relative to this NUQAP topical report.
1.5.2.4 The Director-Information Resources Administration is responsible for:
- a. Ensuring that data retention and ownership requirements are followed.
- b. Ensuring data integrity.
- c. Setting policy for data standardization. I l
- d. Overseeing the design, construction, tuning ;
and recoverability process of physical data i bases as part of application development.
- e. Administration of the Information Resources Disaster Recovery Programs.
- f. Administration of the Information Resources ,
l Information Asset Security Programs. )
- g. Maintaining awareness and understanding of legislation and regulations pertaining to data security concerns. ;
1.5.2.5 The Director-Communication System is responsible for:
QAP 1.0 Rev.: 9 Date:
Page 14 of 15
e e
- a. Office Systems
- b. Telecommunications ,
1.5.3 SYSTEM TRANSMISSION AND DISTRIBUTION The Vice President - Transmission and Distribution Engineering and Operations is responsible for quality related activities performed by groups within his organization. The System Superintendent-Transmission and Test reports to the Vice President-Transmission and Distribution Engineering and Operations and is also responsible for quality activities. The Superintendent-- l Production Test reports to the System Superintendent-4 Transmission and Test and is responsible for quality related production test activities which include:
- a. Providing electrical testing services to the Nuclear Plant Operating Companies (NUPOC).
- b. Planning and coordinating periodic and corrective maintenance of electrical equipment.
, c. Conducting acceptance tests, calibrations, adjustments, functional checkout and commissioning of electrical systems.
- d. Overseeing electrical preoperational testing for nuclear generation facilities projects and startup testing for backfit/ Generation Construction projects, as requested.
QAP 1.0 Rev.: 9 Date:
Page 15 of 15-
NORTHEAST UTILITIES ORGANIZATION ,
Direct Control Operallonal Control - - - - - - - - -
NORTHEAST UTILITIES s
NORTHEAST UTILITIES SERVICE COMPANY (NUSCO) l l
WESTERN HOLYOKE NORTHEAST CONNECTICUT CONNECTICUT MASSACHUSETTS WATER NUCLEAR YANKEE LIGHT & POWER COMPANY ELECTRIC POWEH ENERGY ATOMIC POWER COMPANY COMPANY COMPANY COMPANY THE NUCLEAR PLANT OPERATING COMPANIES (NUPOC)
A e
FIOURE 1.1 e
. 6
NORTHEAST UTILITIES Orgsaltational Relatoonships J
of Personnet havong Quakty CHAlRI A AN
- Ret 90ed functoons PRES l DEN T CHIEF EXECUTIVE 4 OFFICER /
NUSCO ( NUPOC .
. I i
l ?
I Vice President-l Senior Vice Preeldent- Inforation Reca Admenestrative Group Serveces i I See Figure 1.7 l l System Ditecsor. Tr n & President-
' Purchasing & Destnbution M #9 g i, , (NUSC & POC) i I I Vice President- Vice Presidens-System Superintendent- Vice Preshit-Generation Engineering Nuclear & Environmental Transmission & TW .
& Construction Nuclear Operations Engineering
! I I i i
= rig u Se. rig.. u See.rigu,e u Production Test g FIGURE 1.2 4 -
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NOllTHEAST UTILITIES Osgansrational Relationships l cl Pousos. net hav6ng Qualisy Retaled Functions From Figure 1.2 Vice President-I I aeneensionengmesuing
& Construction l
l l
j DIRECTOR O!vEC TOR D1 REC TOR GENER AT ION GENERATION GENERATION I ENGINEERING PROJECTS CONSTRUCTION t DESIGN GEN ER ATION PROJECT GENERATION MILLS TONE MECHANICAL UNIT NO I ENGINEERING GENERATION CON S TRUCT ION T, Ef,,ER AT I ON CONSTRUCTION QUAllTY encJECT CONTROL 1 GENER AT ION MILLSTONE j ELECTRICAL UNIT NO. 2 1
ENGINEERING GENERATlON PROJECT I
GENERATION [hpTggEa_
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ENGINEERING GENERATION PROJECTS CONN-Y ANKEE i GENERATION ENGINEERING COST AND .
DESIGN SCHEDULE
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From Figure 1.2 Vice President-Ineormation Resources Group Director - Engin.oring Director - Business C g,,c,or . ineo,meno. DIRECTOR uen.ger . worm. tion Q ( ,
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- - SYSTEMS Figure 17
2.0 QUALITY ASSURANCE PROGRAM 2.1 GENERAL REQUIREMENTS Northeast Utilities (NU) has established a Quality Assurance Program. (NUQAP) which complies with the criteria of 10 CFR 50, Appendix B,
, and follows the guidance referred to in Appendix D of this report.
The quality assurance requirements set forth herein and the attached Policy Statement, supplemented by the Quality Assurance Procedures, , provide the primary basis of the Program and the NU Policy with l regard to quality assurance. This Program is established for each plant site in a manner intended to accomplish the required level of quality and is carried out throughout the life of nuclear power g plants. It includes quality activities during the operation, maintenance and modification of the in-service nuclear power plants. s The requirements of the NUQAP apply, as a minimum, to nuclear
' safety-related systems, structures and components as functionally )
identified in Appendix A, " Systems, Structures and Components" and ' other items or services which are specifically identified in each FSAR/FDSA addressing Section 3.2.1 of NRC Regulatory Guide 1.70. The requirements additionally apply to other quality programs as defined in Appendix G. I The requirements of the Program are implemented by Northeast Utilities Service Company (NUSCO), Nuclear Plant Operating Companies (NUP0C), the engineer-constructor, contractors, suppliers and engineering i service organizations performing activities affecting quality systems, structures and components of nuclear power plants. I i Procedures define the required indoctrination and training of personnel performing activities affecting quality, as necessary, to l j assure that suitable proficiency is achieved and maintained. Training sessions are documented, the content described, who attended, when they attended and the results of the training sessions. t A periodic program review of the status and adequacy of the NUQAP is accomplished by NUSCO Quality Assurance audits, by Nuclear Review Board (NRB) Reviews, and by the independent audit team described herein and in QAP 1.0, Section 1.2.4.2. Organizations outside NU are required to review the status and adequacy of that part of the Quality Assurance Program for which they have designated respon-sibility. l 1 QAP 2.0 1 Rev.: 9 Date: Page 1 of 6
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i 2.2 IMPLEMENTATION 2.2.1 Goals and Objectives - As stated in the Policy Statement of NU, the goals of the NUQAP are to maintain quality levels in an effective and efficient manner and to assure a high degree of functional J integrity and reliability of quality systems, structures l l and components. To meet this goal, the following objectives-of the NUQAP have been defined:
- a. Define through documented procedures, the quality activities that apply to the design, fabrication, procurement, construction, testing, operation,
- refueling, maintenance, repair and modification of nuclear power plants;
- b. Establish, assign and document the responsibilities for the conduct of those activities affecting quality l systems, structures and components; i
- c. Establish confidence that (a) the design, fabrication, construction and operation of nuclear power generation facilities are performed in a manner consistent with NU Policies and (b) quality activities are performed l by responsible personnel, through a system of audits of those organizations.with quality responsibilities;
- d. Appraise the Senior Vice President, Nuclear Engineering and Operations of unresolved problems and trends 4
' which could have a significant effect on nuclear l power plant safety and;
- e. Prevent schedule delays and high cost due to poor quality.
2.2.2 Program Documentation This NUQAP Topical Report defines the NU nuclear policies,. goals and objectives, and is used as guidance for the ' development of the various implementing divisional, departmental, branch, or section procedures. Revisions to the NUQAP Topical Report will L. made as needed.to reflect current requirements and descriptions of~ activities prior 4 to implementation. These revisions will be made in accordance with a Nuclear Engineering and Operations Group i Procedure. Revisions to the NUQAP Topical Report, which reduce commitments previously accepted by the NRC, are submitted to the NRC for review and approval prior to implementation. QAP 2.0 Rev.: 9 ) Date: Page 2 of 6
e
- Revisions which do not reduce previously accepted commitments are periodically submitted to the NRC as required by 10CFR50.54(a)(3) and 10CFR50.55(f)(3). -
Quality procedures are developed by the departments performing quality activities. l These procedures are reviewed by the departments which are respor.sible for portions of these procedures. These , , procedures are approved by the departments which initiate these procedures and are reviewed and concurred with by the applicable NUSC0/NUPOC Quality Assurance Organization for compliance with the NUQAP Topical Report. Changes to procedures are subjected to the same degree of control as that utilized in the preparation of the original document. Each NUSCO Department Head /NUPOC Superintendent is responsible for implementation of the NUQAP, which includes individual-departmental procedure requirescats applicable only to his respective activities. In addit;uc. he is responsible for i the preparation, approval and distribution of those instructions, operating procedures, testing procedures or other instructions where further guidance is necessary. 2.2.3 Systems, Structures and Components The requirements of the NUQAP Topical Report shall apply, as a minimum, to nuclear safety related systems, structures I and components, as addressed in the Safety Analysis Reports (SAR). Safety related systems, structures and l j components are functionally identified in Appendix A of the NUQAP Topical Report and also as specifically identi-fied in each FSAR/FDSA addressing Section 3.2.1 of NRC Regulatory Guide 1.70. For systems, components, and structures; covered by the ASME Code; NUSC0/NUPOC Procedures describe the measures taken to assure that the Quality Assurance requirements, contained in the code, are supplemented by the specific guidance of the applicable regulatory guides listed in Appendix D of this Topical Report. For systems, components, and structures; covered by NUQAP Appendix G, Regulatory Commitments and NUSCO/NUPOC procedures describe the measures taken to assure that the Quality Assurance requirements are met. The degree of control over activities affecting quality l systems, structures and components is consistent with their importance to safety. Such controls include use of appropriate equipment, establishment of suitable environmental QAP 2.0 Rev.: 9 Date: Page 3 of 6
e
- conditions and assurance that all prerequisites for a given activity have been. satisfied. This NUQAP Topical' t
Report provides for controls over special processes and skills necessary to attain the required quality, and the - 4 need for verification of quality by inspection and test. ! 2:SCO/NUPOC Quality Assurance organizations and applicable
, NUSC0/NUPOC technical organizations jointly determine and
' identify the extent Quality Assurance controls are to be applied to quality structures, systems, and components. The Quality Assurance controls are in conformance with this NUQAP Topical Report, which complies with the 18 criteria set forth in Appendix B to 10CFR Part 50. 2.2.4 Participating Organizations The NU organizations with responsibilities for activities affecting quality systems, structures and components are l identified in QAP 1.0, which also briefly describes their assigned responsibilities. NUSCO Quality Assurance is responsible for: a) the development, coordination, and control of the NUQAP including coordination of NUSCO Quality Assurance Branch Procedure review and approval; b) control and issuance of the NUQAP Topical Report as a controlled document (as described in QAP 6.0) and; c) review and concurrence with quality related procedures and revisions written by other departments. Procedure reviews will be performed in j accordance with QAP 5.0. l NU shall require that their Engineer-Constructor, Nuclear ' } Steam Supply System (NSSS), Suppliers, Engineering Service Organizations and contractors shall invoke upon their subcontractors, via procurement documents, requirements for a quality assurance program to meet the applicable j criteria of Appendix B to 10 CFR, Part 50, including the , applicable elements of the Regulatory Guides and their 1 endorsed Standards identified in Appendix D of the Topical ] Report. However, NU retains overall responsibility for the QA Program. The specific quality activities performed l by these organizations are specified in the procurement documents. NUSCO Quality Assurance reviews and approves l ' these organization's quality assurance programs prior to initiation of contracted activities, and audits subsequent activities for compliance to their procedures. The object of the review is to verify that the engineer-constructor, contractors, suppliers and engineering service organizations have an adequate quality assurance 4 QAP 2.0 Rev.: 9
- Date:
Page 4 of 6
program to meet the applicable requirements of Appendix B to 10 CFR, Part 50. In addition to the-initial review, the engineer-construc-tor, contractors, suppliers and engineering service organizations quality assurance programs shall be periodi-cally audited by NUSCO/NUPOC Quality Assurance to assure "
, continued implementation of quality requirements.
Contractors may be delegated the execution of quality l i assurance functions by contract. These contracts are reviewed and approved in accordance with NU QAP requirements. l 2.2.5 Indoctrination and Training i A program is established and maintained for quality assurance indoctrination and training which provides 1 confidence that the required level of personnel competence i' and skill is achieved and maintained in the performance of quality activities. Quality procedures delineate the requirements for an indoctrination program to assure that l personnel responsible for performing quality activities are instructed in the purpose, scope and implementation of quality procedures and instructions and that compliance to l these documents is mandatory. The NUSCO Manager, Quality ! Assurance is responsible for the indoctrination of personnel i within his department who, perform quality activities. [ Nuclear training programs shall be developed and implemented r to provide training for all individuals attached to or associated with NU nuclear facilities. Additional guidance is established in NUSC0/NUPOC Procedures. l Implementing NUSCO/NUPOC Procedures describe the nuclear training program requirements which assure that:
- a. Documentation of formal training and qualification programs includes the objective, content of the program, attendees, and date of attendance;
- b. Proficiency, of personnel performing and verifying activities affecting quality, is established and maintained. Personnel proficiency is established and maintained by training, examination / testing, and/or certification based upon the requirements of the activity. . Acceptance criteria are developed to determine if individuals are properly trained and qualified.
- c. Certificates or other documentation of qualification clearly delineate the specific functions personnel l
i 4 QAP 2.0 Rev.: 9 Date: Page 5 of 6
4
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4 7 are qualified to perform and the criteria used to 4 qualify personnel.in each function. This program also requires the head of each department (including NUSC0/NUPOC Quality Assurance) to be responsible for a training plan which assures that personnel perform-ing quality activities are trained in the principles and l
; techniques of the activity being performed.
2.2.6 Management Participation i NUSCO Department Heads /NUPOC Superintendents are respon-sible for implementing the NUQAP Topical Report within their i Departments / Plants. The NUSCO Manager, Quality Assurance j will assist in development, coordination and review of the-Program. 1 A management review of the Program is conducted on an annual basis, by an independent audit. group, to assess the scope, status, implementation, effectiveness and to assure j compliance to NRC licensing commitments. The Management ! Review Committee is appointed by the Senior Vice President - l I Nuclear Engineering and Operations. -He ensures that deficiencies are tracked and resolved, and advises upper management of the results of the audits. i I Actions considered by the Management Review Committee may include, but are not limited to, the following: l a. Review of selected proced,ures and documents,
- b. Verification of the implementation of selected procedural requirements
- c. Review of past audit results such as those conducted j , by previous Management Review Committees, the NRC, or
, other departments. The Review Committee's findings of deficiencies and recommendations for program improvement are forwarded to the Senior Vice President - Nuclear Engineering and l Operations, who will ensure appropriate corrective action is taken. The quality assurance programs of the engineer-constructor, NUSCO contractors, suppliers and engineering service -l
. organizations that perform quality activities are reviewed l l by NUSCO Quality Assurance to assure that their management regularly reviews the status and adequacy of their part of the NUQAP.
t j QAP 2.0 3 Rev.: 9 4 Date: Page 6 of 6 1
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i 3.0 DESIGN CONTROL i 3.1 GENERAL REQUIREMENTS l \ The NUSC0/NUPOC is responsible for controlling design work, administering design control activities (including design interface) i ' and design modifications for quality systems, structures and com- l ponents. The NUQAP for design is established to assure that the applicable I design requirements, such as design bases, regulatory requirements, ' codes, technical standards and quality standards are identified in I design documents which are reviewed, approved and controlled in accordance with established procedures. Such controls include review for suitability of application of materials, equipment, parts-and processes that are essential to the functions of the systems, l structures and components. Changes to and deviations from specified requirements are identified, documented and controlled. The responsibility for design control program implementation rests with NUSCO/NUPOC for all NU nuclear generating facilities. The division of responsibilities and jurisdictional boundaries are set forth in Nuclear Engineering and Operations Procedures (NE0s). Although other organizations may be delegated the task of establishing and executing the design control program or any part thereof,
; NUSC0/NUPOC will retain the ultimate responsibility for the program.
- The applicable requirements of the NUQAP will be imposed on other organizations delegated the task of establishing or executing the program in accordance with QAP 4.0 and QAP 7.0.
The interface controls, both internal and external, for organiza-tions performing design work for quality' systems, structures and l components are identified and implemented in accordance with documented ! i procedures. This identification includes those organizations l providing criteria, designs, specifications and technical direction. l l Measures are applied to verify the adequacy of design. The extent l of design verification is specified and documented by the respon-sible organization. The individuals performing design verification should not (1) have immediate' supervisory responsibility for the 2 individual performing the design, (2) have specified a singular design approach, (3) have ruled out certain design considerations, i ' or (4) have established the design inputs for the particular design aspect being verified. The independent design verification should i not dilute or replace the responsiblity of the supervisors for the. quality of work performed under their supervision. Where changes to previously verified designs have been made, design verifications are required for the change, including evaluation of the effects of those changes on the overall design. Design verification may be accomplished by tes*.ing. Tests to demonstrate adequacy under QAP 3.0 Rev.: 9 i Date: Page 1 of 6
. =- j l
1 adverse design conditions shall comply with the requirements of QAP 11.0, " Test Control". Design errors and deficiencies which ad-versely affect quality systems, structures and components in the l design process are documented, and appropriate corrective action is taken. These design errors and deficiencies are documented in accordance with design change procedures or as defined in QAP 15.0. 3.2 IMPLEMENTATION NUSC0/NUPOC is responsible for the design, design review, engineering approval of~ design changes, design evaluation and design control of nuclear power plants. The function may be delegated to other organizations to perform the design activity, or any part thereof, but the responsibility for overall design remains with NUSC0/NUPOC. In all cases, final engineering decisions and ultimate design control of systems, structures and components related to nuclear power plants is the responsibility of NUSC0/NUPOC. { NUSCO/NUPOC Quality Assurance performs audits /surveillances/inspec- l l tions/in process verifications to verify that the engineer-constructor, j contractors, suppliers, engineering service organizations and NU 1 departments are effectively complying with the NUQAP and procedural i requirements for design control. 1
)
3.2.1 Design Process Design control measures are applied to design analyses, such as, reactor physics, stress, thermal, hydraulic, , nuclear radiation, accident and seismic analyses; compat-1 ibility of materials; accessibility for in-service inspec-
- ~
tion, maintenance, and repair; and delineation of accept-3 ance criteria for inspections and tests. Measures estab-1 lished to control design documents are described in QAP 6.0. ) Program procedures and instructions define the method for implementing design control measures. These measures i require that applicable design requirements, such as,
! design bases, regulatory requirements, codes and stand-j ards, are translated into specifications, drawings, procedures or instructions. Instructions further require ,
j that appropriate quality standards are specified and I included in design documents. All materials, equipment, l parts and processes, including standard "off the shelf"
- commercial or previously approved items essential to the i quality functions, are selected and reviewed for suit- l
, ability of application. The basis for selection may , include industry standards, material and prototype hard-2 ware testing programs, and design reviews. 1 l l QAP 3.0 Rev.: 9
- _Date
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NUSCO Procedures assure that a documented check is performed to verify the accuracy and completeness of design drawings and specifications before release to construction. Design drawings receive a documented check to verify dimensional 4 accuracy. Design drawings and specifications issued for plant design a
, changes during the operations phase of an in-service nuclear plant are reviewed for completeness and accuracy before release to operations in accordance with NUSC0/NUP0C Procedures. Drawings are reviewed for accuracy and completeness in accordance with NUSC0/NUPOC Procedures i defining Document Control.
i i i NUSC0/NUPOC Procedures describe the provisions to assure that design drawings and specifications are prepared, reviewed and approved in accordance with company procedures, and that the documents contain the necessary Quality
; Assurance requirements, such as inspection and test i
requirements, acceptance requirements, and the extent of j documenting inspection and test results. 3.2.2 Design Change Control Procedures and instructions governing design change control during construction, modifications to operating plants, control of discrepant or deficient design condi-i tions, and reported unsatisfactory performance, provide for the identification of the need for design changes and a documented method to control these changes. Design and specification changes are subject to design control-measures commensurate with those applied during the
- original design.
An independent review and approval of design changes is l performed by the organization that conducted the original design reviews, unless NUSC0/NUPOC designates another ' , qualified organization to perform this function. Proposed design change / modifications are submitted to the I in-service units management for processing and review. This review includes the Plant Operations Review Committee 4
' (PORC)/ Site Operations Review Committee (SORC). PORC/SORC is advisory to the appropriate NUPOC Superintendents on j matters relating to nuclear safety. Its composition, responsibilities, and authority are defined in Section 6 j of each in-service unit Technical Specification. NUPOC QA i personnel can be represented at the PORC/SORC Committees l if assigned by the appropriate NUPOC Unit Superintendent. i If the change involves a quality system, structure or l 4
component, the change will be reviewed by qualified QAP 3.0 Rev.: 9 Date: Page 3 of 6
l engineering personnel for technical adequacy. Reviews of , the design change requests are performed by the Nuclear Review Board / Environmental Review Board on safety evaluations / i environmental questions. The sequence of the NRB review t depends upon the determination of whether an unreviewed safety question is involved. (i.e., in accordance with ANSI N18.7, if a proposed change in the facility involves an unreviewed safety question then the NRB review is conducted prior to implementation.) The combination of these independent reviews by the PORC/SORC and NRB/ ERB are performed to assure that: t
- a. the adequacy of the proposed change is determined; l i'
- b. unreviewed safety / environmental questions are pro- -
perly identified and handled per 10 CFR 50.59; 4
- c. nuclear safety / environmental requirements have been 1
considered. Errors and deficiencies in design, including the design ' process, that could adversely affect quality structures, l I systems, and components are documented and corrective
; action is taken.to preclude repetition.
During the operations phase, notification of plant design } 4 changes are transmitted to responsible plant personnel as i part of the design package close out. NUSC0/NUPOC Procedures ' describe this notification which assures that personnel
' are made aware of design changes / modifications which may j affect the performance of their duties. l , 3.2.3 Desian Interface Control 4
During design, construction or modifications of nuclear power plants, the Nuclear Engineering and Operations Group is responsible for review, coordination and documentation of design interfaces. Procedures provide the method for identification of design interfaces, design interface changes, and modifications affecting drawings and design documents. During plant design and construction phases, control of interfaces may be delegated to the engineer-constructor and/or the Nuclear Steam Supply System (NSSS) supplier. During the operations phase, procedures and instructions identify design interfaces which are controlled by the appropriate NUPOC Superintendent. Resolution of design interface questions are documented. QAP 3.0 Rev.: 9 Dater Page 4 of 6 i
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. \
l 3.2.4 Independent Desian Verification
)
Original designs and design modifications are reviewed for l adequacy and the sign-off performed by a person other than I the originator of the design. Design verification is 4 documented in accordance with procedures or instructions. l Simplified calculations or computer models/ codes may be l utilized as alternate means of design verification. When l design verification is performed by testing, the tests are ' performed using approved procedures, which specify the ( authority and responsibility of design verification personnel. Ultimate responsibility for design adequacy and evaluation is retained by NUSC0/NUPOC, as appropriate. Design verification (if other than by qualification testing) is normally completed prior to release for procurement, manufacturing, and construction, or to l another organization for use in other design activities. i
; For those cases where design verification cannot be '
i completed prior to release for procurement, manufacturing, and construction, procedures ensure that design verification is completed prior to the point when the installation is
, declared operational.
J NUSCO/NUPOC Procedures describe the requirements which assure the following when testing is considered as an j alternate method of design verification:
~
l
- a. Specifications or procedures provide criteria that j specify when verification should be by test.
j b. Prototype, component or feature testing is performed
- 1 as early as possible prior to installation of plant equipment, or prior to the point when the installation
) j is declared operational. j i c. Verification by test is performed under conditions
- that simulate the most adverse conditions as determined
{ by analysis. i 4 Particular emphasis is placed on assuring that designs are , in conformance with applicable codes, and on selecting the proper design verification or checking method. Procedures and instructions provide the requirements and necessary controls for design verification. These controls include a review to assure that design characteristics can be controlled, and verification that there is adequate accessibility for inspection or test, and that inspection and test acceptance criteria are incorporated. During the 4 operations phase, documentation of reviews is provided. QAP 3.0 Rev.: 9 Date: Page 5 of 6 1 8
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- NUSCO/NUPOC Procedures include requirements which identify the responsibility of design verifiers, the areas and features to be verified, and the extent of the documentation.
- NUSCO/NUPOC Procedures assure that procedural control is established for design documents that reflect the commit-ments of the SAR. These procedural controls vary for design documents which receive formal design verfication by several disciplines or organizations, and those which can be reviewed by a single individual. The specific
- design documents and specialized reviews are determined
- and used as required by the design changes and modifications.
NUSC0/NUPOC Procedures are established to assure that l 4 verified computer codes are certified for a specific use. During the design and construction phases, the NUSCO Project Engineer maintains the ultimate responsibility for
- the design documents generated by the engineer-construc-j tor, NSSS supplier and other NUSCO departments. The 3 evaluation of selected documents by project engineers may be accomplished with assistance from other NUSCO depart-ments concerned with the equipment / subject covered by the document being evaluated.
l The NUSCO Project Engineer is responsible for the resolution l of NUSCO comments on specifications and drawings issued by the engineer-constructor, NSSS supplier, and contractors. I 1 1 1 1 1 1 1 4 4 f
! l QAP 3.0 ,1 Rev.: 9 l
! Date: l 1 Page 6 of 6
e = i i i 1 i 4.0 PROCUREMENT DOCUMENT CONTROL i
~
4.1 GENERAL REQUIREMENTS The procurement of materials, equipment, parts and/or services { I required during the design, construction, operation and maintenance of quality systems, structures and components in nuclear power plants is performed in a controlled manner which assures compliance l with applicable regulatory requirements, procedures, quality assur-ance standards and regulations affecting procurement documents. Changes to procurement documents are subject to the same degree of control as utilized in the preparation of the original documents. q 4.2 IMPLEMENTATION i ] 4.2.1 Program J i A Project Manager and a Project Engineer are selected for ' each major modification to an in-service nuclear power j plant. The project engineer coordinates the preparation, j review and approval of procurement documents for quality material, equipment, parts or services, and ensures the l i technical adequacy and inclusion of quality assurance } requirements. j During the operations phase of nuclear power plants, NUSCO/NUPOC Purchase Requisitions are reviewed for technical j adequacy and verification of the quality designation. The l 4 appropriate NUSCO Project Engineer /NUPOC Superintendent j reviews and approves NUSCO/NUPOC Purchase Requisitions. 4 NUSCO quality assurance personnel then review the purchase requisition, for the inclusion and adequacy of quality assurance requirements, prior to the issuance of the i purchase order. 1 I During design, construction, preoperational testing and ! operation of nuclear power plants, and modifications thereto, the engineer-constructor, contractors, suppliers and engineering service organizations utilized by NUSCO/ NUPOC are responsible to implement measures for control of j procurement documents associated with quality material, .l equipment, parts and services to ensure applicable j requirements including quality assurance requirements are specified. NUSCO Quality Assurance performs on and off-site audits /surveillances/ inspections /in process l verifications to ensure organizations utilized by NUSCO/ NUPOC are effectively complying with their requirements , for the control of procurement documents. j .QAP 4.0 Rev.: 9 Date:
- Page 1 of 4 1
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- 1 r
Changes to procurement documents, whether initiated by i NUSC0/NUPOC or their representative, are subjected to the i same degree of control as that utilized in the preparation ' of the original document. The procurement of spare or j replacement parts for quality systems, structures or components is subject to the controls of the latest NU QA l Program and NUSCO/NUPOC procedure requirements. The spare or replacement parts are subject to controls equivalent to original or subsequent codes and standards. QA review of procurement documents determine that:
- a. The quality requirements are correctly stated, inspectable and controllable;
! b. There are adequate acceptance and rejection criteria;
- c. The procurement document has been prepared, reviewed, and approved in accordance with the NU QA program l l requirements.
l 4.2.2 Procurement Document Provisions 1 Procurement documents are prepared, reviewed and approved in accordance with approved procedures of the issuing organization or department and are documented prior to release and available for verification. -These procedures
- require that procurement documents consist of the follow- ,
ing, as necessary: A
- a. The scope of work to be performed;
- b. Technical requirements (specified or referenced)
.l including the applicable components and materials identification requirements, drawings, specifi-cations, procedures, instructions, codes and regula-tions, and provide for identification of applicable test, inspection and acceptance requirements, or special process instructions; 4 l c. Quality Assurance Program requirements to be imposed on contractors which include the applicable require-ments of 10 CFR 50, Appendix B, and the NRC regula-tory position contained in the Regulatory Guides and their endorsed ANSI Standards listed in Appendix D of this Topical Report;
- d. Right of access which provides, as appropriate, for access to contractor facilities and records for j inspection or audit by NUSCO or its designated
} QAP 4.0 } Rev.: 9 Date: Page 2 of 4 l' f
- - . _ . - . - . - - -. .___ -. - . _ - . _ _ - . - - - - - . - - .. . . _ ~
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l representative; and provides access for events such 1 as those requiring notification of hold points;
- e. The documentation required to be prepared, main- {
tained, and/or> submitted to NUSC0/NUPOC or its representative for review, approval or historical record. The time of submittal of this documentation and the retention and disposition of Quality Assur-1 ance records which are not submitted to NUSC0/NUPOC is prescribed.
) 4.2.3 Selection of Procurement Sources 3"
If the engineer-constructor, contractor, or supplier is not delegated the function of procurement source selection, the NUSCO Purchasing Department verifies that the procurement document has been reviewed and approved, and that the supplier has been approved for procurement prior to
! issuing the purchase order for the material, equipment, j parts and services. Supplier approval is not required for- i the procurement of nonengineered items which are:
j a. Relatively simple and standard in design, manufac-
- ture, and test (i.e., off the shelf item, the catalog number is in effect, a specification which controls j the manufacture of the item) and; i b. Adaptable to standard or automated inspections and/or i tests of the end product to verify quality charac-l teristics after delivery and;
- c. Of such a nature that product acceptance inspec-tions/ test performed upon receipt of items do not j require operations which could adversely affect the integrity, function, or cleanness of the item.
Procurement documents may be issued to organizations with I unapproved quality assurance programs. These procurement documents are approved by the NUPOC Superintendents, or the cognizant NUSCO Vice Presidents / Directors within the i Nuclear Engineering and Operations Group, and by the l NUSCO/NUPOC Quality Assurance Departments who ensure procurement documents to unapproved organizations contain
, detailed supplementary quality assurance requirements to i meet NUSCO requirements.
J. j Procurement documents are reviewed by NUSCO/NUPOC Quality Assurance to ensure appropriate quality assurance require-ments are specified. These requirements, included in the procurement document as necessary,~ include audits and inspections at the suppliers facilities with scheduled I i j QAP 4.0 Rev.: 9 ) Date: Page 3 of 4 4 l
. - - . . . . .. _ . _ . , . , . - . , . . , - _ . , - , , . . , _ ,_._._.. ~~ - ._, . . , _ _- _ . - . _ .
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- witness / hold points and acceptance criteria during the fabrication and process of the procurement item. Accep-
' tance inspections and tests determined by NU sha,ll be performed af ter receipt at NU but prior to operation. s l \ l l l i
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I I 4
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i I 1 i l i i i, i 4 i 1 i l l QAP 4.0 Rev.: 9 ' Date: [ Page 4 of 4
j . . ,, e t f. I 5.0 PROCEDURES, INSTRUCTIONS, AND DRAWINGS
~
5.1 GENERAL REQUIREMENTS 4
- The NUQAP provides measures for the preparation, review, approval, control and distribution of procedures, instructions and drawings of
-l activities affecting quality systems, structures and components l
' during design, construction, preoperational testing and operation of nuclear power plants. These documents include appropriate quantita- )
i tive and qualitative' acceptance criteria which specify the activity i , to be performed, the methods of construction and testing to be 1 i employed, material, equ..pment- or parts to be used, a sequence of ' j operation'and the required documentation. l 5.2 IMPLEMENTATION i Qual!.ty Related Procedures provide direction for personnel perform-l ing quality functions. The applicable NUSCO/NUPOC Quality Assurance l 1 Organization reviews and concurs with Quality Related Procedures. -l Comments concerning compliance with the NUQAP Topical Report and I regulatory requirements are resolved prior to issuance of the. procedure. NUSCO Quality Assurance receives controlled copies of j i Quality Related Procedures issued by other departments. During the design, construction and procurement phases, the engineer-constructor, i contractors, suppliers, and engineering service organizations may be j delegated responsibility for preparing maintaining, issuing and verifying the implementation of appropriate program documents which ! are selectively reviewed / approved by the appropriate NUPOC Superin-l- tendent, NUSCO Director / Generation Construction, or Project Engineer, l as appropriate. In this case, NUSCO Quality Assurance performs
- on-site and off-site audits /surveillances/ inspections /in process l l verifications of the quality assurance programs tc ensure the
! engineer-constructor, contractor, suppliers and' engineering service organizations are effectively complying with their requirements for i procedures and instructions. Contractor programs are required to j
i clearly delineate the actions to be accomplished in the preparation, i j review and control of procedures, instructions and drawings and the methods for complying with 10 CFR 50, Appendix B. l 5.2.1 Procedures and Instructions Procedures and instructions for activities affecting quality are prepared, reviewed, and approved .in accordance
; with written procedures and instructions.
{ During the design and construction phase, NUSCO Director /
- Generation Construction, or Project Engineer, ensures that j contractors, suppliers and engineering service organi- ,
j zations implement quality assurance programs which contain l ] written instructions for preparation, review and approval 1 3 j QAP 5.0 Rev.: 9 Date: Page 1 of 2
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4 F of procedures and instructions affecting quality. In addition, Contractor's site construction procedures and l ? quality control inspection procedures are reviewed for concurrence by NUSCO Quality Assurance to assure compliance with the Program. The NUPOC organization is responsible for the preparation, review and approval of plant Quality Related Procedures. These procedures include preoperational and startup test procedures and overall site administrative procedures which implement the requirements of the NUQAP Topical j Report. Each NUPOC organization is also responsible for the preparation, review and approval of procedures covering quality activities in accordance with individual license requirements. The applicable NUSC0/NUPOC Quality Assurance Organization reviews and concurs with inspection plans, tests, calibrations and special process procedures, and l changes thereto. I 5.2.2 Drawings
- The design control and verification measures described in QAP 3.0, are applicable for the review and approval of drawings. The Nuclear Engineering and Operations Group, during design and construction phase, or the appropriate EUPOC Superintendent, during the preoperational test and in-service phase of the nuclear power plants, has the
' ultimate responsibility for review and approval of new drawings or modifications to existing drawings. The originating organization may delegate to other organi-zations or departments the work of design and review activities, or any part thereof, but retains ultimate responsibility for this work.
The measures taken to assure the preparation of as-built drawings and related documentation in a timely manner to accurately reflect the actual plant are described in ! NUSCO/NUPOC Procedures. Drawings critical to operation are updated prior to system turnover to operation and are available to the operating personnel. 5.2.3 Acceptance Criteria Cognizant Department Heads review and approve departmental procedures, instructions and drawings to ensure the I inclusion of adequate quantitative and qualitative accep-tance criteria, as appropriate, for determining satisfact-ory work performance and quality compliance. These criteria apply to activities such as design, operations, test control, inspection and plant modifications. t QAP 5.0 Rev.: 9 Date: Page 2 of 2
.* o 6.0 DOCUMENT CONTROL d
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6.1 GENERAL REQUIREMENTS The NUQAP provides measures to assure controlled distribution of documents pertinent to quality assurance for the design, construction, preoperational testing, operation and major modification of nuclear power plant quality systems, structures and components in accordance l with NUSCO/NUPOC quality related procedures and 10 CFR 50, Appendix B. Documents such as procedures, instructions, drawings, specifications and reports are prepared, reviewed for appropriate qualitative and quantitative acceptance criteria, and approved by authorized person-nel in the affected organization. Approved controlled documents are [' distributed to affected locations in accordance wt h controlled distribution lists. Changes to controlled documents are reviewed j and approved by the same organization which performed the original review and approval, unless otherwise specified in the implementing
, procedures. Measures are provided for controlling documents to ]
preclude the possibility of the use of outdated documents. J l 6.2 IMPLEMENTATION J 6.2.1 Responsibility NUSCO/NUPOC Procedures and Instructions delineate the l measures for controlling documents including direction for i the review for adequacy, approval by authoriz'ed personnel, distribution of controlled documents and verification that changes are promptly incorporated and implemented. These control measures apply to documents affecting quality l systema, structures and components during design, construc-tion, preoperational testing, operation and major modifi-cations thereto such as:
- a. Design Specifications; I
- b. Design, Manufacturing, Construction and Installation Drawings; j c. As-Built Documents.
l
- d. Quality Assurance Program Manuals, Procedures and Instructions;
- e. Manufacturing, Inspection and Testing Instructions;
- f. Test Procedures;
) QAP 6.0 Rev.: 9 4 Date: Page 1 of 4
.: o I
- g. Preliminary Safety Analysis Report; 4
- h. Facility Description and Safety Analysis; .
I j i. Final Safety Analysis Report; ' } { j. Procurement documents;
- 1
- k. . Design Change requests; {
- l. Topical Report;
) 1
- m. Nonconformance Reports; l n. Computer Codes.
i NUSCO/NUPOC Procedures describe the measures taken by
; NUSC0/NUPOC Quality Assurance or individuals other than j the person who generated the document but qualified in i quality assurance, for the control of documents to assure j review and concurrence, as necessary, for such documents j listed above with regards to Quality Assurance-related j aspects. t I
I
- The requirements for control of procurement documents are contained in QAP 4.0. During all phases of plant life, it is the responsi*uility of each organization issuing con-i trolled documents to employ document control procedures, j The issuing organization is additionally responsible for
- distribution of the documents to appropriate locations, j There shall be provisions to assure that approved changes are included in instructions, procedures, drawings and other documents prior to implementation of the changes.
During the design and construction phase, the engineer- { constructor, contractors, suppliers and engineering l service organizations are responsible for implementing j measures for review, approval, control and distribution of
; controlled documents, to ensure they are effectively l complying with the requirements for document control.
l NUSCO/NUPOC Quality Assurance performs periodic on-site j and off-site audits /surveillances/ inspections /in process verifications of the engineer-constructor, contractors, l suppliers and engineering services organizations to verify compliance with their approved quality assurance programs. 6.2.2 Distribution of Controlled Documents i NUSCO/NUPOC Procedures, specify in what manner controlled j documents and revisions thereof, are distributed to j appropriate locations, prior to commencing the work. 4 ) QAP 6.0 Rev.: 9 , j Date: j Page 2 of 4 _ _ _ - . _ _ _ . - _ _ , _ . ~ _ . _ _ _ _ . _ _ . _ _ . . . , _ _ . _ . _ . . , _ . _ . - _ - . - . , _ _ . . - . , _
t Holders of controlled copies of documents complete acknow-ledgement of receipt forms and return them to the distri-butor in order to assure that obsolete or superseded documents are removed from the work areas in a traely l manner. NUSCO/NUPOC Quality Assurance perform periodic j on-site and off-site Audits /Surveillances/ Inspections / l In-Process Verifications to verify compliance with the 4 requirements of procedures for document control. 6.2.3 Drawing Control s The NU Generation Facilities Records Organization is l responsible to implement a program, as per approved
! procedures, for the retention and retrieval of' drawings and records submitted by the cognizant NUSCO/NUPOC project personnel. The NU Generation Facilities Records Organi-zation maintains a drawing status file for in-service units which includes drawings newly issued or revised with q latest revision and current status.
The' engineer-constructor, contractors, suppliers and engineering service organizations utilized by NUSC0/NUPOC during the design, construction and major modification to nuclear power plants may be delegated the function of drawing control and must furnish periodic status reports listing the revisions of applicable drawings which they issue. NUSCO/NUPOC Quality Assurance performs on-site and off-site audits /surveillances/ inspections /in process verifications l of suppliers to verify they are effectively complying with t their programs for document control of drawings. 1 If the engineer-constructor, contractor or supplier is not delegated the function of drawing control, the Project l l Engineer is responsible for the distribution of drawings to appropriate NUSCO/NUPOC personnel in accordance with l controlled distribution lists. 6.2.4 Instruction and Procedure Control During the design and construction phase, the engineer-constructor, contractors, suppliers and engineering i service organizations are responsible for control of j quality procedures and instructions issued by them. l NUSCO/NUPOC Quality Assurance performs on-site and off-site i audits /surveillances/ inspections /in process verifications l of the engineer-constructor, contractors, suppliers and l engineering service organizations quality assurance programs to ensure they are effectively complying with l their program for control of procedures and instructions. j QAP 6.0 Rev.: 9 4 Dater ] Page 3 of 4 t
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J The originating department is responsible for establishing l adequate control over quality procedures and instructions issued by them. The responsible organization also issues status reports or revised indices listing the latest revision of applicable controlled documents issued by them, i 9 I i 5 i
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1 I 1 l i i l l l QAP 6.0 Rev.: 9 Date: Page 4 of 4
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! i l 7.0 CONTROL OF PURCHASED MATERIAL, EQUIPMENT AND SERVICES l
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7.1 GENERAL REQUIREMENTS l } Measures for the control of procured material, equipment, parts and services by or- for NU related to the safety of nuclear power plants ) are established and imposed by the NUQAP during design, et,nstruction, preoperational testing, operation, maintenance and major modification, j to ensure conformance to procurement documents. These measures ! include provisions for source evaluation and selection, submission i j of objective evidence by the contractor or sub-contractor, inspection
! at the supplier source and examination of items upon delivery.
l Control of quality by contractors and sub-contractors is assessed j for effectiveness at intervals consistent with the importance, l i complexity and quantity of the product or service. , 7.2 IMPLEMENTATION I The word supplier is used in this section to designate what is j otherwise described as the engineer-constructor, contractor, supplier j or engineering service organization. l The evaluation and selection of suppliers is performed in accordance 4 with procedures, which specify that procurement source evaluation and selection measures are performed to determine supplier capabil-
- ity and delineate responsibilities of qualified personnel involved j in the evaluation and selection process.
4 7.2.1 NUSCO Quality Assurance utilizes one or more of the following methods in evaluating the qualifications of a j potential supplier: I
- a. Coordinated review of a potential supplier utilizing one or more departments (i.e., Engineering, Construc-l tion, Operations and/or Purchasing);
i
- b. Engineer-constructor /other utility supplier evalua-
} tions; i
- c. Coordinating Agency for Supplier Evaluation (CASE) evaluations.
- d. ASME N, NA, NPT, or NV Certificate of Authorization. l l l
j Evaluations ensure that NU suppliers employ a quality
- assurance program that conforms to applicable portions of the NUQAP Topical Report. NUSCO Quality Assurance maintains i '
documented evidence of the evaluation and acceptance of i the supplier's quality assurance program. The determination i j 1 l QAP 7.0
- l. Rev.: 9
- . Date
} Page 1 of 4 I
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of supplier approval is based on such factors as prior performance, historical quality performance data, source surveys or audits and evaluations of the supplier,'s quality assurance program. Suppliers Certificates of Conformance are periodically evaluated by audits, independent inspections and tests, to assure they are valid. 'This verification of Certificates of Conformance is documented. 7.2.2 Source Inspection NUSCO Quality Assurance is responsible for the performance of source inspections at suppliers facilities to ensure that the requirements of a Purchase Order / Contract have been met. Surveillances of suppliers are performed in accordance ; j with written procedures which provide for: 1
- a. The method of surveillance and the extent of docu-mentation required and those responsible for imple- l menting those instructions; '
j b. Surveillances of those items where verifications of procurement requirements cannot be determined upon receipt. 7.2.3 Receipt Inspection If the supplier is not delegated the function of receipt inspection for procured items, it is performed under the direction of NUSCO Construction Quality Control /NUPOC ,' Quality Assurance in accordance with quality procedures which delineate requirements and responsibilities necessary i to perform inspection functions. Contractual obligation fulfillment and quality assurance requirements are veri-
; fied during receipt inspe :tions.
I Receiving inspection of : applier-furnished material, equipment, and services is performed to assure that material, components, equipment and acceptance records are inspected and judged acceptable in accordance with prede-
. termined inspection instructions prior to installation or use. Receipt inspections include, as appropriate:
- a. Nessures for verifying that the shipment is complete, properly identified, undamaged and corresponds with the receiving documentation; 1
QAP 7.0 Rev.: 9 Date: Page 2 of 4
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- b. Measures for inspection of the item and review of supporting documentation (e.g., mill test reports, NDE reports) as required by the purchase documents;
- c. ,Hessures for inspection and acceptance of items to inspection instructions;
- d. Measures for identifying and controlling acceptable items including identification of inspection status prior to release from the receiving inspection area;
- e. Measures for identifying, segregating and handling nonconforming items; i
- f. Measures to ascertain that inspection records or certificates of conformance are available prior to release to construction / plant for installation.
7.2.4 Supplier Furnished Records Records required to be furnished by the supplier are specified in the procurement document. Certifications or documentation verifying conformance, provided by the supplier, identify that all the specific procurement requirements have been met (either by reference to the purchase order or by delineation). The supplier must furnish the following records as a minimum:
- a. Documentation that identifies the purchased material or equipment and the specific procurement require-ments, (e.g., codes, standards and specifications) met by the items;
- b. Documentation that identifies any procurement requirements which have not been set, together with a q description of those nonconformances dispositioned
" accept as is" or " repair". .
The responsible NUSC0/NUPOC QA/QC personnel shall review for m acceptability these documents which pertain to the requirements in the procurement document, in accordance , with the NUQAP Topical Report and its applicable procedures. 7.2.5 NUSC0/NUPOC Procedures address the measures taken to assure that for nonengineered "off-the-shelf" items, where specific quality assurance controls for nuclear applications cannot be imposed in a practicable manner, special verification requirements are established and described.
- QAP 7.0 Rev.: 9 Date:
Page 3 of 4 f k
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These measures follow the guidance in Regulatory Guide 1.144,. paragraph C.3.b(1) and Regulatory Guide 1.123 and applicable paragraphs of Section 10 of ANSI N45.2.13. These, measures include appropriate requirements for special categorization and identification within the procurement document, receiving inspection, and additional controls during the installation and testing process to be performed by applicable NUSCO/NUPOC Quality Assurance organizations.
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l 4 l l l QAP 7.0 ' Rev.: 9 Date: Page 4 of 4
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- 8.0 IDENTIFICATION AND CONTROL OF MATERIALS, PARTS AND COMPONENTS 1
8.1 GENERAL REQUIREMENTS \ l NUSCO/NUPOC organizations assure that the identification of l inspections, tests, and operating status of structures, systems, and components is known by affected organizations. The NUQAP provides measures for the identification and control of material, parts and components, including partially fabricated l assemblies, during design, construction, preoperational testing, operation, maintenance and major modifications thereto. To ensure l that each item can be traced to associated documentation, the identification of the item is maintained by heat number, lot number, part number, serial number, or other appropriate methods, and is physically marked on the item and/or on records traceable to the ites. Documentation associated with material, equipment, and components verify that these items have been designed, fabricated, manufactured, tested, and inspected in accordance with specified requirements. The object of these controls is to prevent the use of incorrect or defective material, parts and components, in accordance with 10 CFR 50, Appendix B. 8.2 IMPLEMENTATION NUSCO/NUPOC Procedures establish the responsibilities and require-ments for the identification and control of materials, parts and components. The procedures assure that identification and control is maintained throughout fabrication, receipt, handling, storage and installation of items. Provisions include:
- a. Requirements for traceability to appropriate documentation such as: procurement documents, manufacturing documents, drawings, specifications, certifications, inspection and test records, and nonconformance reports, b.
Controls to assure that the correct identification of an item is verified and documented prior to release for fabrication, assembly, shipping or installation.
- c. Requirements which assure that the method or location of markings do not affect the function or quality of an ites.
- d. Establishment of identification requirements in specifications, drawings, procurement documents, procedures or instructions.
During the design, construction, preoperational testing, operation, maintenance or modifications to nuclear power plants, NUSC0/NUFOC may delegate any portion of the implementation of the identification and control program to the engineer-constructor, contractors, QAP 8.0 Rev.: 9 Date: Page 1 of 2
suppliers and engineering service organizations, as appropriate. If delegated, contracts require that the contractor establish an , identification and control program which meets the NUQAP Topical l Report requirements. In this case NUSCO/NUPOC Quality Assurance l performs on-site and off-site audits /surveillances/ inspections
/in process verifications of the engineer-constructor, contractors, l suppliers, engineering service organizations quality assurance program to ensure they are effectively complying with their require-e ments for identification and control of material, equipment and components.
Receipt inspections are performed to verify that material, equipment l and components are properly identified in accordance with procurement requirements. NUPOC Quality Assurance /NUSCO Construction Quality Control is responsible for assigning and applying permanent identi-fication to the items in accordance with approved procedures. If the application of a serial number is not practical, other means of identification are implemented to assure proper identification and traceability. In the event that the equipment, material or components are noncon-forming or the identification becomes lost or illegible, the items are considered nonconforming and are identified and controlled in accordance with QAP 15.0. l l QAP 8.0 Rev.: 9
.Date:
Page 2 of 2
I i 9.0 CONTROL OF SPECIAL PROCESSES ; i 9.1 GENERAL REQUIREMENTS The NUQAP provides measures to assure control of special processes associated with quality systems, structures and components by the use of qualified, approved procedures, equipment and personnel l during design, construction, preoperational testing, operation, maintenance and major modifications to nuclear power plants. Special processes are performed under controlled conditions in accordance with special requirements and may include, but are not [ y limited to: welding, cleaning, heat treating, and nondestructive examination and/or testing. l 9.2 IMPLEMENTATION i During design and construction of nuclear power plants the NUSCO Project Engineer is responsible for ensuring that special process l data and documentation is reviewed, and that contractors and/or engineering service orgacization's special process procedures utilized at nuclear power plants are qualified and approved, and that personnel and equipment utilizing special processes are properly qualified. ! NUPOC special process procedures utilized during preoperational j testing, operation, maintenance, modification and refueling of the i in-service nuclear power plant are prepared, reviewed and approved in accordance with procedures as specified in QAP 5.0. . During the design, construction, preoperational testing and opera-
; tion phase of nuclear power plants the responsibility for control of special processes, when applicable, is delegated to the engineer-1 constructor, contractors, suppliers and engineering service organi-l zations utilizing special process procedures which are approved.
Personnel and equipment' involved in special process procedures are qualified prior to the start of work. NUSCO/NUPOC Quality Assurance personnel perform on-site and off-site audits /surveillances/ inspec-tions/in-process verifications to ensure the engineer-constructor, l contractors, suppliers, and engineering service organizations are ' effectively complying with their quality assurance program require-ments for control of special processes. I i 9.2.1 Procedure Qualification and Control l 4 ! NUSCO/NUPOC Procedures specify that written process control documents are utilized and qualified, as required, in accordance with applicable specifications, codes or standards. 4 i QAP 9.0 Rev.: 9 Date: Page 1 of 3 i
s
- 9.2.2 Personnel Qualification and Certification Coden, standards and NUSCO/NUPOC procedures specify personnel qualification / certification requirements.
Personnel responsible for the performance and verification of special processes are trained, tested, and certified as required by applicable specifications, codes and stand-
, ards. Requirements for the period of certification, retesting, and recertification of personnel are also specified. Contractors qualify personnel and maintain records of qualified personnel in accordance with applic-able codes, standards, specifications, and contract or procurement document requirements.
The NUSCO Manager, Quality Assurance is responsible for the training, testing, and certification of all NUSCO/ NUPOC NDE personnel in accordance with the requirements of Regulatory Guide 1.58 (Rev. 1, 9/80) and ASNT Recommended Practice No. SNT-TC-1A. l During construction, NUSCO Director / Generation Construction, l and Manager-NUSCO Construction Quality Control are respon-sible for the review of records of qualified personnel, equipment and procedures associated with special processes. During preoperational testing and operation of nuclear power plants, the NUPOC Quality Assurance Supervisor is responsible for the review of these records. 9.2.3 Special Process Records Records provide objective evidence that special processes were performed in accordance with approved procedures, by qualified personnel, and that when required by procedures, specifications, and codes, such performance was verified. Results of nondestructive examinations are recorded in accordance with applicable specifications, codes and standards. These records are retained by the supplier or supplied to NUSCO/NUPOC as required by contract or purchase orders. If records are to be retained by the supplier, the contract or purchase order specifies the retention period and instructions for final disposition of records. During construction, NUSCO Director / Generation Construction, l and Manager-NUSCO Construction Quality Control are respon-sible for the review of documents for acceptance, and for assuring that documents for special processes utilized during construction are reviewed and accepted. During preoperational testing and operation, the NUPOC Quality Assurance Supervisor is responsible for the review for completeness of data and documentation associated with the performance of special processes. QAP 9.0
- Rev.: 9 Date:
Page 2 of 3
e l l 1 l Special process documentation such as: special process procedures, qualifying data, and personnnel and equipment qualification records associated with the perfocmance of special processes at nuclear power plants, are kept current and maintained in appropriate NUSCO/NUPOC files, with final disposition to the appropriate NU Nuclear Plant Records Facility.
/
l QAP 9.0 Rev.: 9 Date: Page 3 of 3
10.0 INSPECTION 10.1 GENERAL REQUIREMENTS Inspection of activities to verify the quality of systems, structures l and components, which are performed by or for Northeast Utilities (NU), are executed in accordance with the Quality Assurance Program (NUQAP) and appropriate procedures, instructions and drawings by qualified personnel independent from the individual or group performing the activity being inspected. If inspection is impossible or disadvantageous, indirect controls by monitoring processing methods, equipment and personnel are provided. Inspection notification and hold points are identified, as required, in the applicable documents. 10.2 IMPLEMENTATION 10.2.1 Inspection Responsibilities During the construction phase, NUSCO/NUPOC Quality Assur-ance performs audits /surveillances/ inspections /in process l verifications to verify that the engineer-constructor, contractors, suppliers and engineering service organizations are effectively complying with their quality assurance program requirements for inspection. NUSCO/NUPOC Quality Assurance also observes the performance of selected inspections on-site and at contractors, suppliers and engineering service organizations facilities, associated with or specified as " hold" or " notification" points in procurement documents. In all cases audit / surveillance / inspection /in process verifications activities are performed l as specified in written quality assurance procedures. During the preoperational testing and the operations phase, qualified NUSCO/NUPOC Quality Assurance personnel shall review procedures for maintenance, modification, and inspection in order to determine the need for:
- a. Inspections (e.g., receipt inspections, installation, system turnover, and product acceptance);
- b. Identification of inspection personnel; I
- c. Documentation of inspection results. 1 The review also ensures that the necessary inspection requirements, methods, and acceptance criteria have been identified.
NUSCO/NUPOC Quality Assurance performs audits / surveil-lances / inspections /in-process verifications to verify that i QAP 10.0 ' Rev.: 9 l Date: Page 1 of 4
contractors, suppliers, and engineering service organiza- ; tions are effectively complying with their quality assurance i program requirements for inspection and for performing / , witnessing inspections at " hold" or " notification" points 1 identified in NUSCO/NUPOC procurement documents. All l audit / surveillance / inspection /in process verification I activities are performed under requirements specified in
, written quality assurance procedures.
10.2.2 Inspection Plans and Schedules Documented inspection plans may be either a separate document or an integral part of work instruction docu-ments. The plans are based on design specifications, procurement documents, drawings, other specifications, or previous experience, as appropriate. Inspections are scheduled to assure that sufficient time and resources are available, and to assure inspections are not inadvertently omitted or bypassed. D'tring NUSCO-directed activities of nuclear plants, NUSCO l Procedures provide criteria for the determination of accuracy requirements of inspection equipment and when inspections are required. These procedures describe t requirements for the preparation of inspection plans and schedules by NUSCO Construction Quality Control. NUSCO Procedures also describe requirements for a,udits and surveillances performed by the NUSCO Operations Quality l Assurance Section to assure the implementation of the inspection pl,ans and schedules. During the operation's phase of nuclear plants, inspection l activities are performed in accordance with NUPOC Procedures, j NUPOC Quality Assurance participates in inspection activities by the review of work procedures and the preparation and approval of inspection plans. The inspection criteria, including the use of inspection equipment and their accuracy requirements, are specified in the Job Packages / Inspection Plans. 10.2.3 Inspection Personnel and Inspection Document Access
- a. Inspections are performed by individuals other than
' those who performed or directly supervised the activity being inspected. Inspection personnel are qualified and/or certified in accordance with appro-priate codes, standards, and/or NU training programs;
- b. Inspections are performed by NUSCO/NUPOC Quality Assurance / Quality Control personnel or by qualified QAP 10.0 l
Rev.: 9 Date: Page 2 of 4
. s
- NUPOC plant personnel / contracted personnel, who are independent from undue pressure such as cost and l schedule. When NUPOC plant personnel / contracted !
personnel perform inspections, their inspection. , plans / procedures and personnel qualification criteria 1 are reviewed and found acceptable by the Quality < Assurance organization prior to the initiation of the ) activity.
- c. Access to drawings, procedures, specifications or other documented criteria necessary for the perform- i ancelof inspections is provided prior to performing 2
the inspection activity. 10.2.4 Inspection Procedures
- a. Required inspections, surveillance, or monitoring activities are performed and documented according to written, approved procedures and/or checklists.
Inspection procedures, plans or checklists contain , the following: (1) Identification of characteristics to be inspec-ted; (2) Identification of the individual or groups responsible for performing the inspection; (3) Requirements for the necessary measuring and j test equipment and the required accuracy of tais equipment. 1 (4) Acceptance criteria; (5) A description of the method of inspection; (6) A record of the results of the inspection; , (7) Record of inspector or data recorder. ;
- b. Written approved procedures specify surveillance or monitoring of processing methods, or testing and operation of equipment when inspection is impossible,
, inaccessible or not applicable.
- c. Modification, repair, replacement or rework items are inspected in accordance with original inspection requirements or approved alternatives.
- d. During the preoperational testing and the operations phase, inspection procedures are reviewed by Quality QAP 10.0 Rev.: 9
- -Date
Page 3 of 4
l Assurance personnel to determine the need for: 1) an independent inspection, 2) the degree and method of the inspection, if such an inspection is required, 3) the identification of inspection personnel, and 4) the documentation of inspection results (for proce-dure review requirements, see QAP 5.0).
, 10.2.5 Mandatory Hold and Notification Points Mandatory held points are utilized when an inspection /
operation must be performed or witnessed and signed-off by the responsible personnel before work can proceed. Noti-fication points are used to identify the operations or completed processes that NUSCO/NUPOC or its representa-tives may elect to witness and/or inspect during the manu-4 facturing, construction, installation process. Mandatory 4 hold and notification points, as required, are identified l in procurement documents and procedures. These documents are subject to the review and concurrence of NUSCO/NUPOC Quality Assurance for adequacy of. inspection, notification and/or mandatory hold controls. 10.2.6 Inspection Result Evaluation Inspection results are evaluated for-acceptability in accordance with approved NUSC0/NUPOC Procedures which identify the responsible organization. These evaluations are performed by the responsible NUSC0/- 1 NUPOC personnel who are qualified in accordance with the appropriate Regulatory Guide / ANSI Standard commitments
' listed in Appendix D.
NUSCO Quality _ Assurance performs audits to assure that inspections are performed per the requirements of applicable NUSC0/NUPOC Procedures. 1 QAP 10.0 Rev.: 9 Date: Page 4'of 4
11.0 TEST CONTROL 11.1 GENERAL REQUIREMENTS i A documented test control program is established by the NUQAP for systems, structures and components to ensure that they will perform l satisfactorily in service and that test results are documented in accordance with 10 CFR 50, Appendix B and other pertinent regulatory and/or technical requirements. The test control program identifies the systems, structures and components to be tested, method of conducting tests, evaluation of tests and documentation of tests by qualified personnel to assure requirements have been satisfied. The test control program is systematic and includes proof test prior to installation, construction tests, preoperational tests, surveil-lance tests, start-up tests and retest following repairs, replace-ment or modification. 11.2 IMPLEMENTATION 11.2.1 Test Program Test requirements to determine or to verify the capability of an item to meet specified requirements in accordance with engineering / design documents, Safety Analysis Reports (SAR), technical specifications, procedures or procurement documents, as appropriate, are accomplished by subjecting the item to a set of physical, chemical, environmental or operating conditions. Retest following repairs, replace-ment or modification is performed in accordance with the original design requirements or acceptable alternatives and is performed when original test results are invali-dated. NUSCO/NUPOC procedures are written and approved to delineate the methods and responsibilities for controlling, accomplishing and documenting testing during the construc-I tion, preoperational testing, maintenance, operation and modification of nuclear power plants. During design, construction, preoperational testing, operation, maintenance and modification to nuclear power i plants the engineer-constructor, contractors, suppliers and engineering service organizations, as appropriate, are responsible for imple menting measures for the control of tests to ensure that material, equipment and parts will l perform satisfactorily. NUSCO/NUPOC Quality Assurance performs on-site and off-site audits /surveillances/ QAP 11.0 Rev.: 9 Date: Page 1 of 3
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l inspections /in-process verifications of selected proof l tests when " notification" points have been identified in Purchase Order / Contracts of the engineer-constructor, contractors, suppliers and engineering service organi-i zations to verify they are complying with their quality assurance program requirements for test control. Documentation associated with these observations are maintained by NUSCO/NUPOC Quality Assurance. Proof tests, product acceptance tests, retest, and periodic l surveillance tests are conducted by qualified personnel in accordance with approved procedures. Personnel performing tests ensure that calibrated equipment and instrumentation utilized are within the calibration interval specified. Documentation including-test procedures and approved data sheets are maintained in appropriate files. i 11.2.2 Test Pr*cedure Preparation and Test Performance Testing is accomplished in accordance with approved test procedures which incorporate or reference the requirements and acceptance criteria in the applicable design and procurement documents. The test procedure or test program documents include the following as a minimum:
- a. Instructions for the testing method used;
- b. Required test equipment and instrumentation;
- c. Test requirements, such as acceptance and rejection
, criteria;
/
- d. Hold, notification, inspection and data collection points;
- e. Test prerequisites such as: calibrated instrumenta-tion; trained, qualified, and licensed or certified personnel; preparation, condition and completeness of item to be tested; suitable and controlled environ-mental conditions;
- f. Methods for documenting or recording. test data and results;
- g. Provisions for data collection and storage.
11.2.3 Test Equipment . During NUSCO-directed activities of nuclear plants, 1 NUSCO/NUPOC Procedures provide the criteria for determining QAP 11.0 Rev.: 9 Date: Page 2 of 3
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. i i-l when a test is required and the accuracy requirements of test equipment.
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During the operations phase of a nuclear plant, the 1 l following steps are taken: i
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- a. To ensure accuracy, test instrumentation is checked I and calibrated in accordance with NUSCO/NUPOC procedures.
- b. Plant instrumentation used in testing is calibrated.
i It is maintained in calibration at regular intervals in accordance with established surveillance and/or preventative maintenance procedures.
- c. Where special instrumentation is required for testing,
, the requirements are stated in the procedures. Instrument characteristics, including accuracy 4 requirements, are equivalent to or better than those specified by the vendor. 11.2.4 Evaluation of Test Results The documented test results are evaluated against the predetermined acceptance criteria by an individual or group having appropriate qualifications. The acceptance status of the test is documented. Deficiencies noted during the evaluation are documented and~dispositioned in accordance with approved procedures. The evaluation of test results may also be delegated to other organizations. The evaluating organization is required to assure the use of qualificd personnel, eval-uste the data against predetermined criteria and document the results of the evaluation and acceptance status of the test. NUSCO Quality Assurance performs audits / surveil-lances / inspections /in process verifications to verify that j these organizations are effectively complying with their quality assurance program requirements for test control. l l l l l
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l l QAP 11.0 l Rev.: 9 Date: Page.3 of 3
12.0 CONTROL OF MEASURING AND TEST EQUIPMENT , 12.1 GENERAL REQUIREMENTS , The NUQAP provides measures for the control of measuring and testing equipment (M&TE) used as the basis for acceptance in activities affecting quality during inspection, testing and measurement of l material, equipment and parts. Periodic calibration and adjustment e of measuring and test equipment is performed and controlled to assure accuracy is maintained within limits necessary to verify that design and operating condition requirements have been met. Documen-tation is retained such that all items of M&TE are traceable to their calibration records. 12.2 IMPLEMENTATION 12.2.1 Approved procedures delineate the methods and respon- l sibilities for the control, maintenance and calibration of M&TE, (including portable and installed instruments, tools, gages, fixtures, reference and transfer standards, and nondestructive test equipment). All documentation associated with M&TE is maintained in appropriate files, with eventual incorporation into the NU Nuclear Records Organization. During NUSCO-directed activities of a nuclear plant, the i NUSCO calibration program is implemented in accordance with the requirements defined in NUSCO Procedures. NUSCO Generation Construction Group is responsible for implementing l these procedures which comply with the requirements contained in specifications and drawings. NUSCO Construction Quality Control is responsible for verifying that receipt of calibrated equipment is in conformance with the require-ments of procurement documents, and to control calibrated M&TE used during their inspections. During NUPOC-directed activities, the calibration program I is implemented in accordance with the requirements defined in NUPOC Procedures. The Site / Plant Operations Review Committee (SORC/PORC) reviews and approves procedures related to the calibration program. Department heads are , responsible to ensure that M&TE equipment is calibrated, issued, and controlled in accordance with the requirements of the procedures. Departa.nt Heads are responsible for calibrating M&TE within the required frequency and for reviewing calibration data associated with M&TE calibration by outside vendors in accordance with the procedures. QAP 12.0 Rev.: 9 Date: Page 1 of 3
i l NUSC0/NUPOC Quality Assurance performs audits / surveil-l lances / inspections /in-process verifications to verify l implementation of the calibration programs. , The engineer-constructor, contractors, suppliers and 1 i engineering service organizations utilized by NUSC0/NUPOC during the design, construction, operation, maintenance and modification of nuclear power plants, as appropriate, l are responsible for implementing measures for the control of M&TE to ensure they are properly calibrated, adjusted and maintained at specified intervals in order to maintain accuracy within required limits. NUSCO/NUPOC Quality Assurance performs on-site and off-site audits /surveillan-ces/ inspections /in process verifications of the quality l assurance programs of the engineer-constructor, contractors, suppliers and engineering service organizations to verify they are effectively complying with their requirements for control of M&TE. , 12.2.2 Calibration Standards Measuring and test equipment is calibrated at specified intervals based on the required accuracy, purpose, degree of usage, stability characteristics, and other conditions affecting the measurement. Measuring and test equipment shall be labeled or tagged to indicate the date calibrated and next calibration date. NUSC0/NUPOC Procedures describe the measures taken to assure that reference and transfer standards are traceable to nationally recognized standards and that, where national standards do not exist, provisions are established to document the basis for calibration. Calibration of this equipment should be against standards that have an accuracy of at least four times the required accuracy of the equipment being calibrated. When this is not possible, the standards shall have an accuracy that i assures tne equipment being calibrated will be within I required tolerance and the basis of acceptance is documented and authorized by the Director / Generation Construction l (for NUSCO-directed activities) or the SORC/PORC (for NUPOC-directed activities). In addition, the calibrating standards shall have greater accuracy than secondary standards being calibrated. Calibrating standards with the same accuracy may be used if they can be shown to be adequate for the requirements and the basis of acceptance is documented and authorized by the Director / Generation l Construction or PORC/SORC. QAP 12.0 Rev.: 9 Date: Page 2 of 3
l l Implementing procedures describe the measures utilized in order to maintain the proficiency of the measuring and test equipment. 12.2.3 "Out of Tolerance" Control M&TE and reference standards, when found out of tolerance are so identified and removed from service. A review is conducted to determine the validity of previous inspection or test results gained through use of the instrument, and of the acceptability of items previously measured or tested. QAP 12.0 Rev.: 9 Date: Page 3 of 3
13.0 HANDLING, STORAGE AND SHIPPING , 13.1 GENERAL REQUIREMENTS Measures.are established by the NUQAP using approved procedures, , instructions and procurement documents to ensure proper handling, storage, shipping, cleaning and preservation of material, equipment l and parts. These measures are imposed during the design, procurement, construction, preoperational testing _and operation of nuclear power plants and major modifications thereto, in order to preclude damage, loss or deterioration of material, equipment and parts. 13.2 IMPLEMENTATION 13.2.1 General Procedures, instructions and procurement documents define the requirements and responsibilities for the handling, storage, shipment, cleaning and preservation of material, l equipment and parts, and required implementation of established design and specification requirements. During design and construction the responsibilities associated with handling, storage, shipment, cleaning and i preservation of material, equipment and parts may be 'l delegated to the engineer-constructor, contractors, suppliers and engineering-service organizations. These i organizations are monitored through audits / surveil-lances / inspections /in process verifications by NUSCO/NUPOC l 4 Quality Assurance to verify compliance with their quality assurance program requirements for handling, shipping, cleaning and preservation. Handling, storage, cleaning and preservation requirements of material, equipment and parts is conducted in accor-dance with written procedures and procurement documents during the preoperational testing and the in-service phase nuclear power plants. The Nuclear Plant Operating Compan-ies may utilize contractors, suppliers, and engineering service organizations during the operation, maintenance and modification of the in-service nuclear power plant. These organizations are responsible for implementing measures for handling, storage, shipping, cleaning and preserving material, equipment and parts to preclude l damage, loss or deterioration. NUSCO/NUPOC Quality Assurance performs audits /surveillances/ inspections / l in process verifications to verify that NUPOC, contractors, suppliers and engineering service organizations are effectively implementing and complying with their approved procedures and instructions for handling, storage, shipping, QAP 13.0 Rev.: 9 Date: Page 1 of 2 l l .
cleaning and preservation of material, equipment and l parts. 13.2.2 Establishment of Special Handling, Storage, Shipping, Cleaning and Preservation Requirements Special or additional handling, storage, shipping, clean-ing and preservation requirements are to be identified and implemented as specified in procurement documents and approved procedures. These established requirements are consistent with the regulatory positions of the NRC Regulatory Guides and their endorsed ANSI Standards, listed in Appendix D of the NUQAP Topical Report, or specifications and/or suppliers technical manual, and will be consistent with accepted industry standards. NUPOC Procedures describe the measures taken for the storage of chemicals, reagents (including control of shelf life), lubricants, and other consumable materials. I 1 i 1 QAP 13.0 Rev.: 9 l Date: Page 2 of 2
e 14.0 INSPECTION, TEST AND OPERATING STATUS 4 14.1 GENERAL REQUIREMENTS ~ The NUQAP provides measures for indication, by the use of marking such as stamps, tags, labels or other suitable means, the status of tests and inspections of material, equipment and parts throughout l design, construction, preoperational testing, operation, maintenance and modification of nuclear power plants,-to preclude the inadver-tent bypassing of inspection and test requirements. These. measures provide for the identification of items which have satisfactorily passed required inspections and tests. Measures are also estab-lished for indicating the operating status of systems, structures and components to prevent inadvertent operation. 1 14.2 IMPLEMENTATION i 14.2.1 General 1 i The engineer-constructor, NUSCO/NUPOC contractors, sup-pliers and engineering service organizations utilized by NUSCO/NUPOC during design, construction, preoperational
; testing, operation, maintenance and modification of nuclear power plants, as appropriate, are responsible for-implementing approved measures for the identification of inspection and test status of materials, equipment and I parts to preclude the bypassing of requirements. NUSCO/
NUPOC Quality Assurance performs on-site and off-site audits /surveillances/ inspections /in process verifications l of the engineer-constructor, contractors, suppliers and engineering service organizations to verify that they are effectively complying with their requirements for identi-fication of inspection and test status, in compliance with approved procedures and instructions. Elements of this system require that suppliers and cortractors have a controlled manufacturing and test operatica, in order to i preclude the inadvertent bypassing of process inspections or tests, and to provide a positive identification of component status throughout all phases of manufacturing, testing, and inspecting by means of tagging, routing cards, stamping, manufacturing or test reports, labeling or other appropriate methods. Where NUSC0/NUPOC performs receipt inspections at nuclear
, power plants, the NUPOC Quality Assurance Supervisor /NUSCO 1 Manager-Construction Quality Control ensures that traceability i is maintained of acceptable material, equipment and parts, to indicate conformance to Purchase Order / Contract require-ments. Nonconforming material, equipment and parts are identified in accordance with QAP 15.J.
QAP 14.0 Rev.: 9 Date: Page 1 of 2
e During tests and inspections of operating nuclear power plants a status tagging system is implemented, as per approved procedures and instructions, to prevent-inadver-tent operations of systems, structures and components. l NUSCO/NUP0C Procedures describe the measures taken to control the altering of the sequence of required tests,
- inspections and other operations taken during Generation Construction / Operations. The review and approval for these actions is subject to the same control as taken during the original review and approval of tests, l inspections and other operations.
14.2.2 Status Identification and Control Procedures and instructions describe control of the application and removal of markings such as stamps, tags, labels and other suitable means to indicate the status of systems, structures and components to prevent inadvertent l operation, and to preclude omission of inspections, tests or other critical operations. These procedures and instructions delineate the requirements, methods and responsibilities for indicating the status of the affected items. The complete status of all items under the calibra-tion system is recorded and maintained. Records associated with status identification are main-tained in accordance with approved procedures. s i QAP 14.0 I Rev.: 9 Date: Page 2 of 2
e. l 15.0 NONCONFORMING MATERIALS, PARTS, COMPONENTS, OR SERVICES 15.1 General Requirements j The NUQAP requires that documentation and control of nonconforming material, parts, components, or services utilized in systems, l ' , structures and components during design, construction, preoperational testing, operation and maintenance of nuclear power plants and major modifications thereto, be performed in accordance with approved procedures in order to prevent inadvertent use or installation, j These procedures include appropriate requirements for identification, documentation, segregation and disposition of nonconforming items, and notification to affected organizations. In accordance with procedures, nonconforming material, parts, components, or services
- are reviewed and accepted, rejected, repaired or reworked.
15.2 Implementation 15.2.1 Program Approved procedures define the responsibilities and establish measures for identification, documentation, segregation, review and disposition of nonconforming materials, parts, components,-or services, and notification to affected organizations. Each NU de-partment is responsible for the identification, control and disposition of nonconformances within the scope of their departmental responsibilities. NUSCO/NUPOC Quality Assurance performs on-site and off- ) i site audits /surveillances/ inspections /in process i verifications of the engineer-constructor, contractors, suppliers and engineering service organizations to verify j these organizations are effectively complying with their quality assurance program requirements for documentation and control of nonconforming material, parts, components, or services. 15.2.2 Documenting and Controlling Nonconformances Nonconformances of systems, structures and components are l documented and reported as requiring corrective action. Approved procedures delineate controls required for further processing and installation of nonconforming items. These controls include:
- a. Physical identification of-the material, part, component, or services as nonconforming; QAP 15.0 Rev.: 9
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- b. Segregation of nonconforming items or services until properly dispositioned. .Where physical separation is not practical, suitable tags, markings and documentation are used to assure control.
15.2.3 Documentation - Documentation of nonconforming items requires identifi-cation of the items, description of the nonconformance, disposition of the nonconformance, inspection _ requirements 4 and signature approval of the disposition. A trend analysis of nonconformances is performed by NUSC0/QA in l accordance with approved procedures. The trend analysis results are periodically reported to the NUSCO Manager Quality Assurance and then to upper management, including j the Senior Vice President, Nuclear Engineering and Operations, for review and assessment.
- An engineering evaluation is performed, if necessary, prior to the resolution of nonconformances relating to i systems, structures and components.
l l t 15.2.4 Evaluation and Disposition , Evaluations are performed to determine the disposition of j nonconforming items and services. The evaluation determines ' whether an item or service is to be accepted as-is, returned to supplier, repaired, reworked, scrapped or salvaged. These evaluations assure that the final condition , does not adversely affect safety, operation or maintenance
- of the item or service, or of the component or system in
! which the item is installed or on which the service is performed. Applicable information is accumulated a'nd records are maintained. The engineer-constructor, contractors or NUSCO/NUPOC - i personnel are required to report to the NUSCO Director /
-Generation Construction, or the appropriate NUPOC Superintendent, as applicable, to obtain release of nonconforming ites or service prior to its installation or
, use. These release items are identified by a Noncon-j formance Tagging System which defines the description of the nonconformance and its nonconformance status. Nonconformance reports dispositioned " accept as is" or
" repair" are forwarded to the NUSCO Director / Generation Construction, NUSCO Project Engineer, or the appropriate NUPOC Superintendent, as applicable, and to NUSCO/NUPOC Quality Assurance for review and approval, and then made~
part of the materials receipt inspection records. In addition, the status of all materials, parts, or components .l I QAP 15.0
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- is maintained by a system of tags, which is administrative 1y controlled by the cognizant QA/QC Department.
During NUSCO-directed activities of a nuclear plant, NUSCO Generation Construction and NUSCO Construction Quality Control organizations are responsible for documenting the status of nonconforming, inoperative, or malfunctioning
; structures, systems, components, and services as described in NUSCO Procedures. During NUPOC-directed activities of a nuclear plant, the status of nonconforming, inoperative, or malfunctioning systems, structures components, and services is documented as necessary by NUPOC Quality Assurance / Quality Control and NUPOC Operations personnel j as described in applicable NUPOC Procedures.
The need to release nonconforming material, parts or
, components shall be based on such considerations as:
- a. Impact on plant safety;
- b. Safety of personnel;
- c. Suitability of material or items in the "as-is" condition, i.e., probability of eventual satisfactory resolution of the nonconformity without repair, rework or replacement;
- d. Accessibility of material or items after release;
- e. Cost of removal and repair or replacement should material or items eventually have to be removed, repaired, or replaced; l
- f. Effect on the orderly progress of work.
Items reworked or repaired in accordance with procedures i are verified by reinspecting the item as originally inspected or by a documented method which is equivalent to i 1 the original inspection method. l ?
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QAP 15.0 Rev.: 9 Date: Page 3 of.3 s
v 16.0 CORRECTIVE ACTION l 16.1 GENERAL REQUIREMENTS The NUQAP provides documented measures-for corrective action to ensure that nonconforming systems, structures and compinents are l l
, identified and promptly corrected. These measures shall include, as '
appropriate, procedures for identification, documentation, segrega-tion, disposition, notification to affected organizations and follow-up to prevent recurrence. Nonconforming items shall be reviewed and accepted, rejected, repaired or reworked in accordance t with approved procedures. When conditions, adverse to quality, are identified through trend analysis, measures are taken to ensure
- corrective action and to prevent recurrence of the problem.
16.2 DIPLEMENTATION 16.2.1 Corrective Action and Follow-Up Evaluation of conditions adverse to quality such as, j nonconformances, failures, malfunctions, deficiencies, deviations, and defective material and equipment is conducted to determine the need for corrective action in accordance with established procedures. NUSC0/NUPOC ' Procedures describe the measures taken to evaluate conditions adverse to quality, to detennine the need for corrective action, to document the evaluation, and to assure Quality Assurance concurrence with the adequacy of the corrective action. ' NUSC0/NUPOC Procedures also describe the measures taken to assure what follow-up action is taken by NUSCO/NUPOC Quality Assurance to verify
. proper implementation and close out of corrective action in a timely manner.
Procedures describe the measures taken by NUSCO/NUPOC 3 Quality Assurance to review and document concurrences with corrective action procedures established by applicable NUSCO/NUPOC departments. s During design, construction, preoperational testing and operation of nuclear power plants, the engineer-construc-tor, contractors, suppliers, engineering service organi-zations and their subtier contractors, (utilized by NUSCO/NUPOC), and NU personnel are responsible for inform-- ing the Senior Vice President Nuclear Engineering and l ,
, Operations, through their respective organizational chains '
! of command, of significant conditions which are adverse to 3 quality, the cause of the condition and the corrective , action taken. NUSCO/NUPOC Quality Assurance or NUSCO j Construction Quality Control, as appropriate, identifies QAP 16.0 Rev.: 9 Date: Page 1 of 3
3 deficiencies by audits /surveillances/ inspections /in process verifications of the engineer-constructor's, contractor's, supplier's and engineering service organization's quality assurance programs for corrective action. .A reaudit/ inspection / surveillance /in process verification to verify , implementation of corrective action and close-out of. l corrective action documentation shall be accomplished by i
, the original auditing organization.
NUSCO Quality Assurance performs audits to identify deficiencies in departmental corrective action programs. The appropriate NUSCO Department Director / Branch Manager / . Section supervisor or the appropriate NUPOC Superintendent, i is responsible to implement timely corrective action. NUSCO Quality Assurance may reaudit the affected department
' to verify corrective action has been implemented and documented.
\ I'fcorrective action is inadequate or not timely, the follow-up organization requests corrective action from management as delineated in procedures. 'The Senior Vice President - Nuclear Engineering and Operations has the . final authority in the event that agreement is not reached at lower levels. Where corrective action is required of contractor per-sonnel, NUSC0/NUPOC defines in procedures and contracts the corrective action interface between NUSC0/NUPOC and 4 the contractor. NUSC0/NUPOC requires the engineer-con-structor, contractor, suppliers and engineering service ! organizations, as appropriate, to have a documented corrective action program for materials and services. l 16.2.2 Recurrence Control 1 The organization which is responsible for the condition
; adverse to quality,-shall ensure that the corrective action will not only correct the immediate condition, but also prevent the adverse condition from recurring.
NUSCO/NUPOC procedures establish the responsibilities and } measures taken to identify trends of conditions, adverse 1 to quality, and to ensure that corrective action is taken i for those conditions to prevent their recurrence. A trend ! i analysis report; which identifies the conditions, adverse to quality; is issued to appropriate levels of NU management.
- O The NUSCO Manager, Quality Assurance is responsible for follow-up of the trend analysis items and their corrective action.
T } I, 4 QAP 16.0 Rev.: 9 Date: Page 2 of 3 r.____._.___. _ _ _ _ . _ . _ _ , - _ _ _ _ . . _ _ . , - , . . . . _ _ _ _ _ . _ . . . . .
I Trends concerning specific contractor's performance shall be reported to the affected contractor for resolution and corrective action to prevent recurrence of the problem. J 4 I i l l 4 i i I l
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- QAP 16.0 l
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e l 1 l 17.0 QUALITY ASSURANCE RECORDS 17.1 GENERAL REQUIREMENTS The NUQAP provides for the maintenance, identification, retention and retrieval of records to furnish evidence of activities affecting
, quality during design, construction, preoperational testing, operation, maintenance and modification of nuclear power plants. The records include but are not limited to: operating logs and the results of reviews, inspections, tests, audits, monitoring of work performance and material analyses. The records also include closely related data such as qualifications of personnel, procedures and equipment.
Inspection and test records contain as a minimum but are not limited to: identification of inspector or data recorder and the accepta-bility and the action taken in connection with any deficiencies, and Reportable Occurrences noted. Approved procedures establish requirements concerning record retention such as duration, location and assigned responsibility. 17.2 IMPLEMENTATION NUSCO/NUPOC Procedures and Instructions establish the responsibilities and requirements for the maintenance, identification, retention and retrievability of records pertaining to material, equipment, parts, processes or operations relating to systems,-structures and components which when founded on observations, measurements or tests can be fully verified, and documented by cognizant personnel. During design, construction, preoperational testing, operation, maintenance and modification of nuclear power plants the engineer-constructor, contractors, suppliers and engineering service organi-zations, as appropriate, utilized by NUSCO/NUPOC are responsible to 1 implement measures for identification, maintenance, retention, g retrieval and turnover, to the NUSCO Project Engineer / Cognizant l NUPOC personnel, of documented and approved records which contain objective evidence of quality, as specified in Purchase Order / Contracts. NUSCO/NUPOC Quality Assurance performs on-site and off-site audits /surveillances/ inspections /in process verifications l of the engineer-constructor, contractors, suppliers and engineering service organizations, as appropriate, tc verify they are effec-tively complying with their program for quality assurance records. NUSCO/NUPOC records are identified, controlled and maintained in l appropriate files and are identifiable to specific systems, structures and components within the nuclear power plant. When identification to a specific system, structure or component is not practical, records are filed by category; (e.g. specification, nonconformance reports, audits, etc). QAP 17.0 Rev.: 9 Date: Page 1 of 2
o 17.3 RETENTION NU Quality Assurance records are classified as life records or non-life records as delineated by Generation Facilities Records. Non-life records are those documents that are maintained for a { specific period of time .other than the life time of the in-service nuclear power plant or the particular component or part. Life ,
' records are those documents that are maintained for the lifetime of l the in-service nuclear power plant or for the life of the particular component or part. Life records are those which would be of signifi-cant value in meeting one or more of the following criteria:
- a. Demonstrating capability for safe operation;
- b. Maintaining, reworking, repairing, replacing or modifying the item;
- c. Determining the cause of an accident or malfunction of an item;
- d. Providing required base .line data for in-service inspec--
tion. Records are reviewed and approveo by the Project Engineer or other cognizant qualified personnel of NUSCO/NUP0C, engineer-constructor, l etc., as appropriate, and are transmitted to the appropriate Nuclear Plant Records Facility. The responsibility of the appropriate Nuclear Plant Records Facility.upon receipt of records, is to main-tain and provide controlled retrievability of records affecting nuclear power plants, in such a manner as to prevent destruction of records by fire, flood, theft, and environmental conditions, such as temperature or humidity, as delineated in procedures.
.i QAP 17.0 Rev.: 9 Date:
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- 18.0 AUDITS 18.1 GENERAL REQUIREMENTS The NUQAP requires that measures be provided to implement an effective audit program. These measures are applied during the design, construction, preoperational testing and operation of nuclear power plants and major modifications thereto, through the performance of audits. Audits are conducted in accordance with preestablished procedures and written checklists by qualified g personnel not having direct responsibilities in the areas being audited to ensure compliance with the NUQAP Topical Report. The results of audit findings are documented and then reviewed with management having responsibility in the area audited.
18.2 IMPLEMENTATION 18.2.1 Program The following audits relating to the NUQA? are performed:
- a. Engineering Assurance Audits (audits of corporate quality activities are completed within a period of two (2) years and are administered under the direction of the NUSCO Audit Program).
- b. NUSCO/NUPOC Engineer-Constructor, Contractor, Supplier, and Engineering Service Organization Audits; (as per procurement documents) c.
Plant Audits; (audits of the 18 criteria of Appendix l B 10CFR Part 50 are completed within a period of two (2) years and are administered under the direction of the NUSCO Audit Program) In addition, provisions are established to require that audits be performed of those activities where the require-ments of Appendix B to 10 CFR, Part 50, are being implemented, and associated with:
- a. The determination of site features which affect plant safety (e.g., core sampling, site and foundation preparation);
- b. The preparation, review, approval and control of early procurements;
- c. Indoctrination and training programs; QAP 18.0 Rev: 9 Date:
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- d. Interface control among the licensee and the principal contractors.
Measures are provided to perform audits of the following operations activities:
- a. Operation, maintenance, and modifications;
- b. The preparation, review, approval and control of design documents, specifications, procurement docu-ments and instructions, procedures and drawings;
- c. Receiving and plant inspections;
- d. Indoctrination and training programs;
- e. The implementation of operating and test procedures;
- f. Calibration of measuring and test equipment.
Audits are scheduled on the basis of the status and safety importance of the activities being performed. Schedules are originated and maintained by NUSCO Quality Assurance. Audits are performed as specified in procedures by qualified personnel using a preestablished written audit plan prepared by the auditing organization. Auditors evaluate work areas, activities, processes, items; review documents l and records to determine the effectiveness of implementation and conformance to the NUQAP. The engineer-constructor, contractors, suppliers and engineering service organizations utilized during the design, construction, preoperational testing and operation of nuclear power plants and major modifications thereto, are responsible for developing and implementing a system of planned and periodic audits to verify compliance with and the effectiveness of all aspects of their quality assurance programs including reporting and resolution of deficiencies. NUSCO/NUPOC Quality Assurance personnel-perform on-site and off-site audits /surveillances/inspec-tions/in process verifications to ensure these organizations are effectively complying with their quality assurance (equirements for audits. Departments within the NUSC0/NUPOC organizations are responsible for implementing their functions in accordance I with approved procedures and instructions. Internal audits are performed to verify implementation of the , requirements prescribed in'the NUQAP Topical Report and { I implementing departmental procedures. QAP 18.0 Rev: 9 Date: Page 2 of 3 5
18.2.2 Review of Audit Findings Audit results are documented, reviewed, and analyzed with management having responsibility in the area audited. The responsible management is required to take the necessary action to correct the deficiencies revealed by the audit.
, 18.2.3 Reporting of Audit Results Audit results are reviewed and approved by the Manager, Quality Assurance / Designee. He is responsible, based on the audit documentation, for issuing the audit reports to the appropriate management of the area audited and for ensuring that timely corrective action is taken to rectify deficiencies. In addition, audit data and reports are accumulated for the review and assessment of quality trends and the effectiveness of the Quality Assurance Program. This report is then submitted to the Senior Vice President, Nuclear Engineering and Operations.
18.2.4 Resolution of Audit Deficiencies Appropriate action to resolve deficiencies identified during audits is to be taken by the cognizant engineer-constructor, contractor, supplier, engineering service organization or internal management before the scheduled resolution date. Follow-up audits are performed as necessary, to verify appropriate actions have been taken to resolve deficiencies. Items which exceed the scheduled resolution date and cannot be resolved by affected management are submitted for resolution to the Senior Vice President l Nuclear Engineering and Operations. 18.2.5 Records / Reports of Audits Audit records, reports and associated documentation pertinent to audits are maintained in the appropriate NUSCO files with disposition to the appropriate Nuclear Plant Records Facility, as specified in procedures. { QAP 18.0 Rev: 9 Date: Page 3 of 3
APPENDIX A CATEGORY I SYSTEMS, STRUCTURES, AND COMPONENTS . The following systems, structures and components of a nuclear power plant, including their foundations and supports, are designated as Category I. The pertinent quality assurance requirements of Appendix B i
'to 10 CFR Part 50, should be applied, as a minimum, to all quality l I activities affecting the safety related function of these systems, structures and components as listed below and to other items and services '
specifically identified by NU in each FSAR/FDSA addressing Section 3.2.1 of NRC Regulatory Guide 1.70. (a) The reactor coolant pressure boundary. (b) The reactor core and reactor vessel internals. (c) Systems or portions of systems that are required for (1) emergency core cooling; (2) post-accident containment heat removal or; (3) post- , accident containment atmosphere cleanup (e.g., hydrogen removal system). (d) Systems or portions of systems that are required for (1) reactor shutdown; (2) residual heat removal or; (3) cooling the spent fuel storage pool. (e) Those portions of the steam systems of boiling water. reactors extending from the outermost containment isolation valve up to but not including the turbine stop valve, and connected piping of 2-1/2 inches or larger nominal pipe size up to and including the first valve that is either normally closed or capable of automatic closure
; during all modes of normal reactor operation.
(f) Those portions of the steam and feedwater sy, stems of pressurized water reactors extending from and including the secondary side of steam generators up to and including the outermost containment isolation valves, and connected p. ping of 2-1/2 inches or larger , nominal pipe size up to and including the first valve (including a i safety or relief valve) that is either normally closed or capable of automatic closure during all modes of normal reactor operation. (g) Cooling water, component cooling and auxiliary feedwater systems or portions of these systems including the intake structures, that are ! required for (1) emergency core cooling; (2) post-accident con- l tainment heat removal; (3) post-accident containment atmosphere ' cleanup; (4) residual heat removal from the reactor or; (5) cooling l the spent fuel storage pool. i 1 1 4 QAP - Appendix A Rev.: 9 Date: j Page 1 of 3 l
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(h) Cooling water and seal water systems or portions of these systems that are required for functioning of reactor coolant system com-ponents important to safety, such as reactor coolant pumpe. (i) Systems or portions of systems that are required to supply fuel for emergency equipment.
;(j) All electric and mechanical devices and circuitry between the process and the input terminals of the actuator systems involved in generating signals that initiate protective actuation of safeguard systems.
3 (k) Systems or portions of systems that are required for (1) monitoring of systems important to safety and; (2) actuation of systems impor-tant to safety. 4 -(1) The spent fuel storage pool structure, including the fuel racks. (m) The reactivity control system (e.g., control' rods, control rod drives, and boron injection system). (n) The control room, including its associated equipment and all equip-ment needed to maintain the control room within safe habitability limits for personnel and safe environmental limits for vital equip-ment. (o) Primary and secondary reactor containment. (p) Systems other than radioactive waste management systems not covered by items (a) through (o) above which contain or may contain radio-active materials and whose postulated failure would result in conservatively calculated potential offsite doses (using meteorology as prescribed by Regulatory Guides 1.3 and 1.4) which are more than 0.5 rem to the whole body or its equivalent to any part of the body. (q) The Class IE electric systems, including the auxiliary systems for the onsite electric power supplies, that provide the emergency . > electric power needed for functioning of plant features included in items (a) through (p) above. i (r) Those portions of systems, structures or components whose continued function is not required but whose failure could reduce the func-tioning of any plant feature included in items (a) through (q) above to an unacceptable safety level or could result in incapacitating injury to occupants of the control room should be designed and ! constructed so that the SSE would not cause such failures. ' (s) Items and services associated with Radioactive Material Transport i Packages as described in 10CFR71. lQAP - Appendix A Rev.: 9 Date: Page 2 of 3 1
, ,_, . , _ _ _ - . . . - . - - - ,- ~ ' ' ~~ ' ' " ' ' ' ' ~~~ ' ' ' ' ~
(t) Items and services associated with the preparation and classification of radioactive wastes for shipment to a land disposal facility or a licensed waste collector as required by 10CFR 20.311(d)(3) and encompassing 10CFR 61.55 and 10CFR 61.56. CONSUMABLES
,The following specific consumables when utilized in safety related systems shall be included in those portions of the NUQAP, as applicable.
- 1. Emergency generator diesel fuels
- 2. Hydraulic snubber fluids
- 3. Reagents
- 4. Resins
- 5. Boric Acid
- 6. Lubricants 4
QAP - Appendix A Rev.: 9 Date: Fage 3 of 3
O. APPENDIX B NORTHEAST' UTILITIES QUALITY ASSURANCE PROGRAM TOPICAL REPORT QUALIFICATION AND EXPERIENCE REQUIREMENTS NUSCO MANAGER, QUALITY ASSURANCE The NUSCO Manager, Quality Assurance shall satisfy the following require-ments: Graduate of a four year accredited engineering or science college or university, plus twelve (12) or more years of industrial experience including three years in positions of leadership, such as lead engineer, project engineer, audit team leader, etc. At least two years of this experience should be associated with nuclear Quality Assurance Activities. And at least one year of this experience is in a Quality Assurance Organization. A masters degree in engineering or business management is considered equivalent to two years of experience. Note: The education and experience requirements should not be treated as absolute when similar training or an outstanding record will provide reasonable assurance that a person can perform the required tasks. QAP - Appendix B Rev.: 9 Date: Page 1 of 1
l l l APPENDIX C NORTHEAST UTILITIES QUALITY ASSURANCE PROGRAM TOPICAL REPDRT LIST OF TYPICAL QUALITY ASSURANCE RELATED PROCEDURES INDEX PAGES NUSCO QUALITY ASSURANCE BRANCH PROCEDURES 2-5 NUCLEAR ENGINEERING AND OPERATIONS POLICIES AND PROCEDURES MANUAL 6-9 NUSCO GENERATION ENGINEERING AND CONSTRUCTION DIVISION PROCEDURES MANUAL 10-12 NUCLEAR PLANT RECORDS MANUAL 13-15 ENGINEERING COMPUTER SERVICES DEPARTMENT PROCEDURES MANUAL 16 NUSCO NUCLEAR OPERATIONS DEPARTMENT PROCEDURES 17 MILLSTONE QA ADMINISTRATIVE CONTROL PROCEDURES 18-22 CONNECTICUT YANKEE QA PROCEDURES 23-26 NUSCO GENERATION CONSTRUCTION QUALITY CONTROL MANUAL 27 NORTHEAST UTILITIES WELDING MANUAL 28 NU PURCHASING BUSINESS PROCEDURES 29 NUSCO RELIABILITY ENGINEERING PROCEDURES ffANUAL 30 REACTOR ENGINEERING BRANCH' PROCEDURES 31 GENERATION FACILITIES LICENSING BRANCH PROCEDURES 32 QAP - Appendix C Date: Topical Rev.: 9 Page 1 of 32
l NUSCO QUALITY ASSURANCE l BRANCH PROCEDURES 10CFR50 APP. B CRITERIA NQA - PROCEDURES - I. Organization NQA-1.01 Quality Assurance-Branch Organiza- i tion. ! II. Quality Assurance Program NQA-1.02 Preparation, Issuance, and Con-trol of the Northeast Utilities Quality Assurance Program Topical Report. NQA-1.04 Objective of Engineering Assurance
- Section NQA-1.07 Preparation and Issuance of NUSCO Quality Assurance Branch Quarter-ly and Annual Activity Reports.
NQA-1.10 Quality Assurance Work Assignment System. NQA-2.01 Engineering Assurance Functions. NQA-3.01 NUSCO Quality Assurance Branch Indoctrination and Training Pro-gram. NQA-3.02 Training and Qualification of NQA Lead Auditors &' Surveyors. NQA-3.03 Selection, Training, Qualifica-tion and Certification of NUSCO-Non-NDE Inspection and Testing Personnel. III. Design Control IV. Procurement Document Control NQA-2.03 Procurement Document Review. l NQA-2.18surveillance Assignmentofsupplierstoperiodicl status. I V. Instruction, Pro- NQA-1.03 Preparation Issuance and Control cedures, & Drawings of NUSCO Quality Assurance Branch Procedures. QAP - Appendix C Date: Topical Rev.: 9 Page 2 of 32
e NUSCO QUALITY ASSURANCE BRANCH PROCEDURES 10CFR50 APP. B CRITERIA NQA - PROCEDURES - VI. Document Control NQA-1.08 Issuance of NUSCO Quality Assur- . ance Correspondence / Communications.
' i NQA-1.11 Control of Safeguards Information.
- NQA-2.02 Routing, Followup, Review and Ap- ,
proval of Engineer - Constructor, - NUSCO Contractor, and Engineering , Service Organization Quality [ Documents. l NQA-2.16 Review of NUSCO/NUPOC Quality Documents. I VII. Control of Purchased Material, Equipment, and Services NQA-2.04 Supplier Evaluations.
' NQA-2.05 Instructions for Use of the NUSCO Quality Assurance Supplier Infor- !
mation Computer Program. NQA-2.07 Review and Approval of the QA Program /QA Surveys of NUSCO Sup-pliers. l -NQA-2.12 Preparation, Issuance and Control of the NUSCO Quality Assurance Category I Contractor, Supplier, and Engineering Service Organiza-- tion List. NQA-2.14 Prepration, Issuance and Control of the NUSCO Commercial Commodity List. , VIII. Identification & Control'of Materials, Parts, and Components 1 IX. Control of Special { Processes NQA-3.04 Selection, Training, Qualifica- 1 tion, and Certification of NUSCO and NUPOC Nondestructive Examina-tion Personnel. QAP - Appendix C
; Date:
Topical Rev.: 9 Page 3 of 32
i l NUSCO QUALITY ASSURANCE BRANCH PROCEDURES 10CFR50 APP. B CRITERIA NQA - PROCEDURES . 1 X. Inspection NQA-2.08 Preparation, Conduct and Reporting of NUSCO Quality Assurance Inspections. i NQA-2.10 Performance, Reporting, and fol-lowup of Surveillance Activities. XI. Test Control XII. Control of Measuring and Test Equipment XIII. Handling, Storage, and Shipping XIV. Inspection, Test, and Operating Status XV. Nonconforming Materials, Parts, or Components NQA-1.06 Procedure to Stop Work. NQA-2.13 Processing, Control and Follow-up of Design Drawing Nonconformance and Disposition Reports. XVI. Corrective Action NQA-2.11 Corrective Action Request (U.A.R.) ,
- Program.
NQA-2.17 Verification of Corrective Action Contained in Significant Defici-ency Reports Submitted to the NRC. XVII. Quality Assurance NQA-1.09 Transmittal of Quality Assurance Records Record for Permanent Storage. NQA-2.19 Review, Approval, and Transmittal of NUSCO Betterment Project l Records. ' XVIII. Audits NQA-1.05 Audit, Survey, and Inspection Computer Program. 1 i QAP - Appendix C Date: Topical Rev.: 9 Page 4 of 32 1 1
NUSCO QUALITY ASSURANCE BRANCH PROCEDURES 10CFR50 APP. B CRITERIA NQA - PROCEDURES - NQA-2.06 Conduct, Reporting, and Followup
- of Audits.
, NQA-2.09 Joint Audits.
NQA-2.15 In-Process Verification Report I 1 I .) I i l 1 l QAP - Appendix C Date: Topical Rev.: 9 Page 5 of 32
, , , , - , , . - .- , - - . . , , ~ . . . - - - - , , - . . . _ , , ,
NUCLEAR ENGINEERING AND OPERATIONS POLICIES AND PROCEDURES MANUAL l 10CFR50 APP. B CRITERIA NEO - PROCEDURES 1 I. Organization NE0-1.01 Organization of the Nuclear Engineering and Operations Group. NE0-2.02 Charter for Nuclear Review Boards. II. Quality Assurance Program NEO-1.02 Scope and Function of Nuclear Engineering and Operations Poli-cies and Procedures Manual. NE0-2.03 Nuclear Training NE0-2.08 Management Review of The Northeast Utilities Quality Assurance Program. ; l NE0-2.14 Nuclear Plant Fire Protection I Program. NE0-3.08 Processing Proposed Revisions to the Northeast Utilities Quality Assurance Program Topical Report. NEO-7.01 Construction Implementation of Operating Plant Modifications. NE0-7.02 Turnover of Systems, Components, and Structures. III. Design Control NE0-3.03 Preparation, Review and Disposi-tion of Plant Design Change Re-quests (PDCR's). NE0-3.04 Preparation, Issuance, and J Control of Project Assignments. ! l 1 NE0-3.12 Safety evaluations. I 1 NE0-5.04 Preparation, Review, Approval, l Revision, and Control of Specifications. NE0-5.05 Design Inputs and Design Verification. QAP - Appendix C Date: Topical Rev.: 9 Page 6 of 32
.(
NUCLEAR ENGINEERING AND OPERATIONS POLICIES AND PROCEDURES MANUAL 10CFR50 APP. B CRITERIA NEO - PROCEDURES . NEO-5.06 Preparation, Review, Approval of Design Analyses and Calculations. NE0-5.07 Quality Related Computer Program Verification, Validation, and Documentation.
-NE0-5.08 Quality Assurance Requirements l for Quality Related Software. '
NE0-5.11 Design Change Notices for Design l Documents. l NE0-5.12 Performance of Fire Protection l Reviews. NE0-6.01 Material, Equipment, and Parts Lists for In-Service Nuclear Generation Facilities. IV. Procurement Document Control NEO-6.02 Preparation and Review of Quality Related Purchase Requsitions. NE0-6.04 Review of Proposals. V. Instructions, Pro-
)
cedures & Drawings NE0-1.03 Format and Content of Nuclear En- i gineering and Operations Proce- ! dures. NE0-1.04 Preparation, Issuance and Control i of Nuclear Engineering and Opera-tions Procedures. NEO-3.10 Preparation and Processing of Proposed Revisions to In-Service Inspection Manuals. VI. -Document Control NEO-4.01 Correspondence with the Nuclear
- Regulatory Commission.
NE0-4.02 Proposed Technical Specification Change Requests. QAP - Appendix C Date: Topical Rev.: 9 Page 7 of 32
NUCLEAR ENGINEERING AND OPERATIONS POLICIES AND PROCEDURES MANUAL 10CFR50 APP.-B CRITERIA NEO - PROCEDURES - I NE0-4.03 Changes and Updates to Final Safety Analysis Reports for
, Operating Nuclear Power Plants.
NEO-4.04 Review and Approval of Proposed Changes to Selected License Requirements. NE0-5.03 Controlled Distribution of Design Documents for Interface Review and Transmittal. VII. Control of Purchased Material, Equipment, and Services NE0-2.11 Trend analysis from Quality Related Documents. NE0-6.03 Transfer of Material, Equipment and Parts. VIII. Identification & Control of Materials, Parts and Components IX. Control of Special Processes . NE0-3.09 Certification of Non-Destructive
- Testing Personnel.
NEO-3.11 Preparation, Qualification, Approval and Revision of Northeast Utilities Nondestructive Examina-tion Procedures. X. Inspection NEO-2.07 Management of In-Service Inspec-tion Programs. XI. Test Control NE0-7.03 Preoperational Testing of Plant Modifications. XII. Control of Measuring and Test Equipment XIII. Handling, Storage, , and Shipping 1 QAP - Appendix C Date: Topical Rev.: 9 Page 8 of 32
- NUCLEAR ENGINEERING AND OPERATIONS POLICIES AND PROCEDURES MANUAL 1
10CFR50 APP. B 1 CRITERIA NEO - PROCEDURES - I i XIV. Inspection, Test, and NE0-8.01 Jumper, Lifted Lead, and Bypass !- Operating Status Control. h . Nonconforming Materials, NEO-2.01 Implementation of the Parts, or Components Requirements of Part 21 of j Title 10, Code of Federal Regulations: Reporting of Defects and Noncompliance. XVI. Corrective Action NE0-2.18 Corrective Action. NEO-3.07 Response to Audit Findings. ! XVII. Quality Assurance Records NEO-2.10 Safeguarding Supplier Proprietary Material. , NE0-2.12 Control of Nuclear Facilities i Safeguards Information. I NE0-2.13 Managment of Nuclear Power Plant Records. ) XVIII. Audits NEO-2.16 Quality Assurance Plant Audit - Program. NE0-3.01 Conduct and Format of Nuclear i { Review Board Audits. i i } I ] I QAF - Appendix C { Date:
- Topical Rev.: 9 Page 9 of 32 i
e NUSCO GENERATION ENGINEERING ANJ CONSTRUCTION DIVISION PROCEDURES MANUAL 10CFR50 APP. B CRITERIA GE&C - PROCEDURES . I. Organization GE&C-1.01 Generation Engineering and Construction Division. II. Quality Assurance Program GE&C-1.02 Appli: ability and Use of Genera-tion Engineering and Construction Procedures Manual. GE&C-1.03 Procedure for Review of Genera-tion Engineering and Construction Division Procedures as Required by Revisions to NU QA Topical Report. GE&C-1.05 Generation Engineering and Construction Procedures Training J Program. III. Design Control GE&C-2.01 Preparation, Review, Approval,
, Revision, and Control of NUSCO Generation Engineering and Construction Division Specifications.
GE&C-4.02 Review of Engineering Service Or-
, ganization, Supplier, and Engineer
, Constructor Design Documents.
GE&C-4.06 Materials List. IV. Procurement Document i Control GE&C-2.06 Purchase of Materials List Equip- . ment. l V. Instructions, Pro- GE&C-1.04 Preparation, Issuance and Control cedures, & Drawings of Generation Engineering and Construction Division Procedures. GE&C-2.07 Preparation, Issuance and Control of Project Descriptions. GE&C-3.01 Design Information. GE&C-3.05 Preparation and Control of Design Drawings. QAP - Appendix C Date: Topical Rev.: 9 Page 10 of 32
e NUSCO GENERATION ENGINEERING AND CONSTRUCTION DIVISION PROCEDURES MANUAL 10CFR50 APP. B CRITERIA GE&C - PROCEDURES - GE&C-5.01 Processing, Documenting, and Filing of Results of the Review
, of Contractor Procedures.
GE&C-5.08 Preparation, Issuance, and Control of NUSCO Betterment Construction Work /Special and Administrative Work Procedures GE&C-5.09 Preparation, Issuance, and Control of NUSCO Betterment Construction Special Instruc-tions/ Requirement Sheets. l VI. Document Control 'GE&C-3.04 Design Document Summary Log. GE&C-5.10 Preparation, Issuance and Control of NUSCO Betterment Construction Project Documents List. VII. Control of Purchased Material, Equipment, and Services GE&C-2.02 Review of Proposals Submitted by Engineering Service Organizations, Suppliers, Vendors, and Contractors. VIII. Identification and Control of Materials Parts & Components IX. Control of Special GE&C-5.03 Control of Special Processes. Processes X. Inspection XI. Test Control XII. Control of Measuring GE&C-5.04 Measuring and Test Equipment
& Test Equipment Control Program.
XIII. Handling, Storage, and Shipping GE&C-5.02 Control, Inspection, Handling, Storage, Receiving of Purchased Material, Equipment, and Parts. QAP - Appendix C Date:
- Topical Rev.: 9 Page 11 of 32 i
o NUSCO GENERATION ENGINEERING AND CONSTRUCTION l DIVISION PROCEDURES MANUAL l I 10CFR50 APP. B l CRITERIA GE&C - PROCEDURES . ! XIV. Inspection, Test, and Operating Status e XV. Nonconforming GE&C-5.05 Issuance of a Stop Work Order. Materials, Parts, or Components GE&C-5.06 Installation of Nonconforming Material, Equipment, and Parts. GE&C-5.07 Processing Nonconformance Reports. XVI. Corrective Action XVII. Quality Assurance Records GE&C-2.05 Retention, Control and Final Disposition of Project Document Files for Betterment Projects. XVIII. Audits
/
i I l
)
QAP - Appendix C Date: Topical Rev.: 9 Page I2 of 32
NUCLEAR PLANT RECORDS MANUAL 10CFR50 APP. B CRITERIA NPRM - PROCEDURES - I. Organization NPRM-1.01 Responsibility Guidelines for Nuclear Plant Records Facilities
, Located at Nuclear Power Stations.
NPRM-1.07 Nuclear Records Section and Responsibilities. II. Quality Assurance Program NPRM-6.01 Training Requirements. V. Instructions Proce- NPRM-1.02 Issuing of the Nuclear Plant cedures, and Drawings Records Manual. NPRM-1.04 Preparation of Nuclear Plant Records Manual. VI. Document Control NPRM-1.03 Document Review and Acknowledge-ment. NPRM-2.02 Maintaining Nuclear Plant Records Vendor and Manufacturer File. NPRM-2.03 Maintenance of Nuclear Plant Records Backup Index. NPRM-2.04 Quality Checking of Record Indexing. NPRM-3.01 NUPOC/NUSCO Drawing Control System. NPRM-3.06 Request for Nuclear Plant Drawing or Aperture Card Copies. NPRM-3.09 Maintenance of Backup to the Drawing Status Files. l XVII. Quality Assurance Records NPRM-1.05 Establishing Submittal Schedules for Transfer of Nuclear Records Into Nuclear Records Facilities. NPRM-1.06 Nuclear Power Plant Quality Assurance Records Generated Collected and/or Transmitted by External Organizations. QAP - Appendix C I Date: Topical Rev.: 9 Page 13 of 32
e NUCLEAR PLANT RECORDS MANUAL 10CFR50 APP. B CRITERIA NPRM - PROCEDURES - NPRM-1.08 Retention and Control of Quality Assurance Records Generated in Support of the Nuclear Plant l Records System. 1 NPRM-2.01 16MM Roll Film Microfilming Procedure. l NPRM-2.05 Inspection of Permanent Storage Vaults for Temperature, Humidity, and General Condition. NPRM-2.06 Inspection of the Physical Condi-tion of Nuclear Plant Documents of Record Stored Within Nuclear i Records Vaults. i NPRM-2.07 Storage of Radiographs and Photo-graphic Materials Other Than Hi-crofilm. 1 NPRM-2.08 Use of Updateable Microfiche Sys-tems. NPRM-3.08 35MM Aperature Card Microfilming Procedure Using the 3M 2000E Camera. NPRM-4.01 Housecleaning Guidelines for j Records. ; NPRM-4.02 Transmittal / Receipt of Nuclear Records. NPRM-4.03 Access to Nuclear Plant Records Facilities and Records. NPRM-4.04 Disposition of Nuclear Plant 1 Records. NPRM-4.05 Checklist of Required Nuclear Power Plant Records Including Quality Assurance Records. NPRM-4.06 Descriptions of Nuclear Plant Records Storage Vaults. QAP - Appendix C Date: Topical Rev.: 9 Page 14 of 32
l e NUCLEAR PLANT RECORDS MANUAL 10CFR50 APP. B CRITERIA NPRM - PROCEDURES - NPRM-4.07 Guide for Writing Implements and Paper Stock to be used for Docu-
, ments Intended for Microfilming.
NPRM-4.08 Proprietary / Confidential Record Control. NPRM-4.09 Assignment of Source Record Storage Locations to Nuclear Records NPR Computer File Entries. NPRM-5.01 Nuclear Records System Descrip-tion. NRPM-5.02 NPR/DWG Computer Program Diction-ary Maintenance. NPRM-5.03 NPR/DWG Computer File Integrity Vertification. NPRM-5.04 Nuclear Records Indexing Guide-lines & Minimum Index Entry Re-quirement. i
.A.
QAP - Appendix C Date: Topical Rev.: 9 Page 15 of 32
ENGINEERING COMPUTER SERVICES DEPARTMENT PROCEDURES 10CFR50 APP. B CRITERIA ECSP - PROCEDURES . V. Instructions, Pro-cedures and Drawings ECSP-1.1 Preparation of Engineering Com-puter Services Department Proce-dures. ' ECSP-1.2 Issuing of the Engineering Compu-ter Services Department Procedure Manual. VI. Document Control ECSP-1.3 Document Review and Acknowledge-ment. ECSP-2.1 ESD Program Development and Main-i tenance. ECSP-3.1 Generation and Storage of Backup Files in Systems and Operations. ECSP-4.1 PCE Program Development and Maintenance. j 1 ) i
- QAP - Appendix C Date:
- Topical Rev.: 9 Page 16 of 32 I
e NUSCO NUCI. EAR OPERATIONS DEPARTMENT PROCEDURES i l 10CFR50 APP. B l CRITERIA NOD - PROCEDURES . I. Organization NOD-1.01 Organization. V. Instructions, Pro-cedures and Drawings NOD-1.02 Preparation, Issuance, and Control of Department Procedures. N0D-1.03 Distribution and Accountability of Department Procedures. VI. Document Control N0D-1.04 Distribution of Design Documents. N0D-3.02 Production Maintenance Management System (PMMS) Automated Work Order System. XVII. Quality Assurance Records N0D-1.05 Quality Assurance Records.
)
i l QAP - Appendix C Date: Topical Rev.: 9 Page 17 of 32
I . MILLSTONE QA ADMINISTRATIVE CONTROL PROCEDURES (ACPS) APPENDIX B TO 10CFR PART 50 MILLSTONE QA (ACPS-) j I. Organization ACP-QA 1.01 Millstone Administration. {
' ACP-QA 1.02 Organization & Responsibi- ,
lities. -l ACP-QA 1.04 Plant Operations Review Com- ! mittes. i
- r. ACP-QA 1.05 Site Operations Review Com-i mittee.
II. Quality Assurance ACP-QA 1.06 Quality Assurance / Quality l Program Control Program. 5 i ACP-QA 1.10 Fire Protection Quality As-surance Program. ACP-QA 2.01 QA Program Boundary. i ACP-QA 2.02C Work Orders. ACP-QA 2.05 Fire Protection Program. ] ACP-QA 2.14 Turnover of Systems, Components, and Structures (NEO 7.02). , ACP-QA '8.01 Millstone Station Training.
, ACP-QA 8.07 QA Training Program. ; ACP-QA 8.08 Millstone Reactor Operator 5 Training Program.
4 j ACP-QA 8.16 Training, Certification & j' Identification of Qualified Inspection and Testing Personnel. ACP-QA 8.21 Qualification of Audit Per-sonnel. j III. Design Control ACP-QA 2.13A Computer Software Implemen-tation. l<
; -QAP - Appendix C 4
Date: ! Topical Rev.: 9 i Page 18 of 32 1
4 i MILLSTONE QA ADMINISTRATIVE CONTROL PROCEDURES (ACPS) APPENDIX B TO 10CFR PART 50 MILLSTONE QA (ACPS) 1 I ACP-QA- 2.13B Maintenance and Control of Site Computer Systems.
' I ACP-QA 3.08 Safety Evaluations (NEO 3.12).
ACP-QA 3.09 Preparation Issuance and Control of Project Assignments.
- ACP-QA 3.10 Preparation, Review, and-Disposition of Plant Design Change Request (PDCRs) 4 (NEO 3.03).
j ACP-QA 3.11 Preparation, Review, Approval,
; Revision, and Control of-Specifications (NEO 5.04).
I 3.12 Design Inputs and Design J ACP-QA Verification (NEO 5.04). l ACP-QA 3.13 Preparation, Review, and .,i Approval of Design Analyses and Calculations (NEO 5.06).
- ACP-QA 3.14 Design Change Notices for Design Documents (NEO 5.11).
2 ACP-QA 3.15 Performance of Fire Protection Reviews (NEO 5.12). i IV. Procurement Document ACP-QA 4.02A Preparation and Review of ! Control Quality Related Purchase Requisitions (NEO 6.02). ACP-QA 4.02B Receipt, Control, and Identification of QA Material. , ACP-QA 4.06 Procurement and Evaluation i of Shelf Life Material. V. Instructions, Pro-
- cedures, & Drawings ACP-QA 3.05 Review & Approval of Vendor Procedures.
ACP-QA 3.06 Preservice Unit Instructions. QAP - Appendix C-Date: Iopical Rev.: 9 Page 19 of 32 2
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.. l MILLSTONE QA ADMINISTRATIVE CONTROL PROCEDURES (ACPS)
APPENDIX B TO 10CFR PART 50 MILLSTONE QA (ACPS) ACP-QA 3.07 Maintenance of Station ! implementing Procedures in accordance with NUSCO Governing Documents. VI. Document Control ACP-QA 3.01 ACP's & Station Forms. ACP-QA 3.02 Station Procedures & Forms. ACP-QA 3.03 Document Control. ACP-QA 3.19 Controlled Distribution of Design Documents (NEO 5.03). VII. Control of Purchased i' Material, Equipment & Services ACP-QA 4.05 Product Acceptance Inspec- . tion & Testing. ACP-QA 4.09 Transfer of Material Equipment and Parts (NEO 6.03). ACP-QA 5.02 Trend Analysis from Quality
- Related Documents.
VIII. Identification & Control of Materials, j
~
Parts & Components ACP-QA 4.03A Classifying and Upgrading Spare Parts for Use in QA Application. ACP-QA 4.03B Material, Equipment, and { Parts Lists for In-Service ; Nuclear Generation Facilities ! (NEO 6.01). ! ACP-QA 4.07 Control of Weld Material. IX. Control of Special Processes ACP-QA 2.07 Control of Special Processes. X. Inspections ACP-QA 2.02A Installation Inspections. ACP-QA 9.06 In-service Inspection l , Program. 1 QAP - Appendix C Date: Topical Rev.: 9 Page 20 of 32
.e 4
MILLSTONE QA ADMINISTRATIVE CONTROL PROCEDURES (ACPS) APPENDIX B TO 10CFR PART 50 MILLSTONE QA (ACPS) l l ACP-QA 9.07 Quality Assurance Surveillance } Program. 1
- II. Test Control ACP-QA 2.02B Retests.
ACP-QA 2.15 Preoperational Testing of Plant Modifications (NEO 7.03). ACP-QA 9.02 Station Surveillance Program. i ACP-QA 9.02A Unit 1 Surveillance Master. Control List. I ACP-QA 9.02B Unit 2 Surveillance Master ' { Test Control List. ACP-QA 9.03 Inservice Plant Testing. XII. Control of Measuring & 1 Test Equipment ACP-QA 9.04 Control & Calibration of j Measuring and . Test Equipment.
- XIII. Handling, Storage j Shipping ACP-QA 4.01 Plant Housekeeping.
ACP-QA 4.04 Instructions for Packaging, Shippiag, Receiving, Storage 1.
& Handling.
ACP-QA 6.04 Radioactive Material Ship-ping Requirements. l l XIV. Inspection Test &
- Operating Status ACP-QA 2.06A Station Tagging.
- ACP-QA 2.06B Station Bypass / Jumper Control (NEO 8.01).
ACP-QA 2.06C Station Bypass / Jumper , Control for Trouble Shooting,
- l. Red Lining, and Calibration.
j ACP-QA 2.12 System Valve Alignment Con-
- trol.
l 1 i 1 QAP - Appendix C Date:
- Topical Rev.
- 9 Page 21 of 32
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MILLSTONE QA ADMINISTRATIVE CONTROL PROCEDURES (ACPS) APPENDIX B TO 10CFR PART 50 MILLSTONE QA (ACPS) XV. Nonconforming Materials, Parts or Components ACP-QA 5.01 Nonconforming Materials & Parts. XVI. Corrective Action ACP-QA 10.01 Plant Incident Report. ACP-QA 10.06 NRC Commitment Follow Pro-gram. ACP-QA 10.08 Station Services Event Report. ACP-QA 10.09 Licensee Event Report. ACP-QA 10.10 Corrective Action. XVII. Quality Assurance Records ACP-QA 10.04 Nuclear Power Plant Records. XVIII. Audits ACP-QA 9.01 Quality Assurance Audits. ACP-QA 9.05 Monitoring of QA Activities. QAP - Appendix C Date: Topical Rev.: 9 Page 22 of 32
e CONNECTICUT YANKEE QA PROCEDURES CONNECTICUT YANKEE APPENDIX B TO 10CFR PART 50 QA PROCEDURES . I. Organization ACP 1.0-3 The Connecticut Yankee Organization Responsibility
, and Authority.
ACP 1.2-1.1 Plant Operations Review Committee. II. Quality Assurance Program ACP 1.2-2,1 Request for a Category Evaluation. ACP 1.2-2.2 Quality Assurance Program Bounda ry. ACP 1.2-2.3 Certification, and Identifica-tion of Qualified Inspection and Testing Personnel. ACP 1.2-2.4 Housekeeping Requirements. ACP 1.2-2.5 Classifying and Upgrading Spare Parts. ACP 1.2-2.6 Radioactive Waste Packaging and Shipping Quality Assurance Program. ACP 1.2-2.7 NEO 3.08, Rev. 2, Processing Proposed Revisions to the Northeast Utilities Quality Assurance Program (NUQAP) Topical Report. ACP 1.2-2.8 NEO 6.10, Use of the PMMS Data Base to Indicate Quality Assurance Program Applicability. l
, ACP 1.2-2.9 Quality Assurance and
' Quality Control in Station Radioactive Material Processing, Classification, Packaging, and Transportation.
III. Design Control ACP 1.2-3.1 NEO 3.03 - Preparation, Review and Disposition of Plant Design Change Requests (PDCRs). QAP - Appendix C Date: Topical Rev.: 9 Page 23 of 32 L.
e CONNECTICUT YANKEE QA PROCEDURES CONNECTICUT YANKEE APPENDIX B TO 10CFR PART 50 QA PROCEDURES - ACP 1.2-3.3 Setpoint Change Request (SCR) ACP 1.2-3.4 NEO 5.04 - Preparation, Review Approval, Revision and Control of Specifications. ACP 1.2-6.9 NEO 3.12 Safety Evaluations IV. Procurement Document Control ACP 1.2-4.1 Procurement Document Review. V. Instructions, Pro-cedures & Drawings ACP 1.2-5.1 PMMS Trouble Reporting System and Automated Work Order. VI. Document Control ACP 1.2-6.1 Document Distribution & Accountability. ACP 1.2-6.2 Master Document Index. ACP 1.2-6.4 Temporary Procedure Change. ACP 1.2-6.5 Station Procedures. ACP 1.2-6.10 Maintenance of Station Implementing Procedures with NUSCO Governing Documents. ACP 1.2-6.11 Drawing Change / Submittal Requests. ACP 1.2-6.12 NEO 8.04, Safety Evaluation of Proposed Changes to Station Procedures. ACP 1.2-11.6 Proposed Technical Specifi-cation Change Requests. VII. Control of Purchased Material, Equipment & Services ACP 1.2-7.1- Receipt Inspection and l Identification of Materials, Parts, and Components. I ACP 1.2-7.2 Fuel Assembly Receipt Inspection. QAP - Appendix C Date: Topical Rev.: 9 Page 24 of 32
e CONNECTICUT YANKEE QA PROCEDURES CONNECTICUT YANKEE APPENDIX B TO 10CFR PART 50 QA PROCEDURES - VIII. Identification & Control of Materials,
; Parts & Components ACP 1.2-8.2 Material Issue.
ACP 1.2-8.3 Weld Material Control. IX. Control of Special Processes ACP 1.2-9.1 Control of Special Processes. ACP 1.2-9.2 Requirements for Cleaning of l Fluid Systems & Associated Components. ACP 1.2-9.3 NEO 3.11 - Preparation, Qualification, Approval, and Revision of Northeast Utilities Nondestructive Examination Procedures. ACP 1.2-9.4 Inservice Inspection Indication [ Reporting. I X. Inspections ACP 1.2-10.1 Installation Inspections. ACP 1.2-10.3 Authorized Nuclear Inspector l (ANI)/ Authorized Nuclear Inservice Inspector (ANII). ACP 1.2-10.4 Monitoring of QA Activities. XI. Test Control ACP 1.2-11.1 Technical Specification Surveillance Tracking. ACP 1.2-11.2 Review of Test Data. ACP 1.2-11.3 Retests. ACP 1.2-11.4 Product Acceptance Tests. ACP 1.2-11.5 QA Activity Surveillance. l ACP 1.2-11.6 NEO 4.02 - Proposed Technical Specification Change Requests. XII. Control of Measuring & Test Equipment ACP 1.2-12.1 Control of Measuring and Test Equipment. QAP - Appendix C Date: Topical Rev.: 9 Page 25 of 32
CONNECTICUT YANKEE QA PROCEDURES CONNECTICUT YANKEE APPENDIX B TO 10CFR PART 50 QA PROCEDURES . XIII. Handling, Storage & Shipping ACP 1.2-13.1 Handling of Material & Equipment. ACP 1.2-13.2 Storage of Material & Equip- l ment. ACP 1.2-13.5 Entry and Exit from Station of Transporter for Nuclear By-Product Material (Radwaste). ACP 1.2-13.6 Packaging and Shipping Requirements for Material Parts and Components. , ACP 1.2-13.7 Shipping Quality Control of ' Radioactive Material Shipments. XIV. Inspection, Test & Operating Status ACP 1.2-14.1 NEO 8.01 - Jumper, Lifted Lead and Bypass Control. ACP 1.2-14.2 Equipment Control (Locking & l Tagging). XV. Nonconforming Materials, Parts, or Components ACP 1.2-15.1 Nonconformance Control. ACP 1.0-14 Determination and Follow of Substantial Safety Hazards (SSH). XVI. Corrective Action ACP 1.2-16.1 Plant Information Reports. XVII. Quality Assurance Records ACP 1.2-17.2 Nuclear Power Plant Records. ACP 1.2-17.3 Identification of Radiographs. XVIII. Audits ACP 1.2-18.2 NEO 3.07, Rev. 1, Response to Audit Findings. QAP - Appendix C Date: Topical Rev.: 9 Page 26 of 32
e NUSCO GENERATION CONSTRUCTION QUALITY CONTROL MANUAL 10CFR50 APP. B CRITERIA QC-G - PROCEDURES. II. Quality Assurance Program QC-G-1.01 Manual Application, Control and Assignment of Responsibilities. QC-G-8.01 Selection, Orientation, Training, Qualification and Certification of Quality Control Personnel. V. Instructions, Proce-dures and Drawings QC-G-2.01 Quality Control Instructions. VII. Control of Purchased Material, Equipment & Services QC-G-6.01 Receiving and Handling. X. Inspections QC-G-3.01 Inspection and Inspection Surveillance Reports. XII. Control of Measuring and Test Equipment QC-G-5.01 Control of Measuring and Test Equipment. XIII. Handling, Storage, and Shipping QC-G-6.02 Storage of Materials, Equipment and Parts. XIV. Inspection, Test, and Operating Status QC-G-7.01 Inspection Status (Tagging). XV. Nonconforming Materials, Parts and Components QC-G-4.01 Control of Nonconformance and Disposition Reporting. l QAP - Appendix C Date: Topical Rev.: 9 Page 27 of 32
NU WELDING MANUAL WELDING MANUAL APPENDIX B To 10CFR PART 50 QA PROCEDURES . 1 I. Organization AP 700 Organization & Control of NUSCO Welding Manual. ) I:X. Control of Special Processes AP 701 Preparation, Qualification, Approval & Revision of NUSCO Welding Procedures. AP 703 Preparation, Review & Approval of Detailed Welding Procedures. AP 702 Control of Welder & Brazer Quali-fications. I 9 QAP - Appendix C I Date: { Topical Rev.: 9 i Page 28 of 32
e NU PURCHASING BUSINESS PROCEDURES PURCHASING APPENDIX B TO 10CFR PART 50 QA PROCEDURES . IV. Procurement Document Control BP - 3.1 Requisition: Standard and
; Repeating.
BP - 3.3 Purchase Orders. BP - 3.4 Changes to Purchase Orders. BP - 3.19 Blanket Purchase Orders. QAP - Appendix C , Date: l Topical Rev.: 9 ; Page 29 of 32 l
e NUSCO RELIABILITY ENGINEERING j PROCEDURES MANUAL 10CFR50 APP. B CRITERIA RE - PROCEDURES _ I. Organization QRE-1.01 Organization. II. Quality Assurance Program QRE-1.02 Applicability and Use of Re-liability Engineering Sec-tion Procedures Manual. QRE-1.06 Training Program. QRE-1.09 Training of Inservice Inspection and Nondestuctive Examination Personnel. QRE-1.10 NUSCO ISI Coordinator Responsibilities and Conduct of ISI Planning and On-Site Activities for Refueling Outages. V. Instructions Procedures and Drawings QRE-1.04 Preparation, Issuance and Control of Engineering De-partment Procedures. IX. Control of Special Processes QRE-1.16 Nondestructive Examination Procedures. XVII. Quality Assurance Records QRE-1.12 Control of Documents. QAP - Appendix C Date: Topical Rev.: 9 Page 30 of 32
REACTOR ENGINEERING BRANCH PROCEDURES 10CFR50 APP. B CRITERIA REB - PROCEDURES . III. Design Control REB-3.01 Generation of INCORE Analytical Input From B&W Data. REB-2.01 Project Follow, Review and Documentation for Initial Core and Reload Fuel Campaigns. REB-3.02 Generation of Millstone Unit 1 Bundle Exposure and Isotopic Data for the Nuclear Fuel Branch. REB-3.03Q Generation and Evaluation of Incore Code Results to Verify Technical Specification Compliance. REB-3.06 Computer Program Development and Control. V. Instructions, Procedures REB-1.01 Preparation, Issuance and and Drawings Control of REB Procedures and Subtier Instructions. XVII. Quality Assurance Records REB-1.02 Reactor Engineering Branch Record Retention - Management of Nuclear Power Plant Records. QAP - Appendix C Date: Topical Rev.: 9 Page 31 of 32
o GENERATION FACILITIES LICENSING BRANCH PROCEDURES 10CFR50 APP. B CRITERIA GFL - PROCEDURES . II. Quality Assurance Program GFL-2.01Q Training in NEO Group Nuclear Policies, Procedures, j and Programs. V. Instructions, Procedures GFL-1.01Q Preparation, Issuance and and Drawings Control of Generation Facilities Licensing Branch. Procedures and Instructions. VI. Document Control GFL-3.01Q Regulatory Agency Correspondence. GFL-3.03Q U.S. Nuclear Regulatory Commission NUREG's. GFL-3.04Q U.S. Nuclear Regulatory Commision Federal Register Notices. GFL-3.05Q U.S. Nuclear Regulatory Commission Regulatory Guides. GFL-3.06Q Documentation of Telephone Conversations. GFL-3.07Q Forward Commitments. GFL-3.08Q Preparation and Submittal of Special Nuclear Material, Source Material, and Byproduct Material License Applications. XVII. Quality Assurance Records GFL-3.02Q Management of Nuclear Power Plant Records. QAP - Appendix C Date: Topical Rev.: 9 Page 32 of 32
e . APPENDIX D NORTHEAST UTILITIES QUALITY ASSURANCE PR GRAM TOPICAL REPORT REGULATORY GUIDE AND ANSI STANDARD COMMITMENTS
- . NOTE
- The NUQAP is committed to utilize the guidance obtained from l
the following regulatory documents and their endorsed standards. Exceptions to these positions are listed in Appendix F of this topical report.
- Appendix B to 10 CFR, Part 50 - Quality Assurance Criteria for Nuclear
! Power Plants and Fuel Reprocessing Plants. 10 CFR 50, Section 50.54, Condition of Licenses. 10 CFR, Part 55 - Operator's Licenses and its Appendix A - Requalifi- ' ! cation Programs for Licensed Operators of Production and Utilization
! . Facilitips.
4 Regulatory Guide 1.8 R - 5/77 - Personnel Selection and Training - Endorses ANSI N18.1 -. 1971. . Regulatory Guide 1.28 - 2/79 - Quality Assurance Program Requirements (Design and Construction) Endorses ANSI N45.2 - 1977. 1 Regulatory Guide 1.30 (Safety Guide 30), 8-11 Quality Assurance Requirements for the Installations, Inspection, and Testing of Instru-3 mentation and Electrical Equipment - Endorses ANSI N45.2.4-1972. ' Regulatory Guide 1.33 - 2/78 - Quality Assurance Program Requirements (Operation) - Endorses ANSI N18.7-1976/ANS3.2.
^
Regulatory Guide 1.37 - Quality Assurance Requirements for Cleaning 'of j Fluid Systems and Associated Components of Water-Cooled Nuclear Power Plants, 3-16-73 -Endorses ANSI N45.2.1 - 1973.
)
Regulatory Guide 1.38 - Quality Assurance Requirements for Packaging, Shipping, Receiving, Storage and Handling of Items for Water-Cooled-Nuclear Power Plants, 5/77 - Endorses ANSI N45.2.2 - 1972. Regulatory Guide 1.39 - Housekeeping Requirements for Water - Cooled Nuclear Power Plants, 9/77- Endorses ANSI N45.2.3 - 1973. ' Regulatory Guide 1.58 - Qualification of Nuclear Power Plant Inspection, , Examination, and Testing Personnel, Rev. 1, 9/80 - Endorses ANSI N45.2.6 - l 1978. l Regulatory Guide 1.64 - Quality Assurance Requirements for the Design of , Nuclear Power Plants, 6/76- Endorses ANSI N45.2.11 - 1974. I
, QAP. -Appendix D Rev.: 9 Date:
Page 1 of 2
,, . - - , . . . , , , - - - , - - , - , . . - , ~ - . , - , - - . . . . . - . - , . , - , , , , . , , . , , , _ - - - - . , , . - - , , - . . ,
h ' Regulatory Guide 1.70, " Standard Format and Content of Safety Analysis Reports for Nuclear Power Plants - LWR Edition", Revision 2, September 1975 is utilized for Connecticut Yankee, Millstone 1, and Millstone 2. Revision 3, November 1978 is utilized for Millstone 3. Regulatory Guide 1.74 - Quality Assurance Terms and Definitions, Feb. 74 -Endorses ANSI N45.2.10 - 1973.
, Regulatory Guide 1.88 - Collection, Storage, and Maintenance of Nuclear-Power Plant Quality Assurance Records - 10/76 - Endorses ANSI N45.2.9 -
1974. 1 Regulatory Guide 1.94 - Quality Assurance Requirements for Installation, I Inspection and Testing of Structural Concrete and Structural Steel During the Construction Phase of Nuclear Power Plants - 4/76 -Endorses ANSI N45.2.5 - 1974. i Regulatory Guide - 1.116 - Quality Assurance Requirements for Installa-I tion, Inspection, and Testing Mechanical Equipment and Systems - 5/77'- Endorses ANSI N45.2.8 - 1975. Regulatory Guide 1.123 - Quality Assurance Requirements for Control of Procurement of Items and Services for Nuclear Power Plants - 7/77 - Endorses ANSI N45.2.13 - 1976.
- Regulatory Guide 1.144 - Auditing of Quality Assurance Programs For
] Nuclear Power Plants - Rev. 1 - 9/80 -Endorses ANSI N45.2.12 - 1977. j Regulatory Guide 1.146 - Qualification of-Quality Assurance Program Audit Personnel For Nuclear Power Plants - 8/80 -Endorses ANSI N45.2.23 - 1978. j l QAP - Appendix D Rev.: 9 Date: Page 2 of 2 l m -g e. y - - . , . ,, .*- ,-t,---- -y + -- t-+a-- -4 --= y, rmi rw
APPENDIX E NORTHEAST UTILITIES QUALITY ASSURANCE PROGRAM TOPICAL REPORT GLOSSARY OF QUALITY ASSURANCE TERMS Accept As Is - (also known as "Use-As-Is") a disposition which may be
' imposed for a nonconformance when it can be established that the discrepancy will result in no adverse conditions and that the item under consideration will continue to meet all engineering functional requirements including performance, maintainability, fit and safety.
As-Built Documents - Documents which accurately describe the condition actually. achieved in a system, structure, or component. These documents include: material certification and test data; reports of inspections, examinations, and test results; drawings, specifications, procedures, and instructions; and records of nonconformance and their resolution. Audit - a formal, documented activity performed in accordance with
; written checklists or procedures to verify by evaluation of objective evidence that a quality assurance program has been developed, documented, and implemented in accordance with applicable requirements.
Calibration - the process by which measuring and test equipment are i checked against standards of known higher accuracy and adjusted as necessary to ensure their compliance with designated specifications. Category I - designation given to systems, structures, and components of a Northeast Utilities nuclear power plant that prevent or mitigate the consequences of postulated accidents that could cause undue risk to the health and safety of the public. Category I Systems, Structures, and Components - defined in Appendix A. Cleaning - those actions performed to maintain an item in accordance with cleanliness requirements. Contractor - organizations that provide services that may include engi-neering, procurement, construction, and installation of material, equip-ment, and parts. The Nuclear Steam Supply System Supplier (NSSS Suppli-er) is included in this category. Corrective Action - action taken to correct conditions adverse to quality in order to preclude recurrence of the conditions. Deficiencies - departures from specified requirements. ! Department - The use of the word department, throughout the NUQAP Topical Report, can refer to any portion of the NUSCO/NUPOC organization (i.e., Group Division, Department, Branch, Section, or Unit, as applicable). QAP - Appendix E Rev.: 9 Date:
-Page 1 of 7
i l l Departmental Measuring and Test Equipment List - a list of all departmen-tal r asuring and test equipment included in the NUPOC calibration progr_m. - Design --technical and management processes which lead to and include the issuance of design output documents such as drawings, specifications, and other documents defining technical requirements of systems, structures, jand components. i Design Changes - changes in drawings and specifications which define the . design of systems, structures, and components of nuclear power plants. ! Design Documents - design documents referred to herein are the drawings and specifications that define the design of systems, structures, and I components; the Facility Description and Safety Analysis (FDSA)/ Final Safety Analysis Report (FSAR); the License Document; Technical Specifica-tions; and Environmental Technical Specifications. ' Drawing Change Request - a document used to request approval of revisions to existing NUSCO drawings. Engineer-Constructor - the principgl organization contracted by NUSCO that performs the overall engineering, procurement, construction, and installation of systems, structures, and components of a nuclear power l plant. Engineer-Constructor / Contractor Installation Inspection - an inspection of systems, structures and components performed by the Engineer-Constructor / I Contractor prior to system release / transfer to NUPOC for preoperational testing. Engineering Assurance Audits - Audits performed of corporate quality l activities by NUSCO Quality Assurance. Engineering Service Organization - organizations that provide services such as analysis, testing, and inspection. Generation Facilties Records - the organization responsible for establishing the Corporate Nuclear Plant Records Program which is imple-mented at each Nuclear Plant Records Facility. Handling - the transfer of an item from one location to another within a contractor's, supplier's or engineering service organization's facility or at the nuclear power plant. Identification - a means by which material, equipment and parts can be traced to their associated documentation through the use of heat numbers, lot numbers, part numbers, serial numbers, or other appropriate means. QAP - Appendix E Rev.: 9 Date:
- Page 2 of 7 1
o In-Process Verifications - An in-depth review of an activity to which NUSCO Quality Assurance coverage has been assigned. This review is done I with an approved written checklist to verify that the activity-is being I completed in accordance with the approved documents, utilizing auditing ' techniques. Inspection - a phase of quality control which, by means of examination,
, observation, or measurement determines the conformance of material,
, equipment, parts, and processes to predetermined quality requirements. Inspection Status - identification of material, equipment, and parts that have completed inspection, either acceptable or unacceptable. Life Records - those quality documents that are maintained for the lifetime of the in-service nuclear power plant or for the life of the particular component or part. Life records are those which would be of significant value in meeting one or more of the following criteria: (1) demonstrating capability for safe operation. (2) mainta'ining, reworking, repairing, replacing or modifying the ! item. (3) determining the cause of an accident or malfunction of an item. (4) providing required base line data for in-service inspection. Manager, QA/ Designee - the designee is a NUSCO Quality Assurance emp-loyee, as well as the respective NUPOC QA/QC Supervisor or NUPOC QA/QC i employee as depicted by Figure 1.6 of QAP 1.0. Measuring and Test Equipment - those instruments, gages, tools, fixtures, reference and transfer standards, nondestructive test equipment, and measuring devices used during inspection and testing to determine that measuring and test parameters comply with appropriate requirements in specifications and drawings. Nonconforming Material, Equipment, and Parts - any material, equipment, or parts which do not conform to specified requirements. Nonengineered Items - Material, equipment and parts which are: I (1) Relatively simple and standard in design, manufacture and I test.
- l (2) Adaptable to standard or automated inspections and/or tests of 4
the end product to verify quality characteristics after deli-very. QAP - Appendix E Rev.: 9 Date: Page 3 of 7
-e (3) Of such a nature that product acceptance inspections / tests performed upon receipt of the_ items do not require operations 4 which could adversely affect the integrity, function,- or cleanness of the item.
, Non-Life Records - those quality documents that are maintained for a
- specific period of time other than the lifetime of the in-service nuclear j , power plant or the particular' component or part, i Northeast Utilities (NU) - a public utility holding company which owns Northeast Utilities Service Company and The Northeast Nuclear Energy Company and thru its operating subsidiaries has a controlling interest in The Connecticut Yankee Atomic Power Company.
J Northeast Utilities Service Company (F11SCO) - a wholly owned subsidiary of Northeast Utilities that provides engineering, procurement, construc-tion, and quality assurance services for Northeast Utilities relating to design, construction, and preoperational testing of nuclear power plants and major modifications thereto. Northeast Utilities Quality Assurance Program (NUQAP) - consists of the NUQAP Topical Report, Quality Assurance Branch Procedures and other Northeast Utilities Group / Divisional / Departmental / Branch /Section quality related procedures. 4 Nuclear Plant Operating Companies (NUPOC) - which as a subsidiary of l Northeast Utilities performs preoperational testing of systems, structures l and components of nuclear power plants and major modifications thereto l l subsequent to completion of their design and' construction and is also i responsible for the operation of nuclear power plants. The companies j which comprise NUPOC are The Connecticut Yankee Atomic Power Company and. The Northeast Nuclear Energy Company. , Nuclear Plant Records Facilities - three separate facilities; located at Millstone Station, Connecticut Yankee, and Berlin; responsible for 4 indexing, retention, retrieval, and protection of Nuclear Plant Records. 4 NUSCO/NUPOC Engineer-Constructor Contractor, Supplier, and Engineering Service Organization Audits - audits performed by NUSCO/NUPOC Quality Assurance of the Engineer Constructor, contractors, suppliers, and engineering service organizations quality activities. l l NUSCO Quality Assurance Contractor, Supplier, and Engineering Service Organization List - a list identifying the approval status of the quality , assurance programs of contractors, suppliers, and engineering service organizations. i l NUSCO Quality Records Center - the location at NUSCO of the NUSCO Quality } . Assurance records files under the cognizance of the NUSCO Quality Assu-rance Branch. 4 QAP - Appendix E Rev.: 9 Date:
'Page 4 of 7
i
" Objective Evidence" - any statement of fact, information, or record,
.either quantitative or qualitative, pertaining to the quality of an item or service based on observation, measurements, or tests which can be verified.
Plant Audits - Audits performed at the nuclear power plant by NUSCO/NUP0C Quality Assurance of NUPOC quality activities.
@reoperational Testing - tests performed by NUPOC to ensure systems, I structures, and components will perform satisfactorily during operation of the nuclear power plant. l Preservation - those actions performed to maintain an item in its origi-nal and usable condition.
Procedures and Instructions - documents that specify how an activity is to be performed. They may include methods to be employed; material, j equipment, or parts to be used; and a sequence of operations.
, Procurement Documents - Letters of Intent, Specifications, Contracts, l Purchase Requisitions, and Purchase Orders which provide contractual basis for services such as engineering and procurement; supply of material, equipment, and parts; construction; installation; inspection; and testing.
They define the requirements which items and services must meet, in order to be considered acceptable by the purchaser. Product Acceptance Inspection / Test - Inspection / test performed as part of 1 receipt inspection at the nuclear power plant to verify the quality characteristics of nonengineered items. Operations utilized during product acceptadce inspections / tests are such that they do not adversely j affect the integrity, function or cleanness of the item. Proof Test - a test conducted prior to installation of systems, structures l ! and components to verify specification requirements have been met. Project Engineer - a NUSCO/NUPOC employee assigned the responsibility to
- coordinate the engineering activities addressed in NUQAP.
Project Manager - A NUSCO employee assigned the responsibility to coordinate
- all activities addressed in NUQAP relating to their assigned Projects.
i Purchased Material, Equipment, and Parts - items procured for use in systems, structures, and components. Purchased Service - services procured to assist in operation, main- , tenance, modification, and refueling of nuclear power plants. l l QAP - Appendix E Rev.: 9 l Date: Page 5 of 7
o l
\
Quality Assurance Records - any record pertaining to the quality of i material, equipment, parts, processes, or operatious relating to systems, l structures and components which are founded on observations, measurements, or tests which can be fully checked or verified. Such statements may be ' recorded on a written or preprinted document or tag. The statements are authorized with a signature or stamp identifiable to the person making , the statement of fact.
' Quality Related Activities - Activities involving parts, components or structures for Category I, Radwaste QA, Radwaste Packaging and Shipping, ATWS, FPQA, EEQ, MEQ and other regulated programs in accordance with the requirements mandated by those regulations. Appendix A defines Category I pr?sram controls. Appendix G classifies those attributes applicable to presently committed regulations for other. listed programs above.
Quality Related Procedures - Those procedures prepared to implement administrative activities associated with the QA Topical Report. Appendix C lists typical Quality Related Procedures that are reviewed and approved by NUSC0/NUPOC Quality Assurance Organizations. Note: Department procedures, written to perform specific work activities i on components, systems, and structures, are not reviewed by QA organizations as an in-line function. These procedures are reviewed for QA attributes as part of the work order review program at the time of use. i Repair - a disposition applied to nonconforming material, equipment, and parts that are unsuitable for their intended purpose which are modified by the use of additional operations and/or processes so that they sre suitable for their intended purpose but may not meet all specified i requirements. Retest - a test conducted prior to operation following installation in-spections of work associated with maintenance, modification, and refuel-
, ing to verify that systems, structures, and-components will function l satisfactorily when in operation. A retest may also be performed when j original test results are invalidated. .
Return to Supplier - a disposition applied to nonconforming material, equipment, and parts that are unsuitable for their intended purpose but which are feasible to repair or rework at a supplier's facility. - Rework - a disposition applied to nonconforming material,. equipment, and parts that are unsuitable for.their intended purpose due to incomplete , operations or variations from original engineering requirements but which are modified through the use of additional operations or processes to 4 meet all specified requirements. i l 4 QAP - Appendix E i Rev.: 9 l Date: l Page 6 of 7 4 4
- - - --- - --- I '
l
~
O' 1 l Salvage - a disposition applied to nonconforming material, equipment, and parts that are unsuitable for their intended purpose and not feasible for rework or repair but which contain material, equipment, or parts which ! are reclaimable for future use. Special Processes - an operation performed under controlled conditions in accordance with special requirements utilizing qualified procedures, equipment, and personnel. These special processes may include, but are
'not limited to: welding, brazing, soldering, cleaning, heat treating, and nondestructive testing.
Storate - Maintenance of an item-in the environment specified in appro-priate documents. Supplier - organizations that provide material, equipment, and parts. Surveillance - A documented record of the observation of work operations performed at NUSCO/NUPOC or vendor's site to assure compliance with applicable codes,. standards, specifications, procedures, drawings, and procurement documents. Surveillances are not performed to a preplanned checklist. Test and Operatina Status - identification of material, equipment, and parts that are ready for test or operation, or an existing stage of a test operation. Testina - the determination or verification of the capability of an item to meet specified requirements by subjecting the item to a set of physi-cal, chemical, environmental, or operating conditions. b J 4 3 1 l
-l t
I i
-QAP.- Appendix E Rev.: 9 Date:
- Page 7 of 7
_ _ _ . _ _ . _ . _ . _ . _ . _ _ _ _ ., _.. _ _ . . _ _ . . _ , _ _ _ . . . . _ . _ . . . ~ .
5 } l l APPENDIX F j NORTHEAST UTILITIES QUALITY ASSURANCE PROGRAM TOPICAL REPORT Program Exceptions
- 1. ANSI N45.2.9, states in part, " Structure, doors, frames, and hardware .
should be Class A fire-related with a recommended four-hour minimum rating." The records storage vault door and hardware at NNECO has a two-hour rating and the record storage vault door and hardware at CYAPCo has a three-hour rating.
, Both NNECO and CYAPCO's vaults are used for storage of documentation i
that is unsuitable for filming or awaiting filming. i j A records organization exists along with written procedures addressing the control of quality assurance records.
- 2. ANSI N18.7-1976, paragraph 4.3.2.3 " Quorum" states in part: "A i quorum for formal meetings of the (Independent Review) Committee held under the provisions of 4.3.2.2 shall consist of not less than a majority of the principals, or duly appointed alternates. ..".
The use of Alternates was eliminated from the Northeast Utilities Nuclear Review Board (NRB) Charter due to the difficulties of keeping the Alternates up to date. .The elimination of Alternates forced the creation of a larger NRB membership (seven to eleven j members) for greater diversity, resources, and availability. A quorum of the Nuclear Review Board shall consist of the Chairman , or Vice Chairman and at least four NRB members. No more than a minority of the quorum shall be from the Nuclear Operations Depart-ment.
- 3. ANSI N45.2.9-1974, paragraph 1.4, definition of " Quality Assurance Records" states in part: "For the purposes of this standard, a i
document is considered a quality assurance record when the document * ) has been completed". i Northeast Utilities has developed the following alternative definition l to provide guidance during the interim period from the time a
- document is completed until it is transmitted to the Nuclear Plant
. Records Facility:
"A record is considered a working document until it is transmitted l
- i. to the appropriate Nuclear Plant Records Facility (NPRF) at which time it is designated as a Quality Assurance Records. The following maximum time limits are established for the transmittal of working
- documents to the NPRF
1 i
. QAP - Appendix F Rev.: 9 l Date:
Page 1 of 2
, . , .,---.--.--..-,.-,.,,-w.~.--.,,- , - - - - , - . , . --
, - , -. . . , , . . - , . , - . , # e- + - - - -- -
g n 1 Operations Documents - Documentation generated during Plant Operations may be maintained, as needed, by operating plant departments, for up to one year. New Construction or Betterment Documents - Documents which evolve during new construction or betterment projects shall be transmitted to NPRF within 90 days of completion of a new construction project or turnover of a betterment project to ,, e plant operations. . All Other Working Documents - All other working documents shall be transmitted to NPRF within 6 months of their receipt or completion." The requirements of ANSI N45.2.9-1974 do not apply to these " working documents" based on paragraph 1.1 of the ANSI standard which states:
"It (ANSI N45.2.9) is not intended to cover the preparation of the records nor to include working documents not yet designated as Quality Assurance Records."
2 QAP - Appendix F Rev.: 9 Date: Page 2 of 2
,7 . - - -
, , - _ . .m , -- _ .- , _ . - ,y. _ , -., . , . _ , . . ,- . . - . . . . , , . . , , _ . , .
g n I , APPENDIX G Quality Activity Matrix Activity Regulatory Requirements NU Policy / Procedure EEQ 10CFR50.49 " Environmental NEO Policy Statement Qualification Rule" Regulatory Equipment Environmental l Guide 1.89 " Qualification of Qualification (Draft) Class IE Equipment for Nuclear NE02.21 Nuclear Plant i Power Plants" IEEE Standard Environmental Qualification-323-1974 " Standard for Qualifying Program Class IE Equipment for Nuclear Power Generating Stations" Fire Branch Technical Postions: CMEB NEO 2.14 Nuclear Plant Protection 9.5-1 Rev. 3, (NUREG 0800) 9.5-1 Fire Protection Program Rev. 2, 9.5-1 Appendix A NEO Policy Statement on 10 CFR 50 Appendix R - Fire Nuclear Plant Fire Protection Program for Nuclear Protection Program, March Power Plants Operating Prior to 1982. January 1, 1979 ATWS 10CFR50.62 " Requirements for Position on Maintenance of Reduction of Risk from anticipated Quality Related Equipment transient without scram (ATWS) GEE-85-1632 8/21/85 events for light water cooled nuclear 4 power plants" ! Radwaste Regulatory Guide 1.143, 10CRF61.55, NEO 6.07 - Quality Assurance. 10CFR61.56, 10CFR71, Subpart and Quality Control in H-Quality Assurance, NRC Low Level Station Radioactive Material; Waste Licensing Branch Final Waste Processing, Classification, Classification and Waste Form Packaging and Transportation; Technical Positions, Rev. O, May 1983, and NRC Letter L. B. Higginbotham , to Licensees, February 10, 1984, Additional Guidance on Implementation of 10CFR61 h l l l 1 QAP-Appendix G '
-Rev. 9 Date:
I
d ~m- . ( APPENDIX G QUALITY ACTIVITY MATRIX In addition to QA Category 1, this Topical applies to other quality activities which are delineated in Appendix G. Quality program requirements are derived from the regulatory requirements and NU Policies / Procedures, some of which are tabulated in Appendix G for
? Equipment Environmental Qualification (EEQ), Fire Protection (FP),
Anticipated Transient Without Scram (ATWS) and Radwaste (RW). Appendix G is intended to be used as a guide. The regulatory requirements and NU Policies / Procedures delineated in Appendix G are not all inclusive and the user should not solely rely on this section. i 4 i 1 = QAP-Appendix G Rev. 9 Date: Page 1 of 2 _ _ _ _ _ _ _ . . , .- _ . - - _}}