ML20063P074
| ML20063P074 | |
| Person / Time | |
|---|---|
| Site: | Midland |
| Issue date: | 09/30/1982 |
| From: | INSTITUTE OF NUCLEAR POWER OPERATIONS |
| To: | |
| Shared Package | |
| ML20063P071 | List: |
| References | |
| NUDOCS 8210120281 | |
| Download: ML20063P074 (67) | |
Text
. _ _
September 1982 Criteria Preliminary Performance Objectives and Criteria
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t PERFORMANCE OBJECTIVES AND CRITERIA FOR CONSTRUCTION PROJECT EVALUATIONS INSTITUTE OF NUCLEAR POWER OPERATIONS September 1982 F
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SELF-INITIATED EVALUATIONS i
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@ 1982 Institute of Nuclear Power Operations. Limited reproduction by (NPO members and participants for internal company use is permitted.
NOTIC:".: This document was prepared by the Instittr.e of Nuclear Power Operations (INPO). Neither INPO, members of INPO, other persons contnbuting to o< assisting in the preparation of the document, nor any person acting on the behalf of any of these parties (a) makes any warranty or representation, expressed or implied, with respect tc the f.ccuracy, completeness, or usefulness of the information contained in this document, or that the use of any information, apparatus, method or prccess disclosed in this document may not infnnge on pnvately owned nghts, or (b) assumes any liabilities with rescect to the use of, or for damages result.ng from the use of any information, apparatus, metnod, or process disciosed in this document.
FOREWORD In early 1982, utility nuclear power plant construction problems stim'11ated industry initiative and action to ensure that programs in effect nationwide meet performance goals as intended.
Accordingly, the Institute of Nuclear Power Operations (INPO) was tasked to develop and manage a construction project evaluation program.
The first effort was to define performance objectives and criteria for project evaluations.
Use of the criteria is intended to provide considerably more depth than an 4
audit, for an audit generally is regarded to be no more than a check of the paper trail., An evaluation includes some assessment of administrative records, but more important it focuses on evaluating the quality of the end result of implementing the project systems and procedures.
It also includes assisting the utility by transferring technology, management systems, and pro-cedural systems when the utility is not as strong as has been observed elsewhere in the industry.
Such an evaluation can result in an uplifting, or upgr& ding, by specific recommendations
-on how to achieve a higher level of excellence.
This program is not intended to evaluate whether or not the i.
design is adequate.
Rather, the prcgram will evaluate if the design documents are controlled and if the plant is being con-structed as the design specifies; therefore, design control and quality of construction are-the key objectives being evaluated.
These performance obje'etives and criteria are intended for use by INPO member utilities and third parties in the evaluation of the quality of engineering and construction of nuclear power plants.
The scope of this document addresses the phase of the project beginning with the plant design process and extending through design, construction, and testing to issuance of the Nuclear Regulatory Commission operating license.
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The performance objectives are broad in scope; each gener-ally covers a single, well-defined area.
The supporting criteria are more narrowly focused statements of activities that support or help m.eet the perfor:3nce objectives.
Several criteria are listed under each performance objective.
Corporate and project organizations among INPO member utilities vary widely.
Accordingly, no specific organization has been assumed in developing this document.
The areas addressed represent those relevant to achieving the highest standards in construction of a. nuclear power plant.
Rather than addressing a specific organizational structure, the program is designed to evaluate the systematic control of functions and approaches that are necessary to produce the desired results for project comple-tion.
The performance objectives and criteria emphasize manage-ment involvement in the design and construction of a nuclear power plant, since monitoring and control at the management level are essential to the achievement of an optimum end product.
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This document is intended to provide a basis for INPO and INPO member utilities to assess the quality of utility management in select areas related to nuclear plant design and construc-
- ion.
Since the performance objectives and criteria are intended for use in evaluating the results, they do not necessarily pre-scribe or establish methods of achieving those results.
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PERFORMANCE OBJECTIVES AND CRITERIA FOR CONSTRUCTION PROJECT EVALUATIONS INDEX PART TITLE PAGE OA ORGANIZATION AND ADMINISTRATION..................
1 OA.1 ORGANIZATION STRUCTURE...........................
3 OA.2 MANAGEMENT INVOLVEMENT AND COMMITMENT TO QUALITY.....................................
5 9
OA.3 THE ROLE OF FIRST-LINE SUPERVISORS AND MIDDLE MANAGERS..............
................. 8 DC DESIGN CONTROL..................................
11 DC.1 DESIGN INPUTS...................................
13 DC.2 DESIGN INTERFACES...............................
15 DC.3 DESIGN PROCESS..................................
16 DC.4 DESIGN OUTPUT...................................
18 i
DC.5 DESIGN CHANGES..................................
19 CC CONSTRUCTION CONTROL............................
21
-t CC.1 CONSTRUCTION ENGINEERING........................
23 CC.2 CONSTRUCTION FACILITIES AND EQUIPMENT...........
25 CC.3 MATERIAL CONTROL................................
26 s
l' CC.4 CONTROL OF CONSTRUCTION PROCESSES...............
27 CC.5 CONSTRUCTION QUALITY INSPECTIONS.............~...
28 l
j CC.6 CONSTRUCTION CORRECTIVE ACTIONS.................
29 CC.7 TEST EQUIPMENT CONTROL..........................
30 PS PROJECT S0PPORT.................................
31 PS.1 INDUSTRIAL SAFETY...............................
33 PS.2 PROJECT PLANNING................................
34 PS.3 PROJECT CONTROL.................................
35 PS.4 PROJECT PROCUREMENT PROCESS.....................
37 PS.5 CONTRACT ADMINISTRATION.........................
38 iii i
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e PART TITLE PAGE PS.6 DOCUMENT MANAGEMENT.............................
39 TN TRAINING........................................
41 TN.1 TRAINING MANAGEMENT SUPPORT.....................
43 TN.2 TRAINING ORGANIZAT' ION AND ADMINISTRATION........ 44 TN.3 GENERAL TRAINING AND QUALIFICATION..............
45 TN.4 TRAINING FACILITIES, EQUIPMENT, AND MATERIAL.... 46 QP QUALITY PROGRAMS................................
47 QP.1 QU ALITY PROGRAMi!................................ 4 9 QP.2 PROGRAM IMPLEMENTATION..........................
50 QP.3 INDEPENDENT ASSESSMENTS.........................
31 QP.4 CORRECTIVE ACTIONS.............................. 52-TC TEST CONTROL....................................
53 TC.1 TEST PROGRAM....................................
55 TC.2 TEST GROUP ORGANIZATION AND STAFFING............
56 TC.3 TEST PLAN.......................................
57 TC.4 SYSTEM TURNOVER FOR TEST........................
58 TC.5 TEST PROCEDURES AND TEST DOCUMENTS..............
59 TC.6 SYSTEM STATUS CONTROLS..........................
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OA.1 ORGANIZATIONAL STRUCTURE PERFORMANCE OBJECTIVE The owner's corporate organization and all other project organizations responsible for the design, engineering, planning, scheduling, licensing, construction, quality
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assurance, and testing of a nuclear plant should provide an organizational structure that ensures effective project management control.
CRITERIA A.
The project organizational structure is defined clearly and establishes an effective relationship-among the owner's and contractors' responsible executives and managers for design, construction, procurement, plan-ning, testing, quality assurance, and licensing of a nuclear power plant to support the success of the project.
B.
Managers associated with the project, either owner's, nuclear steam system vendors', architect / engineering 4
firms', or contractors', at the executive, corporate, project, design, procurement, construction, start-up, operations, and quality assurance levels, understand clearly their relationships regarding the project, including their authorities, responsibilities, and accountabilities.
l C.
An owner's manager is assigned responsibility for the j
project activities (her.aaf ter referred to as project manager).
This is his primary responsibility and preferably his sole responsibility.
Also, he has the authority to direct the project.
D.
The owner's project-level managers are assigned respon-sibility for the following listed functional areas in support of the nuclear project activities.
Sufficient l
authority is held by each individual to carry cut assigned responsibilities.
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project control, including planning, scheduling, and cost control 2.
engineering, analysis, and design control 3.
procurement control 4.
construction control 5.
management information systems 6.
training and qualifications 7.
construction testing and turnover control 8.
quality assurance 9.
material receipt, handling, storage, and mainte-nance 10.
record and document management' 11.
legal and licensing requirements 12.
staffing, personnel policy, and salary administra-tion E.
The project manager exercises control in those func-tional areas assigned to managers who do not report to him to ensure that the plant is engineered, designed, constructed, and licensed in a manner resulting in a l
safe and reliable plant.
F.
The project manager's relationship to higher corporate management and ultimately to the chief axecutive officer is defined clearly and documented.
G.
Clearly defined access.to the project manager is pro-vided to other managers having responsibility for the functional areas under criterion D.
H.
Corporate administration of contracts is delegated clearly with contractual obligations well-understood and enforced.
Responsibility and appropriate authority for prompt action on contract changes, renegotiations, or violations of contracts have been assigned.
I.
Staffing for all project organizations is adequate for the authorities and responsibilities assigned. ---
OA.2 MANAGEMENT INVOLVEMENT AND COMMITMENT TO QUALITY PERFORMAl'CE OBJECTIVE Senior anc middle managers in 'he owner's corporate office, designer's office, and at the construction site who are assigned functional responsibility for matters relating to the nuclear project should exhibit, through perconal interest, awareness, and knowledge, a direct involvement _in significant decisions that could affect their responsi-bilities.
CRITERIA A.
Procedures or written statements of policy address subjects relating to the engineering, design, and con-struction of nuclear projects.
They include policies related to project quality, such as workmanship, problem identification and correction, action item tracking, reporting, and procedural compliance.
B.
Project personnel in the corporate office and at the construction site and designer's offices are aware of these procedures and policy statements and have them readily available for reference.
They are able to explain how they are put into practice.
C.
Project personnel demonstrate compliance with these policy statements and the statements have a high degree credibility D.
Both vertical and horizontal communication of signifi-cant problems and corrective actions are effective and coordinated to provide an accurate representation of-conditions.
E.
Meetings involving corporate and project management personnel result in the regular review of key aspects of the nuclear project.
i F.
Corporate managers are made aware of and utilize appro-priate design and construction progress data and trends in setting goals and objectives and in management decisions involving the project.
G.
Methods are established that permit data and trends to be compared with results at other utilities with similar construction projects.
E.
Corporate managers responsible for the nuclear project are familiar with activities and reports that affect design and construction.
They are cognizant of and-sensitive to problems and external factors that might affect progress or quality.
Examples of such involve-ment include the following:
1.
review of applicable audit, evaluation, and inspection results conducted by internal and external organizations 2.
personal interface with the angineering, design, and construction organizations and personal observations of their activities 3.
review of industry's engineering, design, and con-struction experience and trends 4.
review of project plans and schedules and reports of actual progress versus planned progress 5.
review of worker performance indicators such as rework and reject rates I.
Management support and actions reflect appropriate attention to areas such as project management, scheduling, planning, staffing, training, personnel relations, and owner-contractor relations that affect project qualfty.
J.
Corporate managers responsible for nuclear matters are j
committed to seek out and employ methods and informa-tion systems for identifying problem areas and their
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underlying c.auses and for taking coordinated, correc-tive action to eliminate these problems. -
K.
Designated managers associated with the project have responsibility and authority, by policy and practice, to stop or delay engineering, design, or construction activities when their judgement indicates that contin-uation will result in a failure to meet the project objectives.
L.
Management accountability for the project is consistent with the project structure and extends to the contrac-tors, architect / engineering firm, and nuclear steam supply system supplier contractor.
M.
A complementary relationship is evident between manage-ment and quality assurance that supports implementation of a strong corporate commitment to quality.
N.
Decisions are made known to appropriate individuals for implementation.
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.hould be qualified by verified background and experience and have the necessary authority to carry out their func-
~ ional area responsibilities.
t CRITERIA A.
Position descriptions or'the equivalent are employed for each key management and supervisory position.
B.
Minimum qualification, experience, and training l
requirements are defined for project first-line supervisors and middle managers.
C.
Authorities and responsibilities are defined clearly.
Personnel clearly understand and accept their relation-ship in the organization and their authorities, respon-sibilities, and accountabilities.
D.
The first-line and middle managers are actively and personally involved in the nuclear project functional activities.
Functions that could be performed include the following:
1.
approval of qualification requirements for posi-tions that report directly to them 2.
provisions for input to and understanding of pro-l ject policies governing each functional area l
covered in this document i
3.
assessment of selected programs and activities relating to project activities, including follow-up on corrective actions 4.
close involvement with safety review groups per-forming independent reviews of matters affecting safety and reliability 5.
assurance that effective actions are taken on reports of significant and unusual project defi-ciencies in the managers' areas of responsibility l
6.
regular review of project status and current problems 7.
review of selected data and trends discussed in the functional sections of this document 8.
monitoring of organization's performance against established goals and objectives 9.
involvement in and understanding of trending pro-grams and corrective actions related to developing adverse trends 10.
active involvement in ensuring that construction practices and procedures are followed in a manner that enhances the quality of the end product 11.
responsibility for ensuring that workers are quali-fied for their individual assignments and that they perform their work to project standards E.
The project middle managers are sensitive to the need to control work assignments to ensure that project-related effort is not diluted.
F.
Appropriate supervisory, technical, and procedural training is conducted for first-line and middle mana-gers having responsibilities for functional areas in support of project activities.
Appropriate records of attendance, material presented, and test results (if given) are retained to document this training.
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DC.1 DESIGN INPUTS PERFORMANCE OBJECTIVE Inputs to the design process should be defined and con-trolled to achieve complete and quality designs.
CRITERIA A.
Design inputs such as codes, standards, regulatory commitments and requirements, criteria, and other design bases are identified, defined clearly, docu-mented, evaluated, approved, and their scope of appli-cability is define'd prior to their use in the design process.
B.
The design inputs include consideration of all of the requirements necessary to produce a quality design including feedback from pertinent industry engineering, j
design, and construction experience.
C.-
Plant constructability, operability, inspectability and maintainability are considered in plant designs.
D..~ The design inputs are provided at a level of detail and clarity necessary to be useable and understandable by all persons using these inputs.
E.
A systems, components, and materials experience infor-mation base, to the extent available, is a key element in the design process.
Specifications for key safety-related equipment that does not have a substantial service history contain a requirement for supplier acceptance tests.
F.
The issuance and use of design inputs is controlled by the use of complete and understandable procedures.
l G.
All changes to the approved design inputs are docu-mented and approved prior to their use.
H.
Design personnel utilize supplier expertise as appli-cable in the design process.
I.
Design and design control information is readily available for use by all design personnel.
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Design personnel utilize supplier expertise as applicable in the design process.
I.
Design and design control information is readily available for use by all design personnel.
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DC.2 DESIGN INTERFACES PERFORMANCE OBJECTIVE Design organization external and internal interfaces should be identified and coordinated to ensure a final design that satisfies all input requirements.
CRITERIA ~
A.
Design organization engineering authority is documen-ted, and limits of responsibility and authority are defined clearly.
B.
The flow of design information between both external and internal organizations is controlled and timely.
C.
The external and internal interf aces and responsibili-ties are defined and controlled by procedures.
D.
Oral and other informal means of communication, including letters and memos, which provide significant design information, are confirmed and promptly made a part of the design input by a controlled document.
E.
System interaction is considered in system design and analysis.
F.
Systematic and effective lines of communication are established.
i G.
Design and design change information are coordinated 6
effectively with all affected disciplines and operating personnel.
H.
Transfer of design responsibilities and documents from one organization to another is planned and implemented l'
in a controlled manner.
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DC.3 DESIGN PROCESS PERFORMANCE OBJ1!Xh-IVE The management of the design process should result in designs that are safe, reliable, verifiable, and in com-pliance with the design requirements.
CRITERIA A.
The design process is documented, planned, and sched-
.uled to ensure an orderly, sequenced process for completing design.
B.
Responsibility for controlling each function of the design process, including the preparation, review, and approval of input, in process, and output documents, is defined clearly, documented, and understood.
C.
The overall design review process includes system j
design reviews; verifications of calculations, methods, and computer runs; and validations of computer codes and models.
The reviews or verifications are performed by individuals or groups other than those who performed the original design.
D.
Design documents include scope and applicability as well as the identity of the originator and checker.
E.
Calculations and analyses clearly specify information such as applicability, assumptions, design inputs, references, methods, and results in a manner that I
allows a technically qualified person to understand the calculations or analyses.
F.
When an independent check of calculations and analyses is required, it is performed by a technically qualified person, and the method of checking is noted on the documents.
G.
Design process problems are identified, and decisions l
are made to resolve the problems in a timely and effec-tive manner. -
H.
Supervisory and management involvement in the design process is evident by the quality and timeliness of the output information and resolution of design problems.
I.
Design personnel prov.~ie timely technical support and follow-up on systems thsy have designed.
J.
Design processes are monitored for compliance with design commitments.
K.
Design control measures, such as procedures and check-lists, are used to ensure that design inputs, such as design criteria, design bases, regulatory requirements, codes, and standards, are translated correctly into design documents, including specifications, calcula-tions, drawings, procedures, instructions, and other documents needed to build a plant.
L.
Drawings, specifications, and other design documents are prepared under a controlled process that estab-lishes standards for pertinent items such as format, content, status, and revision.
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DC.4 DESIGN OUTPUT PERFORMANCE OBJECTIVE Project design documents should specify constructable designs in terms of complete, accurate, and understandable design requirements.
CRITERIA A.
The purpose of each type of design document is defined clearly.
B.
Design output documents reflect a constructable, oper-able and maintainable design that meets the design input requirements.
C.
The total design package is complete and understandable without the need for extensive coordination or inter-pretation by construction or vendor personnel.
D.
The design organization is aware of the capabilities and requirements of the supplier and the construction organization.
I E.
Sufficient detail, legibility, and clarity for inter-1 pretation and reproduction are provided in design l
output documents to facilitate correct implementation l
of the design.
F.
The design organization is responsive to the need for clarification of design output documents where these needs are identified.
G.
Design output documents are issued and kept current using a controlled process. _. _,. _ _ _ _
DC.5 DESIGN CHANGES PERFORMANCE OBJECTIVE Changes to released project design documents should be controlled to ensure that constructed designs comply with the most recent design requirements.
CRITERIA A.
The design organization's response is timely and effee-tive regarding identified changes.
B.
Reasons for the change are identified, evaluated, and, if necessary, actions taken to avoid future problems.
C.
The responsible design organization considers inputs to the original design before a change is issued.
D.
Design changes are coordinated with any affected, disci-pline and/or organization in a timely manner.
E.
Appropriate procedures and methods are revised if design changes make these revisions necessary.
F.
Prior to the approval of the design change, consider-ation is given to. quality, safety, cost, and schedule.
G.
Changes are subject to control measures commensurate with those of the original design.
H.
A system is utilized to determine whether or not the change being made impacts other parts of the system being changed, other areas of the plant, or other plants under construction.
I.
Methods are in place to ensure that changes are imple-mented in a timely manner.
J.
All changes, including those initiated by regulation, construction, vendor, or design, are properly reviewed by the design organization and, if approved, incorpor-ated into the design documents.
K.
Appropriate design changes are evaluated promptly by each affected discipline, and necessary corrective action is taken and documented in a timely manner.
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Design change review considers the change impact on items such as calculations, system functional require-ments, original safety analysis assumptions, inspect-ability, maintainability, and selection of equipment and material.
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Engineering and design performed under the authority of the construction organization should be controlled as to consi-stency with the basic design criteria to ensure compliance I
with applicable codes, standards, and regulatory commit-ments.
CRITERIA A.
Construction engineering authority is documented, and limits of responsibility and authority are defined clearly.
B.
Procedures are effective in controlling the engineering and design processes of the construction engineering organization..
C.
Guidelines are issued to ensure that the basic design criteria used by the construction engineering organi-zation is consistent with that used in the original t
plant design.
j D.
Interface links between architect / engineering home I
office and the construction engineering group are efficient, effective, and defined clearly.
E.
Interface links among major vendors and subcontractors and the construction engineering group are efficient, t
effective, and defined clearly.
F.
Construction engineering field change control is main-l tained effectively as required to support the construc-tion effort and to ensure final as-built conditions are defined.
G.
Construction engineering supports major construction s
equipment processes (e.g.,
special rigging studies and transportation studies) with calculations and design prior to important field construction effort.
H.
State-of-the-art engineering and design verification exists for construction engineering processes.,
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I.
Adequate engineering and design issuance procedures are in effect to support the engineering and construction process and to ensure management awareness of generic design or constructability problems.
J.
Fie_d detail sketches and drawings for fabrication and installation accurately reflect basic design drawings and documents.
K.
Linkage to the document control system exists to ensure engineering and design documents are handled properly.
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CC.2 CONSTRUCTION FACILITIES AND EQUIPMENT PERFORMANCE OBJECTIVE Construction facilities and equipment should be planned for, acquired, installed, and maintained consistent with project needs to support quality construction.
CRITERIA
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A.
A site plan has provided for key location of facilities such as warehouses, craft shops, equipment storage, and production facilities.
B.
Construction equipment is acquired in a manner to sup-port'the construction schedule and is maintained in optimum condition to support quality work.
C.
Facilities and equipment, both temporary and permanent, meet the project needs and specifications, and are maintained in accordance with established requirements.
D.
Periodic inspections or surveillances of the work areas and activities are performed to ensure that facilities and equipment support construction needs.
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CC.3 MATERIAL COYrROL PERFORMANCE OBJECTIVE Material and equipment should be inspected, controlled, and maintained to ensure the final as-built condition meets design and operational' requirements.
CRITERIA A.
The receiving process ensures that re411ving inspec-tions include evaluations of incoming materials and equipment against the procurement specifications.
This process results in proper and timely disposition of deviations.
4 B.
Materials and equipment are identified properly to I
control installation and use.
C.
Quality documentation for received material is accounted for, reviewed, accepted, filed, and retriev-able.
D.
Items received are processed in a timel.y manner to allow early identification of those items requiring special handling, storage, and preventive maintenance.
i E.
Nonconforming items are identified and controlled to prevent unapproved use.
F.
Material and equipment storage, handling, and security are controlled effectively in accordance with specified requirements.
G.
The warehousing facility has an accurate inventory control system that provides for the effective location of items.
H.
The issuance process ensures that correct material is issued in accordance with engineering requirements.
I.
Effective preventive maintenance, including maintenance of cleanliness standards, is initiated at the appro-priate time and continues throughout the construction process.
J.
Environmentally sensitive equipment is protected ade-7 l
quately from the degrading effects of temperature, humidity, and dirt.
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CC.4 CONTROL OF CONSTRUCTION PROCESSES PERFORMAR.'E OBJECTIVE The construction organization should monitor and control all construction processes to ensure the project is com-pleted to design requirements and that a high level of quality is achieved.
CRITERIA A.
Construction activities are identified in advance to allow for development of procedures and selection, training, and qualification of-personnel.
B.
Work procedures and instructions have sufficient detail to ensure that construction activities are in accord-ance with engineering requirements.
C.
Construction activities are performed in accordance with work procedures, instructions, and current revi-sions of drawings approved for construction.
f D.
Rework activities are performed in accordance with established procedures and are subject to required l
ir.spections.
E.
Work is performed by and under the supervision of j
qualified personnel who recognize and accept a respon-sibility for quality.
F.
Proper tools are available and are used correctly.
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l CC.5 CONSTRUCTION QUALITY INSPECTIONS PERFORMANCE CBJECTIVE Construction inspections should verify and document that the final product meets the design and quality require-ments.
CRITERIA A.
The inspection process is defined accurately prior to the start of the work and is controlled to meet the requirements of the project.
B.
An effective system is in place to encourage the reporting of degraded quality.
C.
Inspection procedures are clear, define the inspection process in detail, and reference appropriate accepiance criteria.
D.
Inspections are integrated into the construction processes and work schedules.
E.
Inspections are performed using written procedures.
F.
Calibrated equipment used in inspections is of the proper type, range, and accuracy.
G.
The quality control inspectors are separate from the production function.
H.
The records clearly indicate the scope of the inspec-tions, the inspector, and the results.
7.
Records are reviewed for completeness and accuracy prior to their storage in accordance with project requirements.
CC.6 CONSTRUCTION CORRECTIVE ACTIONS PERFORMANCE OBJECTIVE The construction organization should evaluate audits, inspections, and surveillancesr process replies and follow-up; and take corrective action to prevent recurrence of similar problems.
CRITERIA A.
The construction organization tracks construction audits and surveillances, prepares well-researched replies that address the deficiencies, and takes prompt and effective corrective action.
B.
The construction organization evaluates audits for generic problems and trends and takes appropriate action to prevent recurrence.
C.
Nonconformances are identified, tracked, and closed out in a timely manner..
D.
The construction organization revi.ews nonconformances to ensure corrective actions have been taken, evaluates f
for trends, and reports problem areas to upper manage-ment.
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CC.7 TEST EQUIPMENT CONTROL PERFORMANCE OBJECTIVE Measuring and test equipment should be controlled to support construction tasting effectively.
CRITERIA A.
Measuring and test equipment utilized for testing is identified uniquely.
B.
Measuring and test equipment is controlled to ensure that only properly calibrated equipment is used for testing.
C.
Specific programs are implemented to provide regular calibration of instrumentation and to track status and calibration of each instrument used for testing.
D.
Special procedures are implemented to identify retest requirements when instrumentation is found to be defec-tive.
E.
The construction organization-tracks equipment cut-of-tolerance reports and work performed to correct work previously done incorrectly.
F.
The construction organization establishes regular main-tenance and calibration intervals for all equipment and ensures timely calibration for each device.
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Calibration is accomplished correctly using certified l
equipment traceable to recognized standards or methods.
Calibration records are retained and retriev-able.
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PROJECT SUPPORT 4
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4 PS.1 INDUSTRIAL SAFETY PERFORMANCE OBJECTIVE The construction site industrial safety program should achieve a high degree of personnel safety.
CRITERIA A.
An effective industrial safety program with clearly defined policies, procedures, scheduled training requirements, and individual responsibilities is imple-mented with the full support of managers and super-visors.
B.
Selected data and trends of industrial safety activi-ties are monitored, inci'tding the following:
1.
summary analysis of first aid treatments 2.
analysis of accidents requiring doctor-'s care 3.
incidence of lost-time accidents 4.
frequency of safety violations identified C.
General housekeeping practices prevent the accumulation of debris and trash.
D.
A safe and orderly job site working environment exists.
l E.
Lifting and rigging equipment is checked regularly.
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F.
A fire protection program is defined, organized, and well-publicized.
I G.
The site controls hazarcous materials effectively.
,l H.
A safety tagging program exists and is implemented t
effectively to protect equipment, personnel, and material.'
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PS.2 PROJECT PLANNING PERFORMANCE OBJECTIVE Project plans should ensure completion of the project to the highest industry standards by identifying, inter-relating, and sequencing the tasks of the project organi-zations.
CRITERIA A.
The project master plan presents the interrelationships of tasks within and among the plans for the various elements of the project.
B.
The project plans are documented and approved by the appropriate level of management.
C.
The project plans are updated to reflect changing con-ditions.
D.
The project plans are communicated to the responsible project members.
E.
Clear lines of authority and responsibility exist between the indavidual assigned responsibility for plan development and those responsible for plan implemen-tation.
F.
Individuals assigned responsibility fer planning for each functional area of the project are provided the necessary data.
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PS.3 PROJECT CONTROL PERFORMANCE OBJECTIVE Project scheduling and work planning and coordination should ensure that the objectives of the project plan are met t'hrough effective and efficient use of project resources.
CRITERIA A.
Individuals responsible for functional areas demon-strate an awareness of the need for and knowledge of project controls and utilize these controls as required.
B.
Elements of work are defined into manageable segments that can be accomplished by a typical work unit on a definite schedule.
C.
Elements of work are defined in a way that identifies clearly the construction unit or discipline responsible for the work.
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D.
Based on input and feedback from responsible project personnel, a controlling construction schedule exists that provides a plan for completion of work elements and commitments and that provides management with a clear, concise, and understandable method of tracking project milestone completion.
E.
Elements of work are recorded in a tracking system that is established prior to the work being performed and that allows project construction completion to be moni-tored based on installed quantities.
I i F.
Work elements are integrated into the construction schedule in a manner that facilitates construction erection sequence, mimimizes interferences and rework, and optimizes project resources.
G.
Deviations from the project schedule and plan, caused by regulatory, productivity, design and other changes and interferences, are communicated to the proper level,
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of management and analyzed for trends.
Corrective actions are taken to modify the schedule and plan.
H.
Quality control hold point inspections are integrated with the work activities.
I.
The work activities address support requirements.or the segments of work to be accomplished.
J.
Work plans provide for a smooth transition from bulk scheduling to system completion scheduling.
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PS.4 PROJECT PROCUREMENT PROCESS PERFORMANCE OBJECTIVE The project procurement process should ensure that equip-ment, materials, and services furnished by suppliers or contractors meet project requirements.
CRITERIA A.
Procurement documents provide clear and adequate tech-nical, quality assurance, commercial, and administra-tive requirements necessary to define the scope auf.
requirements of the contract.
B.
The preparation, review, and approval of procurement documents are controlled in accordance with established procedures.
C.
A list of qualified suppliers or contractors is used to identify sources of quality products and. services.
D.
Only those suppliers or contractors who are listed as qualified are requested to furnish bids or proposals.
E.
Pro'posals and bids are evaluated for compliance with
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documents.
These evaluations are performed by the personnel responsible for the preparation of the pro-curement specifications.
F.
The recommendation and contract award are conducted in accordance with established procedures.
G.
Subtier suppliers or contractors are contractually bound to' adhere to related portions of the contract.
H.
Supplier and contractor performance histories are used j
to improve the procurement process.
I.
Purchasing and contract documents are reviewed to ensure inclusion of requirements to achieve quality.
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PS.5 CONTRACT ADMINISTRATION PERFORMANCE OBJECTIVE Methods for administering and controlling contractors and suppliers and for managing changes to their contracts should ensure effective control of performance.
CRITERIA A.
Changes are prepared, reviewed, and approved in a manner consistent with the original requirements.
B.
Changes are justified with respect to quality, safety, cost, and schedule and are approved by an appropriate level of management.
C.
All verbal or informal changes are conroved and con-firmed promptly in writing within the. guidelines of the change procedures.
b D.
Performance is monitored, and corrective action is implemented as required.
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PS.6 DOCUMENTATION MANAGEMENT PERFORMANCE OBJECTIVE The, management of project documentation should support the effective control and coordination of project activities and provide a strong foundation for the documentation /
information requirements of the plant's operational phase.
CRITERIA A.
A comprehensive records mangement plan and schedule exists to do the following:
1.
identify the documents and records required by regulations, purchase specifications, corporate requirements, and standards 2.
specify the minimum content and format requirements and acceptance criteria for each record / document type 3.
clearly designate responsibility for receipt, review of acceptability, resolution of deficien-cies, and control of documents during construction 4.
contain proper methods for declaring appropriate i
documents "as-built" during construction 5.
determine what, when, how, to whom, by whom, and in what format records will be turned over to the plant's oeprational staff B.
The records management plan is effective in identifying the current status of project documents such as the following:
1.
design drawings 2.
specifications 3.
structure / system descriptions f!
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vendor drawings and manuals 5.
design criteria and procedures i.
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The records management plan effectively incorporates approved changes or revisions into the project docu-ments within an acceptable time frame.
D.
The distribution system is defined and ensures timely distribution of-current project documents to engineer-ing, construction, and project support personnel within
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the project organization and to appropriate contractors and vendors.
E.
The project maintains master files of the latest revi-sion of project documents that are correct and acces-sible.
F.
Storage facilities provide secure maintenance of permanent and nonpermanent records.
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TN.l TRAINING MANAGEMENT SUPPORT PERFORMANCE OBJECTIVE Management should ensure that an effective program exists for indoctrination, training, and qualification of person-nel involved in the project.
CRITERIA A.
Corporate managers in each area have an active interest and involvement in the training program.
B.
Managers are trained and have adequate knowledge in areas related to their roles in the design and con-struction of a safe and reliable plant.
C.
Training is neither interrupted, deferred, or can-celled, nor are personnel diverted routinely from training to other activities.
D.
Management and supervisors are involved actively in assessing the qualifications and training needs of individuals with. respect to their assigned tasks.
E.
Management makes use of' feedback information to improve the effectiveness of the training program.
F.
Actions taken as a result of monitoring training and qualification trends are reviewed by appropriate levels of management on a periodic basis.
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1 TN.2 TRAINING ORGANIZATION AND ADMINISTRATION PERFORMANCE OBJECTIVE j
The training organization and administration should ensure effective control and implementation of training activi-ties.
CRITERIA A.
The training organization is defined clearly.
B.
Training and qualification goals and objectives are established.
C.
Training and qualification efforts are governed by procedures that outline responsibilities of the train-ing organization.
D.
Training personnel are provided training and oppor-tunities to enhance their performance as instructors.
E.
Training programs address organizational needs at appropriate le'vels.
F.
Technical and nontechnical training requirements for individuals are defined clearly and documented.
G.
An active program exists to acquire feedback for the purpose of developing, modifying, and improving the training programs.
H.
Training activities are conducted regularly, and results are documented.
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TN.3 GENERAL TRAINING AND QUALIFICATION PERFORMANCE OBJECTIVE The training program should ensure that all employees receive indoctrination and training required to perform effectively, and that employees are qualified as appro-priate to their assigned responsibilities.
CRITERIA Initial selection, training and indoctrination enable individuals to perform assigned responsibilities effec-tively.
B.
The previous qualification and training of new hires
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and transfers are verified.
C.
Individuals are qualified as appropriate for their assigned responsibilities.
D.
Training on a continuing basis, both formal and on-the-job, maintaint the employee's ability to perform con-siste,ntly and effectively.
2.
Continuing training provides an effect'ive means of keeping employees up-to-date regarding changes'to policies, procedures, processes, instructions, and commitments.
F.
Individuals are requalified or recertified as required to keep their qualifications current.
G.
Feedback is acquired and used to modify and improve training methods and content.
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TN.4 TRAINING FACILITIES, EQUIPMENT, AND MATERIAL PERFORMANCE OBJECTIVE The training facilities, equipment, and material should support and enhance training activities.
CRITERIA A.
Classroom facilities are provided for group instruc-tion.
B.
Reference materials are up-to-date and readily acces-sible.
C.
Equipment is available as needed to support training material development.
D.
Training aids and material are provided to support the program.
E.
Test and certification records are available and are updated regularly, and a follow-up system for required recertification of per5onnel is utilized.
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QUALITY PROGRAMS 9
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QP.1 QUALITY PROGRAMS PERFORMANCE OBJECTIVE The quality assurance program scope, content, and applica-bility should be appropriate, defined clearly, and under-stood.
CRITERIA A.
The quality assurance and quality control programs include all necessary program elements.
B.
Day-to-day activities are observed and monitored under a continuing program designed to ensure the highest quality of personnel performance, workmanship and attention to detail.
C.
The quality assurance program is applied to the project in an appropriately graduated way.
D.
The relationship between manuals and the applicability of procedures is defined clearly and understood.
E.
Audit and surveillance schedules are modified as appropriate to verify the effectiveness of program implementation and to reflect the need for increased monitoring.
F.
The utility conducts evaluations of contractors' quality assurance program with sufficient regularity and in sufficient depth to ensure program effective-ness.
G.
The programs provide for indoctrination and training of personnel as necessary to ensure that suitable profi-ciency is achieved and maintained.
H.
The "stop process" and "stop work" authority is under-stood. clearly and implemented effectively.
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QP.2 PROGRAM IMPLEMENTATION PERPORMANCE OBJECTIVE Quality assurance and quality control functions should be performed in'a manner to support and control the quality of the project activities.
CRITERIA A.
The relationship of the quality assurance and quality control organizations with other organizations and' individuals is defined clearly to ensure their independence.
B.
Quality assurance and quality control personnel experi-ence a cooperative relationship with other project personnel and are free of harrassment and intimidation.
C.
Quality assurance and quality control areas function in a manner that supports management.
D.
The quality assurance programs of vendors and contrac-tors include measures to achieve quality and are implemented in an effective manner.
E.
Project organizations utilize technical specialists in the implementation of the quality requirements.
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i QP.3 INDEPENDENT ASSESSMENTS l
PERFORMANCE OBJECTIVE l
independent assess-Management should provide an effect
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ment of project activities affecting the quality of the project.
CRITERIA A.
A plan is implemented to ensare that audits and surveillances effectively assess applicable project activities in a timely manner.
B.
The results of the independent assessments identify substantive issues affecting performance.
D.
Independent assessments are performed by individuals with no direct functional responsibilities for the area being assessed.
E.
Independent assessments are performed by individuals suitably qualified to conduct the assessment.
F.
The analysis of the assessments properly evaluate the
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G.
The results of the assessments and evaluations are directed to and used by the management of organizations to improve their effectiveness.
H.
Periodic evaluations of the effectiveness and adequacy of the total quality program are performed.
Results are reported to the senior management level, and appro-priate action is implemented.
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QP.4 CORRECTIVE ACTIONS PERFORMANCE OBJECTIVE Conditions requiring corrections or improvements should be resolved in an effective and timely manner.
CRITERIA A.
Conditions adverse to quality are reported promptly and accurately.
B.
The responsible organization assumes its responsibility for and its management is involved in and supports the correction of adverse quality.
C.
The senior levels of management are apprised of adverse quality conditions and hold the responsible supervisors accountable.
D.
Corrective action resolves not only the reported item, but also the basic cause in a manner that ensures the quality of future activities.
E.
Effective corrective action is taken in a timely manner.
F.
The quality assurance, quality control, and project organizations cooperate in identifying and solving problems effectively.
G.
Quality performance trends are developed and analyzed to effectively address' generic problems and basic causes of degraded quality.
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TEST CONTROL 9 l 1
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TC.1 TEST PROGRAM PERFORMANCE OBJECTIVE The test program should verify the plant's full capability to operate as intended by testing the plant's systems i
functionally.
CRITERIA A.
A clear policy is developed and endorsed by top manage-ment that describes the test organization's responsi-bility for component, system, and preoperational testing.
B.
The principal design organization is involved in formulating test objectives and acceptance criteria.
C.
The test program describes the scope of system testing, provides detailed guidance for conduct of testing, and includes methods for evaluation of completed tests.
D.
Nonconforming conditions and discrepancies are identi-fied and tracked, and appropriate resolution or correc-tive action is achieved.
E.
Adequacy of plant operating and maintenance procedures is demonstrated.
F.
The test program describes the quality assurance program under which it functions.
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TC.2 TEST GROUP ORGANIZATION AND STAFFING PERFORMANCE OBJECTIVE The test group organization and staffing should ensure effective implementation of the test program.
CRITERIA A.
The test group organizational structure and organiza-tional relationship to interfacing organizations are defined clearly.
B.
The staff build-up acccmmodates the early requirements for testing procedure and schedule preparation.
C.
The staff size is sufficient to accomplish the assigned tasks as dictated by the test schedule.
D.
Permanent plant personnel are utilized during testing, to the maximum extent practical, in order to enhance their experience and training.
E.
Key management, supervisory, and professional positions are described in writing.
F.
Personnel who are assigned to perform testing meet the experience and qualification requirements as delineated in the written position descriptions.
G.
Qualifications of test personnel are maintained.
TC.3 TEST PLAN PERFORMANCE OBJECTIVE The test organization should prepare a plan and a schedule that describe the sequence of system or component testing to support major schedule milestones.
CRITERIA A.
The plan and schedule are developed by personnel experienced in test and start-up operations.
B.
The plan and schedule are coordinated with the engi-neering and construction schedules so restraints are identified for project management action.
C.
The plant systems are scoped into logical, bounded, well-defined subsystems that can be tested as units.
D.
The schedule for individual system or component testing describes the required elements of testing, including those systems required to support individual system testing.
E.
The status of testing is monitored by a tracking system.
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TC.4 SYSTEM TURNOVER FOR TEST PERFORMANCE OBJECTIVE The construction testing and turnover process should be controlled effectively to ensure that program objectives are met.
CRITERIA A.
Jurisdiction is delineated for organizations respon-sible for the conduct of tests, acceptance of results, and turnover to succeeding test programs.
B.
Tests are performed and results evaluated for confor-mance to design requirements.
C.
Retests are performed when necessary and are controlled to ensure completeness of verification.
D.
System walk-downs are conducted by appropriate and qualified individuals and entities who effectively identify engineering, maintenance, and construction deficiencies.
E.
System turnover 'rocedures identify clearly partici-pants, duties, responsibilities, and documentation necessary for the turnover process.
F.
Turnover documents identify boundaries, material, equipment, deficiencies, and exceptions existing at the time of turnover.
G.
Turnover exceptions are tracked effectively and are corrected in a timely manner.
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The lead' design, construction, quality control, and testing organizations integrate project needs effec-tively and accomplish the turnover process in a timely manner.
I.
System and area cleanliness and maintenance programs are continued during the test phase. l l
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TC.5 TEST PROCEDURES AND TEST DOCUMENTS PERFORMANCE OBJECTIVE Test procedures and test documents should provide appro-i priate direction and should be used effectively to verify operational and design features of respective systems.
CRITERIA A.
The necessary technical data are used in test procedure preparation.
B.
Approved test procedures are available in advance of their intended use to allow adequate test preparation and training.
C.
The test procedures describe clearly the objectives, prerequisites, system boundaries, and acceptance cri-teria for tests.
D.
Test procedures receive the prescribed review before approval.
E.
Tests are performed in accordance with approved proce-dures.
F.. Necessary retssting is conducted when design changes occur during or after completion of the test phase.
G.
The results of the test program receive an independent review and approval.
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TC.6 SYSTEM STATUS CONTROLS PERFORMANCE OBJECTIVE A method should exist to identify the status of each system or component and the organization holding control or jurts.
diction over that system or component to prevent interfer-ence and ens'tre equipment and personnel safety.
CRITERIA A.
Policies and procedures for plant status controls are implemented during' testing.
B.
A system is implemented to ensure current knowledge of the status of systems.
C.
Activities affecting the status of systems and changes of status are authorized by designated personnel and are appropr.iately documented.
D.
Taggin'g systems are coordinated among the various groups involved in the project to ensure control of status and of equipment and personnel safety.
E.
Procedures are implemented to install, control, remove, and review periodically temporary field modifications.
F.
Jurisdiction and control of construction work on sys-tems after initial turnover are defined clearly and implemented.
Complete and current system documentation packages, G.
including all changes and revisions resulting from the testing program, are provided to the plant operating staff in a timely mannar.
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