ML20090L728

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Rev 4 to Procedure UST-AUDIT-1, Internal Audit
ML20090L728
Person / Time
Site: Midland
Issue date: 10/19/1977
From:
UNITED STATES TESTING CO., INC.
To:
Shared Package
ML17198A223 List: ... further results
References
CON-BOX-04, CON-BOX-4, FOIA-84-96 UST-AUDIT-1, NUDOCS 8405260036
Download: ML20090L728 (13)
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UNITED STATES TESTING COMPANY, INC. - Power G:neration Services CHANGE NOTICE Controlled Copy No.

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1. The following docurnent is changed as doombed boiow.

DOCUMENT NO.

CHANGE NOTICE NC.

i coC,uMENT TiTLs:

Pemanent CN #3 UST-AUDIT-1 00CUMENT

2. CHANGE NOTICE REVISION NO.

STATL*S INTERNAL AUDITS 4

FA-I

s. This caengo notw. copiiseMe = ine feiowing pro,est (si:

Midland Project No. 7220-C-208 (1015)

4. Sign and return Transmrttoi to ooknowledge your reempt of this Change Notice -

Atoe attach this Change Notice on top of the cover sheet of your copy (capite) of the referens*1 documente.

PAGE PA R.

NO.

NO.

S.

DESCRIPTION OF CHANGE -

5 6.1.1 This new paragraph is added:

6.1.1 After the audit report is issued the Project Manager i

or his designee shall submit a bimonthly status report to the Audit Manager. This report shall~ record the status of outstanding audit findings. The Audit

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Manager shall follow-up the timely submittal of these reports.

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i CONTROLLED 5

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l NOTE: Pemanent Change Notice No.1 is only applicable to the Clinton Proj ect.

Pemanent Change Notice No. 2 is only applicable to the Perry Proj.,

& Description of changs is continued on 0

-teched sheets.

WITHORAWAL jd fM f 7.y l APPROVAL:

Date:

Prepared:[ fj[,ReneweeMOE -poroved:

, 4.

Cate:

7.

I havehesmee slid read this Change Notice and fullyh i@requiremente as it portans to my reasonsbilities (sign only when esey le issuor. m wul SIGNATURE -

DATE UETF. CN 1.1 REV. 0

2. STAft1 COCES: FA.PoM APPROVAL.

A. APPROVED.

H. HO LD. DO NOT IMPLEME NT.

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F405260036 840517

i. MPLEMENT. W.WITHORAW CHANGE NOTICE PDR FOIA RICE 84-96 PLR

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Bechte! Power Corporation Post Clf.ce Box 2167 Midracd. Michigan 48640 March 6, 1978

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U. S. Testing Company, Inc.

1415 Park Avenue

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Hoboken, New Jersey 07030 Attention:

Mr. D. Edley Job 7220 Midland Project - '

Subcontract 7220-C-208 Quality Assurance Manual Copy No. 6, Revision 5 C-208-3-295

Dear Mr. Edley:

The -following change notices and revisions have been reviewed to the requirenents of ANSI N45.2-1971, Quality Assurance Proj-gram Requirenents for Nuclear Power Plants:

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QA Manual Revision 5 CN 1 Dated Septenber 23, 1976 QA Manual Revision 5 CN C2 Dated March 22, le77 QA lbnual Revision 5 CN C4 Dated March 22, 1977 QA Manual Revision 5 CN C5 Dated July 11, 1977 QA Manual Revision 5 CN 6 Dated Septenber 16, 1977 r -1 Revision 3 CN 3 Dated October 19, 1977 UST-TQ-1 Revis on o.

CM 2 Dated October 3, v>se QCP-4 Revision 1 CU 2 Dated June 1, 1977 l

i QCP-4 Revision 1 CN 3 Dated June 16, 1977 QCP-4 Revision 1 CN 4 Dated September 9, 1977 QCP-4 Revision 1 CN 5 Dated Septe=ber 15, 1977 QCP-5 Revision 2 Dated Novenber 9, 1977 The results of this review have determined that the change notices and revisions are acceptable and a Status Level 1 has been assigned.

Very truly yours, mi so

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UNITED STATES TESTING COMPANY, INC.

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POWER GENERATION SERVICES Cont.tlled Copy No.

TITLE PROCEDURE NC.

UST-AUDIT-1 Internal Audits CONTROLLED

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4 SCOPE OF REVISIONS:

Revision No. 4: Page 3:

Par. V 2.4, modified thh infomation required 'en audit checklists.

Par's. V 3.2 & 3.3, added requirement for pre-audit conference.

Page 4: Par's. V 4.1&4.2, revised audit report requirements.

Page 5: Par's. 5.3 & 5.4, changed audit report distribution responsibilities.

Par. 6.1, editorial change.

Par. 6.3, clarified corrective action reporting requirements.

Page 6: Section VI, expanded audit documentation retention requiremen+..

Fom No. USTF-1.1, Revised audit report cover sheet.

I HAVE READ THIS PROCEDURE AND FULLY UNDERSTANO ITS REQUIREMENTS AS IT PERTAINS TO MY RESPCNSIBILITIES. (Only sign when copy is issued to youb Sqneture & Date REVISION NO.

4 NO.OFSHEETS 10

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PREPARED BY

,4 J[*

REVIEWED SY

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APPROVED SY t

OATE OF ISSUE y

1. STATUS COCES; ~ P A. FO R A'P#R'O VA L; A A PPRdVED 5

USTF.PWC 1.1 REV.3 H,_HO,L,0. 00 N,OT,lMPLEMEN,T; l@PL5 VENT

fM7C - C20'ci -C'Ji~" h 0[7'", g _ (.f UNITED STATES TESTING COMPANY, INC.

POWER GENERATION SERVICES Controlled Copy No.

TIT U PROCEDURE NO.

Internal Audits UST-AUDIT-1 REVISION NO.

REVISION STATUS 1-SCOPE OF REVISIONS:

Revision No. 1:

Revised all sections to clarify the intent of tho audit program and the duties of Project Supervisors.

Revision No. 2:

Revised all pages to more clearly define re-sponsibilities.

Retyped this procedure cover sheet on the Rev. 3 of Form Number USTF-PWC-1,1 I

Revision No. 3:

Changes made throughout procedure.

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1 1 HAVE READ THl3 PROCEDURE AND PULLY UNDERSTANO IT5 RtOulREMENTS 18 IT PERTAINS TO MY RESPONSIBILITIE1. (Only sign when, espy k issued to you)

Swum & Osw I

REVISION NO.

Original 1

2 3

I NO.OPSHEETS N/A 8

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. f'h,1, PwAREo sY Andrew Walcut.t. E.J. Zadina 7

i M. Appleman

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REVIEWED BY N/A J. Marucci r

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APPROvEo sY Gene Basile G. Basile

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,a vv iv oArt OP issue 5/15/75 8/8/75 JJaf74 7/23/76

1. STATUS CODES: P A
  • FOR APPROVAL; A. APPROVE D USTP.PWC.1.1 REV.3 HMI O. 00 NOT IMPLEMENT; l-4MPLE MENT

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UST-AUDIT-1 Rev. 4 TABLE OF CONTENTS I.

PURPOSE II.

SCOPE III.

REQUIREMENTS IV.

RESPONSIBILITIES 1.0 V. P. of Power Generation Services 2.0 Audit Manager 3.0 Lead Auditor 4.0 Project Manager 5.0 Project Supervisors t

c V.

PROCEDURE

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1.0 Audit Schedule 2.0 Audit Preparation 3.0 Audit Performance 4.0 Aidit Reports 5.0 Audit Report Review 6.0 Audit Follow-Up VI.

DOCUMENTATION i

ATTACPitENTS Internal Audit Report Cover Sh'eet Form No. USTF-AUDIT-1.1 J

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Rev. 3 Page 1 I.

PURPOSE To establish systematic methods for management verification of the Project Manager's and Project Personnels' compliance with i

the Pmjact's QA Program and to detemine the effectiveness of the Project's QA Program.

II.

SCOPE 1

l Th'is procedure establishes methods for scheduling, perfoming, reporting, management notification and reviewing internal audits.

i The resolving of nonconformances and closing out of the audit 4

are also included.

III.

REQUIREMENTS i

Audits shall be perfomed by Lead Auditors cualified par procedure i

No. UST-TQ 1 who are not performing the activities being audited.

Audit reports shall be submitted to the Vice President of Power Generation Services via the Audit Manager.

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Audits shall verify compliance with the Project's QA Program. Ac-

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tivities shall be audited on a project basis. Those activities which concern more than one project may be audited on an activity basis however the results of the audit shall be identified in each project's audit report.

An audit schedule'shall be established by the Audit Manager which meets the minimum requirements established by the Project QA Pro-gram (including the applicable procedures). More audits than re-quired by the schedule may be perfomed but in no cast may the t

number of audits be reduced.

Audits will be perfomed by competent personnel in accordance with written checklista and this procedure.

a IV.

RESPONSIBILITIES 1.0 VicePresidentofNEerGenerationServices The Vice President shall be responsible for assuring that required audits are perfomed. He shall appoint an Audit Manager to direct and coordinate audit activities. The Vice President shall review audit reports, to assure non-confomances are corrected and to evaluate the effective-ness of the Project's QA Program.

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P n2c c;cv CrT -4aDN-r - 8 UST-AUDIT-1 i

Rev. 4 1

Page 2 2.0 Audit Manaoer The Audit Manager shall M. responsible for directing and coordinating audit actdv1 ties. He shall establish a yearly Audit Schedule, assure audits are perfomed in accordance with this procedure, and that required follow-up actions are taken. He shall appoint the auditors.

I 3.0 Lead Auditor The appointed Lead Auditor shall develop an audit check-list, perform the audit, -and prepo e audit reports which he will submit to the Audit Manager.

i 4.G Project Manaoer The Project Manager shall be responsible for initiating j

and assuring accomplishrrent of the corrective action to resolve the problems revealed by the audit. The Project l

Manager may delegate this work to subordinates but shall retain rt.sponsibility for the resolution.

5.0 Project Supervisors y

For Projects with Project Supervisors, the supervisor shall accomplish or assign personnel to accomplish the resolution of the audit findings with the Project Managers approval.

V.

PROCEDURE 1.0 Audit Schedule

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1.1 The Aud 't Manager shall establish an Audit Schedule for each prod et. The Audit Schedule shall be developed on a yearly basis.

I 1.2 Additionally, unscheduled audits may be performed at any l

time it is felt to be necessary by the Audit Manager.

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--o-F 7 c-e..ce - usr-Ae.w-i - t4 UST-AUDIT-1 Rev. 4 Page 3 2.0.

Audit Preparation 2.1 The Audit Manager shall notify groups at least one week in advance of the day they are to be audited.

(This notification may be verbal).

2.2 The Audit Manager shall appoint a Lead Auditor to per-fom the audit allowing sufficient time for their pre-paration.

2.3 The Lead Auditor shall prepare a written audit check-list specifically tailored to the project or activity being audited.

9 2.4 The Audit Checklist shall identify the project or ac-tivity being audited, and documents used to compile 19 the checklist. The checklist shall be approved by' the Audit Manager prior to the audit.

3.0 Audit Performance 3.1 Those personnel being audited shall give their full co-operation to the Lead Auditor.

If requested by the Lead Auditor, they shall defer their normal work, meet-ings, and telephone calls during the audit.

3.2 A brief Pre-Audit Conference will be conducted at the l4 site. The auditor will cover the scope of the audit with the responsibla Manager or Supervisor.

l4 3.3 Upon completion of the audit a Post Audit Conference li shall be held with the responsible Manager or Supervisor to infom him of audit results.

Nonconfomances requiring corrective action shall be re-ported by the or Supervisor., Lead Auditor to the responsible Manager

P7tw c ?ct.er-aedir < -s UST-AUDIT-1 Rev. 4 Page 4 4.0 Audit Reports 4.1 Audit reports shall contain the below information.

4.1.1 Internal Audit Report Cover Sheet (Fom No. USTF-AUDIT-1) with all the required infomation in-sorted.

4.1.2 Report of the audit. This shall include the scope of the audit, the persons contacted during the audit, a sumary of audit results (including an evaluation of the effectiveness of the QA Program elements au-dited) and a des'cription of the audit findings.

4.1.3 Verification of corrective actions taken to resolve audit findings from previous audits. This shall identify the audit finding closed, reopened, snd those remaining open.

4.2 Audit reports shall be submitted to the Audit Manager within 30 y

days after the audit.

4.3 Recommendations for improvements to acceptable activities shall not be included in audit reports.

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R77C C Tc$ - Ocy. Md, _ q UST-AUDIT-1 Rev. 4 Page 5 5.0 Audit Report Review 5.1 The Audit Manager shall review the audit report for com-plateness. He shall sign the audit report and transmit it to the Project Manager.

5.2 The Project Manager shall review the audit report and initiate corrective action if required.

He shall sign the audit report and transmit it to the Vice President of Power Generation Services.

5.3 The Vice President shall review the audit report and if re-quired discuss the audit findings and required corrective lH action with the Project Manager and the Audit Manager or Lead Auditor. He shall sign the audit report and transmit it to the Audit Manager.

ly 5.4 The Audit Manager shall transmit copies to the Project 9

Manager and his subordinates.

For projects with Project Supervisors, Supervisors shall be furnished a copy for his corrective action and records.

6.0 Audit Follow Up 6.1 The Project Manage,r shall be responsible for initiating and assuring accomplishment of the corrective action to resolve O

audit findings.

N 6.2 The Project Manager shall submit a written report to the Audit Manager within 30 days from the date the audit report is issued defining the corrective action taken.

In the event that corrective action cannot be completed within these 30 9

days, the Project Manager shall specify a scheduled comple-tion date in his report.

6.3 The Audit Manager shall document his approval of the cor-rective actions taken to the Project Manager.

If the Audit Manager finds the actions unsatisfactory, he shall inform the Vice President of Power Generation Services.

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UST-AUDIT-1 Rev. 4 Page 6 6.4 The Vice President of Power Generation Services shall resolve these conflicts.

6.5 As a minimum requirement implementation of corrective action shall be verified at the next scheduled audit.

VI.

DOCUMENTATION 1.0 The below documentation shall be maintained by the Audit Manager.

1.1 Audit Schedules.

1.2 Audit Checklists 1.3 Auditors detailed record of observations 9

1.4 Audit Reports 1.5 Records of corrective action taken to resolve audit findings.

2.0 The below documentation shall be maintained by the audited party.

2.1 Audit Reports 2.2 Records of corrective action taken to resolve audit

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File No.

/42L INTERNAL AUDIT REPORT COVER SHEET SME Project:

Project No.

Audit No:

Audit Date:

Facilities Audited:

Conducted By:

Auditor's Signature Date Audit.. Report Issued:

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Audit Reviewed By:

NAME -

DATE TITLE Audit Manager m.

Project Manager l

V. P. Power Generation Services Div.

Conies to l

USTF-Audit -1.1 Rev.4 i

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