ML20126D420
| ML20126D420 | |
| Person / Time | |
|---|---|
| Site: | 05000000, Waterford |
| Issue date: | 06/10/1977 |
| From: | FISCHBACH & MOORE, INC. (SUBS. OF FISCHBACH CORP.) |
| To: | |
| Shared Package | |
| ML20125A430 | List:
|
| References | |
| FOIA-84-426, FOIA-84-449, FOIA-84-A-55, FOIA-84-A-65 QAP-106W3, NUDOCS 8506150092 | |
| Download: ML20126D420 (11) | |
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QUALITY ASSURANCE PROCEDURE FOR i
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i, ",:,!"/ '."'.'.'.". " LOUIS I ANA POWER 6 LIGilT COMPANY
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ATERFORD STEAM ELECTRIC STATION g f/,'-
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CONTR ACT W3-NY-12 i
PREPARED BY FISCHBACH AND
- MOORE, INCORPORATED OUALITY ASSURANCE GROUP DALLAS, TEXAS 0506150092 050301 PDR FOIA GARDE 04-A-55 PDR
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PAGE 2 QF 13 TABLE 0F CONTENTS PARAGRAPH PAGE 1.0 PURPOSE 4
2.0 SCOPE' 4
.3. 0 REFERENCE DOCUMENTS 4
3.1 Federal Regulations 4
3.2 American National Standards Institute 4
3.3 Fischbach 8 Moore, Incorporated 5
4.0 DEFINITIONS 5
4.1 Audit 5
4.2 Auditor
.5 s
4.3 Lead Auditor 5
S.0 PERSONNEL QUALIFICATIONS 6
6.0 RESPONSIBILITIES 7
6.1 Project Quality Control Manager 7
6.2 Lsad Auditor 7
7.0 PREPARATION 8
i
. 8. 0 PROCEDURE 8
9.0 INTERNAL AUDIT SCIIEDULE 11 10.0 AUDIT CATEGORIES 11 11.0 AUDITS BY OFF-SITE PERSONNEL 12 12.0 RECORDS 13 13.0 EXHIBITS 13
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6/10/77 PAGE 3 OF 13 J
i REVISION RECORD:
0 Original Release June.10, 1977 a
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PAGE 4 OF 13 1.0 PURPOSE The purpose of this procedure is to establish the requirements for the periodic audits of the project (on site) quality assur-ance program, i
2.0 SCOPE This procedure applies to all groups and functions which are engaged in activities affecting quality.
3.0 REFERENCE DOCUMENTS 3.1 Federal Regulations _
,(1) 10CFR50, Appendix B, Quality Assurance Criteria For Nuclear Power Plants and Fuel Reprocessing Plan ts.
3.2 American National Standards Institute (ANSI)
(1)
N45.2 (1971), Quality Assurance Program Requirements for Nuclear Power Plants.
(2)
N45.2.9 (1974), Requirements for Coll iction, Stor-age and Maintenance of Quality Assural ce Records.
(3)
N4 5. 2.10 (19 73), Quality Assurance Terms and Defi-
'nitions.
(4)
N4 5. 2.12 Dra f t 3, Rev. 0 (May 2, 1973), Require-ments for Auditing of Quality Assurance Programs for Nuclear Power Plants.
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6/10/77 PAGE 5 0F 13 3.3 Fischbach and l'oore. Incorporated (1)
Project Quality Assurance Manual for Electrical Installations at Nuclear Power Plants.
(2)
QAP-102W3, Supplier Qualification.
(3)
QAP-201W3, The Control, Filing and Maintenance of
- Records, i
4.0 DEFINITIONS f
4.1 Audit A documented activity performed in accordance with pro-cedures or checklists to verify by examination and evalu-I ation of objective evidence, that applicable elements of the quality assurance program have been developed, docu-
'mented, and effectively implemented in accordance with r
specified requirements.
4.2 Auditor Any individual who performs any portion of an audit, in-l cluding lead auditors, technical specialists, and others such as management representatives and auditors in train-ing.
4.3 Lead Auditor An individual whose experience and training qualifies f
him to organize and direct an audit, report audit find-
[
ings and evaluate corrective action.
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6/10/77 PAGE 6 0F 13 5.0 PERSONNEL QUALIFICATIONS 5.1 Personnel assigned to conduct audit functions shall have experience or training commensurate with the scope of l
the audit and the activities to be audited.
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5.2 It shall be the responsibility of the Project Quality Control Manager to verify that personnel assigned to perform as auditors and Lead Auditors are qualified by one of the following methods:
l (a)
Review of previous employment records.
Auditors must have documented experience of previous audit-ing and must have participated in an audit within the past year.
(b)
Providing orientation to assure that employee has a working knowledge and understanding of auditing procedures, Q.A. programs and procedures and the activities to be audited.
(c)
Providing a training program which covers the genersi and specialized aspects of conducting aud-its and methods of reporting and closing audit findings.
l (d)
Assisting qualified F6M audit personnel for an indoctrination period covering at least two (2) l l
audits.
5.3 Auditor qualification and experience records shall be maintained on the Auditor Qualification Form, (Exhibit 1).
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PAGE 7 0F 13 6.0 RESPONSIBILITIES 6.1 Project Quality Control Manager 6.1.1 The Project Quality Control Manager shall be res-ponsible for the conduct of audits performed by on site personnel and will determine the time and I
I frequency of audits.
lie shall be responsible for audits of suppliers and subcontractors as defined 1
in QAP-102W3.
lie shall determine the area or ac-I tivities which are to be audited and review and approve all on site audit plans.
6.1.2 It shall further be the responsibility of the Project Quality Control Manager to coordinate with audited groups to secure correction 'of adverse con-ditions disclosed by on site audits.
He shall notify the Corporate Quality Assurance Manager if I
he is unable to obtain corrective action within a reasonable time period.
6.1.3 The Project Quality Control Manager shall assure that personnel selected for audit functions are i
qualified in accordance with paragraph S.0.
6.2 Audit Leader g
6.2.1 The Lead Auditor shall be responsible for the l
preparation of an audit plan, coordinating the audit effort and preparation of the audit report.
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6/10/77 PAGE 8 0F 13 7.0 PREPARATION 7.1 The Project Quality Control Manager will select a Lead Auditor and additional auditors as required.
Selection should be accomplished at losst one (1) week prior to scheduled audit.
Personnel selected must be independent i
of the activity (s) to be audited.
7.2 The Lead Auditor will be briefed on the a'rea or activity to be audited and the scope of the audit.
He will then prepare an audit plan for review and approval by the i
project Quality Control Manager.
7.3 After the plan is approved, detailed checklists will be prepared by the Lead Auditor,, which are applicable ta the areas or activities to be audited.
7.4 The project Quality Control Manager will nottey the super-vision of the activity to be audited of the impending audit, scope of the audit, and the name of the individus1 who will act as Lead Auditor.
This notification shall be by inter office memo with a copy retained in the audit
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file, Q.C. Records Center.
7.5 The Lead Auditor reviews, with other members of the audit l
team, the checklists, and reference documents which will l
be utill ed during the audit.
8.0 PROCEDURE l
8.1 A brief pre audit meeting will be conducted by the Lead Auditor with the activity supervision prior to performing
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6/10/77 PAGE 9 OF 13 the audit.
The Lead Auditor will confirm the audit scope, introduce auditors, establish channels of communication and discuss the audit sequence.
8.2 The audit team will proceed with the audit sequence using the prearranged checklists, deviating from the checklist format as the audit process dictates.
Personnel inter-viewed shall be required to confirm answers by records, reports, or other objective evidence of compliance.
8.3 The auditors shall record names of personnel interviewed, responsibility, titles, specific record files, qualifica-tions, purchase orders or other documentation examined for each finding or to substantiate satisfactory compliance.
8.4 Af ter the completion of the audit, the Lead Auditor and team members meet to compile their findings.
8.5 An audit critique is held to inform responsib,le parties of the audit results and possible course (s) of corrective action which can be taken.
A tentative date for comple-tion of corrective action will be solicited and required of the audited activity.
This date will be recorded in the audit report.
8.6 If conditions are revealed by the audit which require im-mediate corrective action, the Lead Auditor will advise the supervis 39 of the audited activity.
If he is unable to secure the immediate action, he will notify the Project Quality Control Manager who will coordinate with the Pro-ject Manager to initiate the necessary action.
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6/10/77 PAGE 10 0F 13 8.7 An Audit Finding Report shall be prepared which fully documents the audit findings.
Each finding will be listed individually with ample details to properly ident,1fy the audit findings, recommended corrective action and.the supervisor responsible for the area audited.
If during the post audit critique, the supervision of the audited activity provides a tentative corrective action, this kill be so noted.
The Audit Finding Report shall be reviewed and approved
'i by the Project Quality Control Manager.
He will then dis-tribute the report to the affected activity, the project Manager and any other parties shown on the standard dis-tribution list.
8.8 Responsible supervision of the activity audited shall sub-mit, within ten (10) working days af ter issuance of the report, the corrective action which has or will be taken and anticipated date of completion.
This information shall be submitted to the Project Quality Control Manager.
At the discretion of the Project Quality Control Manager, lie may specify a response time of less than ten (10) working days if the findings are of a critical nature.
8.9 The Project Quality Control Manager or his assigned desig-nees shall verify that corrective actions have been imple-mented and are adequate prior to closing out adverse audit findings.
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6/10/77 PAGE 11 OF 13 8.10 A log of adverse audit findings shall be maintained for follow-up action.
As corrective action is implemented and verified, the respective item will be closed in the log as well as the audit record.
9.0 INTERNAL AUDIT SCHEDULE 9.1 The Project Quality Control Mhnager shall establish and maintain an Audit Schedule.
Internal on-site audits will be scheduled based on the following:
9.1.1 Normal audit frequency will be at three (3) months intervals, however this may be adjusted by the Project Quality Control Manager.
9.1.2 Areas of work or activities recently started and not previously audited.
9.1.3 Repetitiveness of audit findings.
9.1.4 To verify that corrective actions have been imple-mented and are adequate.
9.1.5 At any time deemed necessary by the Project Quality Control Manager or requested by the Project Manager.
10.0 AUDIT CATEGORIES Internal audits will be conducted to assure that the following activities are performed in accordance with the Project Quality Assurance Manual, applicable Quality Assurance Procedures or other governing documents:
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