ML20126D512
| ML20126D512 | |
| Person / Time | |
|---|---|
| Site: | 05000000, Waterford |
| Issue date: | 08/15/1983 |
| From: | Sline R EBASCO SERVICES, INC., SLINE INDUSTRIAL PAINTERS, INC. |
| To: | |
| Shared Package | |
| ML20125A430 | List:
|
| References | |
| FOIA-84-426, FOIA-84-449, FOIA-84-A-55, FOIA-84-A-65 W3-7, NUDOCS 8506150118 | |
| Download: ML20126D512 (11) | |
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SLINE INDUSTRIAL PAINTERS, INC.
JOB NO. 1101 EBASCO SERVICES, INCORPORATED for LOUISIANA POWER AND LIGHT l
WATERFORD 3 O
I SLINE INDUSTRIAL PAINTERS INC.
CONTROLLED D0C.UMENT l
AUDIT CDPY 1
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DOCUMENT NUMBER W3-7
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REVISION 2
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EEASCO SERVICES
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see e; en es.tes. Coma n swe;e. wmm Appeoved by
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WI 8506150118 850301 PDR FOIA GARDE 84-A-55 PDF.
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o DOC W3-7 PG2 Rev. 2 1.0 SCOPE 1.1 This document describes the procedure for internal auditing to verify compliance with the written Quality Assurance Program and appropriateness of the Program for Service Level I coating work.
1.2 This procedure addresses qualification of auditors and audit procedure, documentation, and scheduling.
2.0 REFERENCES
2.1 The following documents were used as guidelines:
2.1.1 10CFR50 Appendix B.
" Quality Assurance Criteria for Nuclear Power Plants".
2.1.2 ANSI N45.2.10-1973 " Quality Assurance Terms and Definitions".
2.1 3 ANSI N45.2.12-1977 " Requirements for Auditing of Quality Assurance
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Programs for Nuclear Power Plants".
2.1.4 ANSI N45.2.23-1978 " Qualifications of Quality Assurance Program
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Audit Personnel for Nuclear Facilities".
30 DEFINITIONS
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3.1 Unless otherwise noted, the definitions as given in the above-referenced documents shall apply.
4.0 RESPONSIBILITIES
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4.1 President.
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l 4.1.1 Appoint and qualify the Lead Auditor (may also appoint and/or qualify other auditors.
4.1.2 Receive and evaluate audit results.
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4.2 'L'ead Auditor.
4.2.1 Appoint, qualify, organize, and direct other audit personnel (if any).
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4.2.2 Lead the audit, submit the audit report, and perform the audit l
d) follow-up (if needed).
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e-DOC W3-7 PG3' Rev. 2 4.3 Other Audit Personnel.
431 Perform the duties as directed by the Lead Auditor.
4.4 Quality Assurance Manager.
4.4.1 Perform the operational audit, submit the report, and perform the audit follow-up (if needed).
5.0 PROCEDURE 5.1 Qualifications of Auditors.
5.1.1 The President shall appoint the Lead Auditor based upon demonstrated abilities, knowledge, and/or experience in the following areas:
5.1.1.1 Planning and performing an audit.
5.1.1.2 Evaluating and reporting audit data.
5.1.1 3 Fo11owin5 up on corrective action items.
5.1.1.4 Applicable codes and regulations.
<2)
Such knowledge shall be documented by record of in-house training and written examination 5.1.2 Additional auditors shall be used if indicated.
5.1.3 The Lead Auditor shall have no direct responsibility in the areas being audited.
5.1.4 he President or Lead Auditor shall appoint additional auditors as appropriate.
5.1.5 Information on audit personnel's qualifications, experience, etc.,
shall be maintained at the home office and at the job site.
5.1.5.1 The Lead Auditor's qualification shall be recorded on the
" Lead Auditor Qualification Summary" Form SQA1-7-3 A
<2) minimum of 10 credits per the scoring system given in ANSI N45.2.23 is required for certification as a Lead Auditor.
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5.1.5.2 he Lead Auditor's and other Auditor's certification shall be documented by the.use 'of the. "QA/QC Certification", Fcem SQA1-1-1, which shall be maintained in the individual's file.
5.1.6 An Auditor's certification shall be valid for two years, at which Recertification shall
.M _.. time his qualifications shall be reviewed.
be by the requirements then in effect for_ certification in accord-anoe with paragraph 5.1.1.
DOC W3-7 PG4 Rev. 2 5.2 Management audit.
5.2.1 A management audit ~ shall be conducted at least annually on a sche-duled or random basis when Service Level I work is being performed.
5.2.2 Unannounced management audits do not require advance notification.
The Quality assurance Manager shall be notified a reasonable period of time before an impending announced audit is to be performed.
i 5.2.3 Pre-audit and post-audit conferences shall be conducted involving audit personnel, site QA/QC personnel, and interested management as i
available.
5.2 3 1 The scope and sequence of the audit shall be discussed at the pre-audit conferences.
i 5.2.3.2 The findings of the audit shall be discussed at the post-audit conference when any needed corrective actions are scheduled.
5.2.4 The auditors shall use the " Audit Checklist". Form SQA1-7-1 as is or they may modify it as appropriate or create their own form.
If i
a modified or other form is used, the Lead Auditor shall review it and provided an approval signature.
<2) 5.2.4.1 Any audit form or checklist (including SQA1-7-1) used shall be reviewed by the auditor and augmented as necessary to l
insure appropriate coverage of all applicable codes, stan-dards, specifications and procedures.
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<2) 5.2.4.2. If further investigation, is deemed necessary during the audit, such information shall augment the audit form.
5.2.5 A written report, Form SQA1-7-2, shall be sub'mitted to the President with a copy to the Quality Assurance Manager, within two l
weeks of audit completion. This report shall include:
l 5.2.5.1 Description of the audit scope.
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5.2.5.2 Identification of Lead Auditor and other audit personnel.
<2) 5.2.5 3 Documentation of pre-and post-audit conferences.
5.2.5.4 Audit findings.
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5 2.5.5 Record of specific items checked can be on separate sheets attached to SQA1-7-2 (copies of documents may be included,
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but are not required).
l-5 2.5.6 Recommended corrective action of any identified' deficiencies.
5.2.5.7 Plans for follow-up actions including schedule.
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a DOC W3-7 PG5 Rev. 2 5.2.6 The head of the appropriate department shall reply to any deficiencies indicated in the audit report within 20 working days of the receipt of the audit report.
5.2.7 The Lead Auditor shall be responsible for the follow-up which includes:
5.2.7.1 Evaluating the proposed or completed corrective action.
5.2.7.2 Confirming that proper corrective action is complete.
5.2.8 The Lead Auditor shall oversee the preparation and distribution to management and the Quality Assurance Manager of the audit report and records of the completion of corrective action.
Copies of documents shall be maintained by the Lead Auditor.
Quality Assurance Manager, and the Site Quality Control Manager.
5.3 operational audit.
531 The QA Manager shall conduct operational audits at least once every calendar quarter and shall be designed such that each significant facit of Service Level I work is checked at least annually.
532 Pre-eudit and post-audit conferences shall be conducted involving audit personnel, Site Qual'ity Control,hanager, rnd interested management as available.
5 3 2.1 The scope and sequence of the audit shall be discussed at the pre-audit conference.
5 3.2.2 The findings of the audit shall be discussed at the post-audit conference where any needed corrective actions are scheduled.
533 The Quality Assurance Manager may use the form or checklist of his
<2) choosing to conduct the audit. This form or checklist shall be part of the audit report.
534 A written report, Form SQA1-7-2, shall be submitted to the Presi-dont with a copy to the Site Quality Control Manager withing two weeks of audit completion. This report shall include:
5 3.4.1 Description of the audit scope.
r (2) 5 3.4.2 Record of pre-and post-audit conferences.
5343 Audit findings.
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DOC W3-7 PG6 1
Rev. 2
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<2) 5.3 4.4 Record of specific items checked can be on separate sheets atttached to SQA1-7-2 (copies may be included, but are not required).
5.3.4.5 Recommended corrective action of any deficiencies.
5 3 4.6 Plans for follow-up actions including schedule.
535 The head of the appropriate department shall reply to any deficiencies indicated in the audit report within 20 working days of receipt of the report.
5 3.6 The Quality Assurance Manager shall be responsible for the follow-up which includes:
5 3.6.1 Evaluating the proposed and completed corrective actions.
5.3.6.2 confirming that proper corrective action is accomplished.
537 The Quality Assurance Manager shall oversee the preparation and distribution to management of the audit report and records of completion of corrective action.
5.3 7.1 copies of operational audit documents shall be maintained at the home office and at the job site.
6.0 ATTACBMENTS 6.1 Audit Checklist Form SQA1-7-1 (2-18-82).
D5 6.2 Audit Sunnary Report, Form SQA1-7-2.(8-14-83).
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6.3 Lead Auditor Qualification Summary, Form SQA1-7-3 (8-14-83).
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Fcra 50#1-7-1' DOC U3-7 PG7 2-18-82 Rev. 2 Pcga 1 of 3 SLINE INDUSTRIAL PAINTERS, INC.
AUDIT CHECKLIST Project Job No.
Audit Date Scope of Audit Auditor (s)
CODES: A - Acceptable N - Not Acceptable C - Comments on separate sheet
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ITEM CODE NO.
ITEM 1.
Has the Quality Assurance Manual been written using ANSI N101.4 and 10CFR50 Appendix B as guidelines?
2.
Does the manual have management's approval?
3 Are the appropriate standards and codes used?
4 Does the Quality Assurance Manager have sufficient knowledge:
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a.
To correct defects?
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b.
Of the materials being applied?
c.
Of the specifications,' procedures, and applicable standards?
5.
Do the.other QA/QC person,nel meet th,e qualifications as stipulated in the appropriate documents?
6.
Are the qualifications sufficient for the job to be performed?
7 Are the qualifications documented?
8.
Are the QA/QC documents maintained as required in the procedures?
I' 9.
Are the records that affect quality maintained as addressed,
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including location and length of retainage?
10.
Are these records easily retrievable?
,-c 11.
Are steps written' and followed for the preparation of procedures?
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Do they provide for appropriate in-house and Engineer review and approval prior to going isto force?
13 Does the program address timing, personnel involved, scope, and documentation of vendor surveillance?
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Ferm SQAi-7-1' Doc u3-7 PG8
~* 2-18-82 Rav. 2 2
'Page 2 cf 3 ITEM CODE NO.
ITEM 14.
Have the procedures been followed?
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15.
Is the documentation current and easily retreivable?
16.
Are procedures in effect for control and issuance of material?
17.
Is the material stored under the proper environmental conditions and is it appropriately doctanented?
18.
Is the material inspected upon receipt for damage and agreement with the specifications and procurement documents?
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19.
Are records maintained indicating the amount and area that materials issued from stock are to be used?
20.
Is unacceptable material labeled, marked, or segregated so as not to be used?
21.
Are material storage areas restricted only to authorized personnel?
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22.
Is there a written procedure indicating appropriate hold points l\\
for inspection?
23 Are these hold points obsebed?
24.
Does documentation indicate inspection results at each hold point?
.25.
Do procedures indicate the course of action if inspection shows deviation from specified requirements?
26.
Is there appropriate stop work authority for unacceptable work?
27.
Is a final inspection performed and documented?
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28.
Is test equipment calibration information documented?
29 Are test equipment data sheets maintained on the jobsite?
- 30. ' Are there written procedures on the jobsite describing the use of j(
test equipment?
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31.
Is'there a procedure for reporting non-conformances to management, the Engineer, and the NRC if necessary?
32.
Are steps set up to prevent reoccurence of nonconformances?
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. esp Tcrm SQA1-7-1 DOC W3-7 ^ PC9 2-18-82 Rev. 2 Page 3 of 3 i
i CODE NO.
ITEM
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ITEM 33 Is there an appropriate procedure for internally auditing the quality program?
34.
Is there provision for documenting audit findings?
35.
Is there a provision for deficiencies.to be reaudited?
36.
Is there a procedure for qualification of production workers?
e 37.
Are the worker qualifications sufficient for the job to be performed?
38.
Are the worker qualifications documented and maintained?
39.
Is there a requirement for requalification of workers af ter a reasonable period of time?
40.
Are there procedures describing proper technique for each operation of the coating work?
41.
. Are these' techniques followed in the field?
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42.
Are these techniques consistent with the latest industry standards?
43 Do the QA/QC functions have any personnel with conflicting responsibilities in the areas they inspect?
44.
Do QA/QC personnel have sufficient organizational freedom and authority?
45.
Do the procument documents used to purchase materials assure that the applicable regulatory requirements and specifications are met?
46.
Is there a procedure in effect to request clarification, I
interpretation, or explanation of documents or conditions?
47.
Is this procedure followed as required?
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Fcrm SQA1-7-2 DOC W3-7 PG10
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8-14-83 Rev. 2 SLINE INDUSTRIAL PAINTERS. INC.
AUDIT
SUMMARY
REPORT Project Job No.
Audit Date Scope of Audit
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N Auditor (s)
Pre-audit conference Date Attendence Post-audit conference Date Attendance
SUMMARY
OF AUDIT FINDINGS RECOMMENDED CORRECTIVE ACTION AND SCHEDULE Auditor signature Date CERTIFICATION OF CORRECTIVE ACTION a
4 Accept Reject Signature _.
Date
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glrm SQAl-7-3 DOC W3-7 PC11 Rev. 2 8-14-83 LF.JD AUDITOR QUALIFICATION SLHMARY l
CATE RECORD OF LEAC AUDITOR CUALIFICATICNS NAME EMPLOYER:
CREDITS l 2.3.1 QUALIFICATION POINT REQUIREMENTS
-4 Credits Max.
2.3.1.1 EDUCATION - University / Degree /Date -
- 1. Undergraduate Level
- 2. Graduate Level
- 9 Credits Max.
2.3.1.2 EXPERIENCE - Company / Dates Technical (0-5 pts.) and Nuclear industry (0-1 pt.), at Ovality Assurance (0-2 pts.), or Auditing (0-1 pt.)
- 2 Credits Max.
2.3.1.3 PROFESSIONAL ACCOMPLlSHMENT - Certificate /Date
- 1. P.E.
- 2. Society
- 2 Credits Max.
2.3.1.4 M AN AG EMENT - Justification / Evaluator /Date Explain:
Date Evaluated by: (Name & Title)
Total Credits 2.3.2 AUDIT COMMUNICATION SKILLS Date Evaluated by: (Name & Title) 2.3.3 AUDIT TRAINING COURSES O ate i
Course Title or Topic 1.
2.
2.3.4 AUDIT PARTICIPATION Date Location Audit 1.
2-3.
4 5.
Cate
?M4 EXAMINATION Passed Date Cartified 5.2 AUDITOR QUAllFIED CERTIFIED BY (Signature and Title) f 3.2 EVALUATlON (Signature and Dare)
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