ML20154J550

Rev 11 to Northeast Utils QA Program (Nuqap) Topical Rept

ML20154J550
Person / Time
Site:	Millstone, Haddam Neck, 05000000
Issue date:	05/18/1988
From:	NORTHEAST UTILITIES SERVICE CO.
To:
Shared Package
ML20154J548	List: B12917, Forwards Proposed Rev 11 to Northeast Utils QA Program (Nuqap) Topical Rept. Fee Paid ML20154J550
References
GL-85-06, GL-85-6, NUDOCS 8805270043
Download: ML20154J550 (150)

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ABSTRACT NORTIIEAST UTILITIES QUALITY ASSURANCE PROGRAM (NUQAP)

TOPICAL REPORT Northeast Utilities (NU) has developed and is implomonting a compro-hensivo Quality Assuranco Program to assure conformance with estab-lished regulatory requirements, set forth by the Nuclear Regulatory Commission (NRC), and accepted industry standards. The participants in the NU Quality Assuranco Program assure that the design, procure-ment, construction, testing, operation, maintenanco, repair and modif;-

cation of nuclear power plants are performed in a safo and offective manner.

The NU Quality Assuranco Program (NUQAP) Topical Report complies with the requiroments sot forth in Appendix B, of 10 CFR Part 50, along with applicable sections of the Safety Analysis Report (SAR) for each licensed application, and is responsive to the United States NRC Regulatory Guido 1.70, which describos the information required to be presented in the Quality Assuranco Section of the SAR's for nuclear power plants.

This NUQAP is also established, maintained and oxocuted with regard to Radioactive Material Transport Packages as allowed by 10 CFR 71.101(f).

Quality Assurance Provisions for Fire Protection activitios are detallod in the Northeast Utilities Firo Protection Program.

This NUQAP is applicable in its entirety to Catogory I systems, struc-tures, components, materials, equipments, parts, and services.

Appendix A definos Category I systems, structures, and components.

The NUQAP is also applicable to other quality programs, including Firo Protection Quality Assuranco (FPQA), Radwasto Quality Assuranco, Anticipated Transient Flthout Scram Quality Assurance (ATWS Quality Assuranco is applicable to MP-1, 2 only; MP-3 commits to Generic Lottor 85-06), and Equipment Environmental Qualification (EEQ) as defined by i NU commitments.

The NUQAP is committed to utilize the guidance obtained fron. the Regulatory documents and their endorsed Standards as referenced in Appendix D of the Topical Report.

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QAP Abstract ,

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TABLE OF CONTENTS NORTHEAST UTILITIES QUALITY ASSURANCE PROGRAM (NUQ_AP)

TOPICAL REPORT Rev. Pages Abstract 11 1 Table of Contents 11 1-2 Polley Statement 11 1 Introduction 11 1-2 Quality Assurance Program QAP 1.0 Organization 11 1-15 Organizational Charts 11 Fig . 1.1-1. 7 QAP 2.0 Quality Assurance Program 11 1-7

+QAP 3.0 Design Control 11 1-6 QAP 4.0 Procurement Document Control 11 1-4 QAP 5.0 Procedures, Instructions and Drawings 11 1-3 QAP 6.0 Document Control 11 1-3 QAP 7.0 Control of Purchased Material, Equipment and Services 11 1-4 QAP 8.0 Identification and Control of Materials, Parts and Components 11 1-2 QAP 9.0 Control of Special Processes 11 1-2 QAP 10.0 Inspection 11 1-4 QAP 11.0 Test Control 11 1-3 QAP 12.0 Control of Measuring and l Testing Equipment 11 1-3 l QAP 13.0 Handling, Storage, and Shipping 11 1-2 QAP 14.0 Inspection, Test, and Operating Status 11 1-2 QAP 15.0 Nonconforming Materials, Parts, Components, or Services 11 1-3 QAP 16.0 Corrective Action 11 1-3 ,

QAP 17.0 Quality Assurance Records 11 1-2 I QAP 18.0 Audits 11 1-3 l I

QAP Table of Contents Rev.: 11 Date:

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Rev. Pages Appendices A. Category I Systems, Structures and Components 11 1-3 B. Qualification and Experience Requirements, NUSCO Manager, Quality Assurance 11 1 C. List of Typleal Quality Assurance Related Procedures 11 1-32 D. Regulatory Guide and ANSI Standard Commitments 11 1-2 E. Glossary of Quality Assurance Terms 11 1-7 F. Program Exceptions 11 1-2 l

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POLICY STATEMENT NORTIIEAST UTILITIES QUALITY ASSURANCE PROGRAM TOPICAL REPORT The policles, requirements and tasks contained in this Northeast Utilities Quality Assuranco Program description have boon developed to achlovo a recognized need for quality assurance during the design, procurement, construction, testing, operation, maintenanco, ropair, and modification l of our nuclear facilities.

Northeast Utilitios procedures which implement this program are described in various manuals which are referenced heroin.

This NUQAP is applicable in its entirety to Category I systems, struc-tures, components, materials, equipments, parts, and services.

Appendix A defines Category I systems, structures, and components.

The NUQAP is also applicablo to other quality programs, including Firo Protection Quality Assurance (FPQA), Radwasto Quality Assuranco, Anticipated Transient Without Scram Quality Assuranco (ATWS Quality Assurance is applicable to MP-1, 2 only; MP-3 commits to Generic Letter 85-06), and Equipment Environmental Qualification as defined by NU commitments .

The development and overall responsibility for this Quality Assurance Program lies with the Sontor Vice President-Nuclear Engincoring and Operations. Corporate authority is dologated to the NUSCO Director, Quality Services for the preparation and administration of the Quality Assurance Program. Individual group Vice Presidents are responsible for the implomontation of their portion of the Northeast Utilities Quality Assuranco Program. Revisions, additions to, and audits of this program are the responsibility of the NUSCO Director, Quality Services. Any '

revisions cr addKlons shall be approved by affected Departments prior to the incorporation of such changes into the program. Final approval of revisions or additions to this policy statement rosts with the Sontor Vice President-Nuclear Engineering and Operations.

N E. J/Mro'c'zkaf Sen16r Vice President -

Nuclear Engineering and Operations i; Northeast Utilities I

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QAP Polley Statement Rev.: 11 Dato:

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INTRODUCTION NORTIIEAST UTILITIES QUALITY ASSURANCE PROGRAM TOPICAL REPORT This Northeast Utilities Quality Assuranco Program (NUQAP) Topleal Roport contains the quality assuranco requiramonts which are rolovant l to the safety of the nuclear power plant. The Topical Report consists of the following throo parts:

1. Introduction, which dolineates the purpose of the Topical Program, and summarlzos its scope and applicability.

2. The NUQAP, which is applicable in its entirety to Category I systems, structuros, components, materials, equipments, parts, and services. Appendix A defines Category I systems, structures , and components. The NUQAP is also applicable to other quality programs, including Fire Protection Quality 3~

Assurance (FPQA), Radwasto Quality Assuranco, Anticipated Transtont Without Scram Quality Assuranco (ATWS Quality Assurance is applicable to MP-1, 2 only; MP-3 commits to Generic Lottor 85-06), and Equipment Environmental Qualification as defined by NU commitments.

3. Appendicos, which provido supporting statomonts and tabulations.

This NUQAP Topical Report has boon prepared to document that a l moaningful quality assuranco program has boon established and implo-monted to ensure that adoquato quality requiroments are being complied j with to safeguard NU omployoos, contracted personnel and the public, from the conceptual phaso through the operations phase of nuclear power plant life.

The controls which implement the actions identiflod in the NUQAP Topleal Report are departmental proceduros and instructions which ,

, delineate actions and stops necessary to accomplish quality requiro- I monts. Proceduros and instructions are written by company groups, l divisions, departments, branchos, or sections, which have the respon-sibility for implementing actions assigned to them as delineated by tho

NUQAP. Quality procedures and revisions thoroto are reviewed by and

, concurrod with by the NUSCO Quality Services Department in accordance ,

with QAP 2.0 and QAP 5.0. l l

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QAP Introduction Rev.

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The NUQAP is responsivo to applicable codos, Nuclear Regulatory Commission regulatory requirements, accepted industrial standards and revisions thoroto. Provisions are established to updato the NUQAP Topical Report in accordanco with revisions to codos, standards and regulatory requirements, and to inform cognizant personnel to implomont appropriato action to assure the highest standard of quality is achieved for systems, structures, components and services for nuclear power plants, do__J O o x Donald O, Nordquist NUSCO Director, Quality Services I

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l QAP Introduction Rev.: 11 Dato:

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b 1.0 ORGANIZATION

1.1 INTRODUCTION

Northeast Utilities (NU) is a holding company which owns all of the [

common stock in several companies as illustrated by Figure 1.1.

The Connecticut Light and Power Company (CL&P) and Western

- Massachusetts Electric Company (WMECO) are the owners of Millstone l Unit Nos.1 and 2 with 81% and 19% ownership, respectively. '

They are the principal owners of Millstone Unit No. 3 with 65%

ownership and, by contract, have the audority to make all of the decisions affecting the design, procurement, modifications, l construction and operation of that unit. This decision making authority would be similar for any future units.

The NU Companies jointly own 44% of the Connecticut Yankee Atomic Power Company (CYAPCO). By contract, NU and Northeast Ut111tles Service Company (NUSCO) have been delegated operational control of CYAPCO. NUSCO provides technical support for the operation of that plant. This is also illustrated in Figure 1.1.

Northeast Nuclear Energy Company (NNECO) and CYAPCO are the operating companies established to operate their respective facill-tie s . NNECO is delegated the responsibility for operating the Millstone Units by the owners NNECO in turn has contracted for the services of NUSCO for the design and construction management 3 of all of the units at Millstone and may solicit technical support during plant operations. NNECO and CYAPCO comprise the Nuclear Plant Operating Companies (NUPOC) as illustrated in Figure 1.1.

1 NUSCO, parts of which are organized as shown in Figures 1.2, 1.3,1.4, and 1.5 provides services such as engineering, quality i i assurance, accounting, planning and procurement for the NU '

s system operating companies where these services can be efficiently and economically performed on a systemwide basis.

The NUPOC and NUSCO interrelationship shown in Figure 1.6, for

quality activities, Indicates how conflicts are resolved. As indi- l l cated, the Senior Vice President-Nuclear Engineering and Operations -

NUSCO is also the Senior Vice President-Nuclear Engineering and Operations NUPOC. He resolves disputes arising from a difference i of opinion between Quality Services personnel and other department l l personnel, j 1.2 GENERAL (refer to Figure 1.2) 1.2.1 The President and Chief Operating Officer of NU is also the President and Chief Operating officer of NUSCO and 1

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i directs specified nuclear-related activities within NU.

lie has the ultimate responsibility for the estaolishment and execution of the NU Quality Assurance Program (NUQAP) . Reporting to the President and Chief Operating Officer is the Executive Vice President-Engineering and

! Operations and the Senior Vice President-Administrative Servicas. Authority for the establishment and execution of the NUQAP is delegated to the Senior Vice President-Nuclear Engineering and Operations (see Para.1.2.4).

1.2.2 The Senior Vice President-Administrative Services is responsible for Procurement and Information Resources activities within NU. The Vice President-Purchasing and ,

Materials Management reports to the Senior Vice . '

President-Administrative Services and is responsible to ensure that procurement requirements of the NUQAP are carried out within his division (see Para.1.5.1).

The Vice President-Information Resources Group is responsible for all information storage, handling and delivery systems at NU. The following Directors / Managers  ;

report to the Vice President-Information Resources Group:

a. Director-Systems Development (see Para.1.5.2.1) . '

b. Director-Information Resources Operations (see l Para. 1.5.2.2).

c. Director-Information Resources Administration (see Para. 1.5.2.4),

d. Manager-Information Resources Planning and Control (see Para. 1.5.2.3),

e. Director-Communication System (see Para.1.5.2.5) .

1.2.3 The NUSCO Executive Vice President-Engineering and Operations is also the Executive Vice President-Engl-neering and Operations for NUPOC. Specific nuclear-related responsibilities rest with the following individuals who are responsible for ensuring that the requirements of the NUQAP are carried out within their respective groups.

a. Senior Vice President-Nuclear Engineering and

, Operations (see Para.1.2.4) .

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b. Vice President-Transmission and Distribution Eng!-

neering and Operations (see Para,1.5.3).

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1.2.4 The Senior Vice President-Nuclear Engineering and

• Operations is also the Senior Vice President-Nuclear ,

Engineering and Operations for NUPOC. He is -

responsible for nuclear engineering, construction, operation, maintenance, modification and quality assurance. ,

1.2.4.1 The responsibilities of the Senior Vice President-Nuclear Engineoring and Operations relating to the Quality Assurance Program are described in the Nuclear Engineering and Operations Policies and Procedures Manual. He has contact with the quality assurance activities through the receipt of various documents such as: Weekly progress reports, Nuclear Review Board Meeting Notes and other reports, and audits related to NUPOC nuclear plant operations activities.

1.2.4.2 The Senior Vice President-Nuclear Engineering and Operations is responsible to assess the scope, status, implementation and effectiveness of the NUQAP. To meet this responsibility, he appoints a quallfled team of individuals to perform an annual Management Quality Assurance Review.

This Management Quality Assurance Review is:

a. A systematic evaluation:

_ b. Preplanned toward the objective of deter-1 mining the adequacy of the NUQAP and

, its compliance with Appendix B to 10 CFR Part 50 and other regulatory requirements;

c. Capable of identifying, communicating and tracking any required corrective action.

The team is made up of Individuals knowledgeable in quality assurance, quality activities, auditing, management responsibilities, and the NUQAP Topical Report.

1.2.4.3 The following division Vice Presidents report to the Senior Vice President-Nuclear Engineering and Operations:

a. Vice President-Generation Engineering and Construction (see Para.1.4.1) i QAP - 1.0 i Rev. : 11 Date:

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b. Vice President-Nuclear and Environmental Engineering (see Para. 1.4.2.)

c. Vice President-Nuclear Operations (see Para. 1.4.3) 1.3 RESPONSIBILITIES (Refer to Figure 1.6) 1.3.1 Overall responsibility for the NUQAP is assigned to the NUSCO Director, Quality Services who reports to the l Vice President-Nuclear and Environmental Engineering.

These responsib111tles include: directions of the Quality Assurance Program; implementation of policies, plans requirements, procedures, and audits; verification to assure compliance with 10 CFR 50 Appendix B and other regulatory requirements; and verification of the imple-mentation of the NUQAP Topleal Report Requirements.

1.3.2 Overall responsibility for the implementation of the NUQAP Topical Report at the NUPOC Nuclear Plant is assigned to a NUPOC Superintendent.

1.3.3 The head of each NU department or organization performing quality activities is responsible for:

a. Administering those activities within his organi-zation which are defined by the NUQAP Topical Report; 1 b. Ensuring implementation of the Quality Assurance i Program;

c. Establishing and clearly defining the duties and responsibilities of personnel within his organization who perform quality activities;

d. Planning, selecting and training personnel to 1 meet the requirements of the NUQAP Topical Report;

e. Performing and coordinating quality matters 4 within his department and interfacing with -

NUSCO Quality Services on quality activities.

1 1.3.4 Each Individual, performing or verifying activities affecting quality, is responsible to conduct those activities in accordance with the requirements of the

NUQAP and implementing procedures.

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1.3.5 The responsibility, authority, and organizational relationship for performing quality activities within each organization is established and delineated in the NU Organizational Charts, jurisdictional state-ments, and written job or functional descriptions.

1.4 NU PARTICIPATING _ GROUPS - NUSCO NUCLEAR ENGINEERING AND OPERATIONS GROUP The Senior Vice President-Nuclear Engineering and Operations Group is responsible for providing and directing projects and for providing technical and support personnel to meet responsibilities during engineering, construction, maintenance, testing, modification l and operation of nuclear power plants.

The Nuclear Engineering and Operations Group is divided into three divisions:

a. Generation Engineering and Construction (Figure 1.3);

b. Nuclear and Environmental Engineering (Figure 1.4); and

c. Nuclear Operations (Figure 1.5)

The functions of the personnel, who perform quality activities within these divisions, are as follows:

1.4.1 The Vice President-Generation Engineering and Construction is responsible for engineering and design, and modification, backfit, and Generation Construction projects for existing NU generating facilities. The following department heads report to him: (See Figure 1.3) 1.4.1.1 The Director-Generation Engineering and Design Department is responsible to provide technical and support personnel to provide Project Engineers and support for Generation Construction projects in generation faellities directed by the generation Projects Department.

Technical support is also provided for opera-tions and maintenance activities of generating facilities. The Generation Engineering and Design Department provides expertise for systems, specifications and procurement of equipment and material; it provides design expertise for the preparation and maintenance of design documents for generating facilities.

These generation Engineering and Design Q AP - 1.0 Rev.: 11 Date:

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l Department activities are performed by personnel within the following department branches:

a. Mechanical Engineering;

b. Electrical Engineering;

c. Civil Engineering;

d. Engineering Design.

1.4.1.2 The Director-Generation Construction Department is responsible for the following -

areas in generation facility projects: 1) the direction and coordination of processes and assurance of necessary resources for construc-tion: and 2) coordination of start-up activities with NUPOC. When assigned projects, the department is responsible for providing construction management. The department consists of Generation Construction to oversee the contractors for construction work on the generation facilities, i

1.4.1.3 The Director-Generation Projects Department is '

responsible for providing the program management and coordination of capital and expense type projects undertaken to improve the safety and reliability of NU's operating Nuclear Facilities. The department also provides cost and schedule control of projects, project estimates, and cost engineering and outage planning and scheduling.

1.4.2 The Vice President-Nuclear and Environmental Engineering is responsible for Nuclear Engineering and Operations Services (including Reliability Engineering, l Generation Facilities Records, Nuclear Materials and Chemistry, and Nuclear Safety Engineering);

Environmental Programs; Quality Services; Nuclear l Engineering (incivding: Radiological Assessment, Reactor Engineering, Licensing, and Nuclear Fuel); and Nuclear Training. The following department Directors report to the Vice President-Nuclear and Environmental Engineering (see Figure 1.4):

1.4.2.1 The Director-Nuclear Engineering and Operations Services is responsible to direct and coordinate the support services as required for NUSCO/NUPOC Departments QAP - 1.0 Rev. : 11 Date:

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l during the design, modification, maintenance, l construction, and operation of nuclear power plants. He has reporting to him the following managers: , l l l

a. Manager, Generation Facilities Records is i Responsible to provide guidance by the ,

establishment of a corporate Nuclear Plant l Records Program and Manual for the 1 effective operation of all Northeast Utili-ties Nuclear Plant Records Facilities to meet corporate nuclear records objectives,

b. Manager, Reliability Engineering is respon-sible to establish and implement specific programs that are intended to monitor and improve the reliability or capacity of the nuclear generating facilities,

c. Manager, Nuclear Materials and Chemistry is responsible to provide evaluations of nuclear plant coolant chemistry and materials and to implement controls in accordance with the Nuclear Plant Water Chemistry Program.

d. Manager, Nuclear Safety Engineering is responsible to provide nuclear safety engineering evaluations of operational experience at NU and industry nuclear power plants.

1.4.2.2 The NUSCO 1)irector, Quality Services is responsible for the preparation and issuance of the NUQAP Topical Report, and verification of the 'mplementation of its requirements by the appm ible NUSCO/NUPOC Departments. Verifica-tion is performed by a planned program of audits / surveillance / inspection /in process veri-fications by the Quality Services Sections. He provides management with objective evidence of the performance of activities affecting quality, independent of the indivk;ual or group directly responsible for performing the specific activity. I l

He has the authority and organizational freedom to assure all necessary quality affecting activi-ties are performed and is independent of undue influences and responsibilities for schedules and costs. He has the responsibility l

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and authority, delineated in writing, to stop unsatisfactory work and control further processing, delivery, or installation of nonconforming materials . He also has the responsibility and authority to identify quality problems, to provide solutions, and to verify their implemen-tation. He maintains an overview of NUPOC quality assurance activities through a planned and systematic program of audits /survelliances/

in process verifications.

The following Managers and Supervisors report directly to the NUSCO Director, Quality Services (See Figure 1.6),

a. The Manager, Procurement Quality Services assures that quality assurance responsibil-itles, as they relate to procurement activities for the NU Nuclear Generating Facilities, are being implemented,

b. The Manager, Plant Quality Services assures the quality assurance activities associated with the construction, modifi-cation, operation, maintenance and refueling of the NU Nuclear Generating Facilities are being implemented,

c. The Supervisor, Assessment Services assures that the quality assurance responsibilities, as they relate to the operational phases and Generation Construction projects of NU Nuclear Generating Facilities are being imple-mented,

d. The Supervisor, Assessment and Staff Services assures that the quality assurance activities, as they relate to the design, modification and operations of the NU Nuclear Generating Facilities are being implemented.

These managers / supervisors have positions which are free from non-Quality Assurance duties and can give full attention to assure that the Quality Assurance Program is being effectively implemented and have appropriate organizational responsibilities and authority to i

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exercise proper control over the Quality Assurance Program. They have the respon-sibility and authority to identify quality protalems, to provide solutions, and to verify their implementation. Stop Work Orders initi-ated by NUSCO Quality Service personnel are delineated in writing with the concurrence of a NUSCO Quality Services Manager / Supervisor.

The responsibilities and duties of all NUSCO Quality Services personnel are described in NUSCO implementing procedures and job descriptions.

The Quality Services Department Personnel routinely attend and participate in daily plant work schedules and status meetings to assure they are kept aware of day-to-day work assignments throughout the plant. This also assures that there is adequate Quality Service coverage relative to procedural and inspection control, acceptance criteria, and Quality Services staffing and qualification of personnel to carry out Quality Services assignments for quality activities.

1.4.2.3 The Director-Environmental Programs is respon-sible for the planning, design, coordination and supervision of all scientific engineering studies of problems related to environmental impacts of NU activities affecting proposed and operating generation facilities. He has, reporting to him, the following Managers /

Supervisors:

a. Manager, Earth Sciences is responsible for the preparation of atmospheric disper-sion calculations required to estimate dose to the public from both routine releases and postulated accidents. He provides criteria and studies to assure that such calculations reflect state-of-the-art tech-niques and adequately support the corporate i program for Nuclear Emergency Preparedness,

b. Supervisor, Ecological Assessments provides statistical support to the NU QAP - 1.0 l Rev.: 11 Date: I Page 9 of 15 l s

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Environmental Lab to ensure state-of-the-art statistical methods and techniques in all areas of the ecological monitoring programs.

c. Manager, NU Environmental Laboratory directs ecological impact assessment studies for the operating generation facilities .

1.4.2.4 The Director-Nuclear Engineering is respon-sible to direct and coordinate the activities of Radiological Assessment, Generation Facilities Licensing, Reactor Engineering and Nuclear Fuel. The following managers report to Director-Nuclear Engineering:

a. Manager-Radiological Assessment is respon-sible to provide technical services in radiological matters relating to nuclear plant design and operation in nuclear and Generation Construction projects. It includes the studies of radiation exposure to plant personnel and the general public, liaison with regulatory agencies, and responsibility for the corporate program for Nuclear Emergency Preparedness.

b. Manager-Generation Facilities Licensing is Responsible for corporate liaison with the Nuclear Regulatory Commission and coordina-tion of responses to regulatory require-monts for changes to operating facilities. l This includes the preparation and coordination of documents for submittal to various regulatory agencies.

c. The System Manager-Reactor Engineering is responsible to provide reactor engi-neering, NSSS safety analysis, probabilistic risk asse-sments, fuel design, and reactor core analysis and performance evaluation services for Generation Construction l projects, and operations.of nuclear generation facilities. This includes services during reload of nuclear reactor cores, direction for optimal operations of reactor cores, evaluation of design and analysis of teactors, and NSSS transient evaluations.

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d. Manager-Nuclear Fuel is responsible for the planning, scheduling and coordination of the nuclear fuel supply requirements for operating nuclear generation facilities. l This includes contract engineering for technical administration of fuel contracts and technical support for the procurement of all elements of the nuclear fuel cycle, the handling of fuel removed from operating facilities, and determination of nuclear fuel costs.

1.4.2.5 Director-Nuclear Training is responsible for Nuclear Training and Training Evaluation activities . The following Managers report to the Director, Nuclear Training:

a. Manager-Operation Training is responsible for providing initial and requalification training programs for Nuclear Plant Operators ,

b. Manager-Technical Training is responsible for providing technical training in areas such as: Electrical and Mechanical Main-tenance, Instrumentation and Control, Health Physics, and Chemistry,

c. Manager-General Nuclear Training is responsible for providing training in areas such as: Radiation Work, Emergency Plan,. General Employee, Plant Systems, ALARA, New Employee, Fire Brigade, and Technical Support Staff,

d. Manager-Simulator Technical Support is responsible for ensuring the quality of the computer controls for the rnclear plant simulators.

1.4.3 The Vice President-Nuclear Operations is responsible for plant modifications, refueling, maintenance and operation of operating nuclear generation faellities. The division consists of a Nuclear Operations Engineering staff and the NUPOC organizations (see Figure 1.5).

1.4.3.1 The Supervisor-Nuclear Operations is respon-sible for the coordination of activities between the NUSCO Engineering personnel and and the NUPOC personnel. Engineers are assigned to QAP - 1.0 Rev.: 11 Date:

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perform the coordination of the activities for NUPOC operating nuclear generating facility.

1.4.3.2 NUPOC Station Superintendents (M111 stone and Connecticut Yankee) are responsible for the operation, maintenance, plant modifications, refueling and services of operating generation facilities . They provide operational input to the Project Engineers for the design at nuclear and operating plant Generation Construction projects ,

a. NUPOC Station Services Superintendents (Millstone.and Connecticut Yankee) report to the individual Station Superintendents and are responsible for the service depart-ments of each station such as Security, Health Physics, Chemistry, Stores, and Nuclear Records. (See Figure 1.6. )

1.5 OTHER NU PARTICIPATING GROUPS 1.5.1 ADMINISTRATIVE SERVICES The Vice President-Purchasing and Materials Management l 1s responsible to the Senior Vice President-Administrative Services for procurement activities within NU. Reporting to the Vice President-Purchasing and Materials Management, l are several Purchasing Directors and Managers responsible for:

a. The procurement of materials and services from quallflod suppliers in accordance with predetermined commercial, technical, and quality requirements;

b. Issuing Purchase Orders / Contracts and changes  !

thereto 1

c. Maintaining traceability of purchasing records from NUSCO/NUPOC;

d. Processing of purchase requisitions through the preparation of payment for the purchased item. l The Vice President Purchasing and Materials Management controls purchasing procedures.

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. o 1.5.2 INFORMATION RESOURCES GROUP (See Figure 1.7).

The Vice President-Information Resources Group is responsible for all information storage, handling and delivery systems at NU.

1.3.2.1 The Director-Information Resources Systems l Development is responsible for:

a. Design, coding and implementation of computer systems in support of engineering and scientific functions at NU.

b. Initial supply, life-cycle support and replacement of NU process computer systems including the nuclear plant computers and various special purpose systems,

c. Design, coding, and implementation of all computer systems in support of business-related functions at NU.

1.5.2.2 The Director-Information Resources Operations and Technical Support is responsible for:

a. Mainframe computer system technical support,

b. Operation of all NU Data Centers.

1.5.2.3 The Manager-Information Resources Planning and Control is responsible for:

a. Evaluating new and emerging technologies to determine their applicability to NU and their impact on strategic directions,

b. Coordinating all Information Resources Group Software Quality Engineering activities including:

1. Development of sof tware engineering standards detailing . policies and procedures governing the development of computer sof tware.

2. Identifying minimum documentation levels for all software requirements specifications, design descriptions, verification plans and verification reports .

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3. Development of computer based systems for automated auditability l and traceability, including source  !

code libraries, object code libraries  !

and executable load modules. l

4. Application and review of software products which ensure traceability and auditability of computer programs.

5. Development of software system test plans .

6. Development of training and indoctri-nation programs in software engi-neering.

7. Monitoring compliance with all Infor-mation Resources Group Software '

Engineering standards.

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8. Identifying deficiencies with existing Information Pesources Group policies and standards relative to this NUQAP Topleal Report.

1.5.2.4 The Director-Information Resources Administra-tion is responsible for:

a. Ensuring that data retention and owner-ship requirements are followed.

b. Ensuring data integrity.

c. Setting policy for data standardization,

d. Overseeing the design, construction, tuning and recoverability process of physical data bases as part of application development.

e. Ad. ministration of the Information Resources Disaster Recovery Programs,

f. Administration of the Information Resources Information Asset Security Programs.

g. Maintaining awareness and understanding of legislation and regulations pertaining to data security concerns.

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> 0 1.5.2.5 The Director-Communication Systems is respon-sible for:

a. Teleprocessing and distributed processing networks.

b. Telecommunications.

1.5.3 SYSTEM TRANSMISSION AND DISTRIBUTION The Vice President-Transmission and Distribution Engl-

-neering and Operations is responsible for quality. activi-ties performed by groups within his organization. The System Superintendent-Transmission and Test reports to the Vice President-Transmission and Distribution Engineering and Operations and is also responsible for quality activities. The Superintendent-Production Tests reports to the System Superintendent-Transmission and Test and is responsible for quality production test l activities which include:

a. Providing electrical testing services to the Nuclear Plant Operating Companies (NUPOC).

b. Planning and coordinating periodic and corrective maintenance of electrical equipment.

c. Conducting acceptance tests, calibrations, adjust-ments, functional checkout and commissioning of electrical systems.

d. Overseeing electrical preoperational testing for '

nuclear generation facilities projects and start-up testing for backfit/ Generation Construction projects, as requested.

QAP - 1.0 Rev.: 11 Date:

Page 15 of 15

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NORTHEAST UTILITIES ~

ORGANIZATION --

Direct Control ~

Operational Control NORTHEAST UTILITIES NORTHEAST UTILITIES SERVICE COMPANY (NUSCO)

CONNECTICUT " " '

A A HOLYOKE LIGHT & POWER WATER POWER ^

I '

COMPANY COMPANY COMPANY COMPANY COMPANY I

TIIE NUCLEAR PLANT OPERATING COMPANIES (NUPOC) l FIGURE 1.1 OAP 1.0 Rev: 11 Date:

l

__a

NORTHEAST UTILITIES -

Organizational Relationships -*

of Personnel having Quality Functions -

Pres) dent and Chief Operating Officer (NUSCO & NUPOC)

E I Sonior Vice President- Executive Vice President-Administrative Services Engineering & Operations (NUSCO & NUPOC)

E I Vice President- Senior Vice President-p

• " * * * " * "

• I Purchasing & Materials Engineering & & Operations

"*"*U"*"I Operations (NUSCO & NUPOC) a I , , ,

Vice President- Vice President-System Superintendent- Vice President-G rat Egleig him & EWmel Vice President. Transmission & Test & Cor.struction Nuclear Operatios s Engineering

- Information Resources 4

Group g

See Fgure 1.3 See Figure 1.4 See Figure 1.5 See Figuro 1.7 Production Test a

! FIGURE 1.2 OAP 1.0 Rev:11 Date:

NORTHEAST UTILITIES ,

From Figure 1.2 '

Organizational Relationships of Personnel having Quality '

Functions Vce President- '

Generation Engineering  ;

& Construction I

I E D ector-Director- Director-Generatior ngineering & Generation Projects Generation Construction t

Generation _

Generation Projects Generation Construction Mechanical Engineering Millstone Unit 1 -

Services

_ Generation _

Generation Projects Generation Construction Electrical Eningeering Millstone Unit 2 -

(Fossil & Hydro)

Generation _

Generation Projects Generation Construction Civil & Fossil Engineering Millstone Unit 3 -

(MYROCK) s Generation Generation Projects Generation Construction Eng,ineenng Design Connecticut Yankee -

(Nuclear)

Cost &

Schedule Control .

OAP 1.0 FIGURE 1.3 Rev:11 Date:

NORTHEAST UTILITIES --

~

Organizational Relations 111ps of Personnel 11aving Quality Functions Vice President-Nudear & Environmental Engineering Drecta- Directa- Nuc8 ear ng eering & Dire Director-Nudear Training Environmental Programs Nudear Engineering Quality Services Operations Services I

- General Nudear Training -

Earth Sciences -

RdiaW _ Ra%W _

Reement Engineering Assessments Quality Services .

I Simulation Computer Ecological Assessment _' Generation Facilities Generation Facilities

_ - _ - Plant Quality Services i; System Engineering Records Ucensing i

NU Technical Training _

Environmental -

Nuclear Safety Engineering -

Reactor Engineering -

Assessment Services Laboratory

_ Operator Training -

• • ' *I#* -

Nuclear Fuel -

Assesset &

and Chemistry Staff Services FIGURE 1.4 OAP 1.0 Rev:11 Date:

j.

NORTHEAST UTILITIES -

Organizational Relationships of Personnel having Quality Functions From Figure 1.2 Vice President-Nuclear Operations

, i Station Station Supervisor-Superintendent Superintendent Nuclear Connecticut Yankee Millstone Operations FIGURE 1.5 QAP 1.0 Rev: 11 Date:

NORTHEAST UTILITIES ~

Organizallonal Relallonsinips Between '

• NUSCO & NUPOC Personnel liaving .

Quality Functions s.* vie. re imas.

Nweleer Engineering Nudeer Review

& opermanen. Boards (MUSCO & NUPOC)

I I

Vice President-the President- Vice PresiM Nedan IN& Nudear Operations Ergneering &

Environmental Eng+neering Cons u m i I

. . Site Stanon Direcity-Plant Sntion Operanons Review --- Superintendert h anon Director- Operatons Review Superinterwsent Qualty Senri s Committee Mitstone Construcson Committee CY

' ' l I I I r

the Station Services Superintendent Steerin dent Superintendent Superintendent Superintendent Milstone 1 MEstone 2 r tendent MEstone 3 i  ; i

,. m y e' g .

Operations Review Operanons Review Operations Review

""'"S*'- ureger committee commi ee commmee

', D Plant Quality Services (Mtissone 1) (Mdistone 2) (Milstone 3)

Supenrisor-3,seM,".;Svices Assessment & Sorr Senrices

• Indicates On Site Organizational Elements Under the Quality Assurance Program Line Reporting

---

Communications / Advisory Reporting FIGURE 1.6 ogg y,o nev- 11 Date:

.o NORTIIEAST UTILITIES .

Organization Relationships of Personnel having Quality Functions From Figure 1.2 Vice President-Information Resources Group

, i i =

' l Director- Director- Information Manager- Information Information Resources Director- Information Resources Operations Resources Administration Resources Planning Systems Development and Technical Support and Control Director-Communication Systems L

4

) FIGURE 1.7 CAP 1.0

Rev

11 Date:

i

~

l 2.0 QUALITY ASSURANCE PROGRAM 2.1 GENERAL REQUIREMENTS Northeast Ut111tles (NU) has estabHshed a Quality Assurance Program (NUQAP) which complies with the criteria of 10 CFR 50, 1 Appendix B, and follows the guidance referred to in Appendix D l of this report. The quality assurance requirements set forth l herein and the attached Policy Statement, supplemented by the l Quality Assurance Procedures, provide the primary basis of the '

Program and the NU Policy with regard to quality assurance.

This program is established for each plant' site in a manner intended to accomplish the required level of quality and is carried out throughout the life of nuclear power plants. It includes quality activities during the operation, maintenance, testing, and modification of the in-service nuclear power plants. l The requirements of the NUQAP apply, as a minimum, to nuclear safety-related systems, structures and components as functionally identified in Appendix A, "Systems, Structures and Components" and other items or services which are specifically identified in each FSAR addressing Section 3.2.1 of NRC Regulatory Gelde l 1.70.

The requirements of the Program are implemented by Northeast Utilities Service Company (NUSCO), Nuclear Plant Operating Companies (NUPOC), the engineer-constructor, contractors, suppliers and engineering service organizations performing activities affecting quality systems, structures and components of nuclear power plants.

Procedures define the required indoctrination and training of personnel performing activities affecting quality, as necessary, to assure that suitable profielency is achieved and maintained.

Training sessions are documented, the content described, who attended, when they attended and the results of the training  !

sessions.

A periodic program review of the status and adequacy of the NUQAP is accomplished by NUSCO Quality Services audits /sur- 1 veillances/ inspections /in process verifications, by Nuclear Review '

Board (NRB) Reviews, and by the independent audit team described I herein and in QAP 1.0, Section 1.2.4.2. Organizations outside I NU are required to review the status and adequacy of that part of the Quality Assurance Program for which they have designated responsibility.

QAP - 2.0 Rev.: 11 Date:

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2.2 IMPLEMENTATION 2.2.1 GOALS AND OBJECTIVES As stated in the Policy Statement of NU, the goals of the NUQAP are to maintain quality levels in an effective and efficient manner and to assure a high degree of functional integrity and reliability of quality systems, structures and components. To meet this goal, the following objectives of the NUQAP have been defined:

a. Define through documented procedures, the quality activities that apply to the design, fabrication, procurement, construction, testing, operation, refueling, maintenance, repair and modification of nuclear power plants,

b. Establish, assign and document the responsibilities for the conduct of those activities affecting quality systems, structures and components;

c. Establish confidence that (a) the design, fabrica-tion, construction and operation of nuclear power generation faellities are performed in a manner consistent with NU Policies and (b) quality activi-ties are performed by responsible personnel, and are verified through a system of audits /survell-lances / inspections /in process verifications of those organizations with quality responsibilities;

d. Appraise the Senior Vice President, Nuclear Engineering and Operations of unresolved problems and trends which could have a significant effect on nuclear power plant safety and;

e. Prevent schedulo delays and high cost due to poor quality.

2.2.2 PROGRAM DOCUMENTATION l This NUQAP Topical Report defines the NU nuclear policies, goals and objectives, and is used as guidance for the development of the various 1.aplementing divi-sional, departmental, branch, or section procedures.

Revisions to the NUQAP Topical Report will be made as needed to reflect current requirements and descriptions of activities prior to implementation. These revisions will be made in accordance with a Nuclear Engineering i and Operations Group Procedure. l QAP - 2.0 l Rev. : 11 Date:

Page 2 of 7

Revisions to the NUQAP Topical Report, which reduce commitments previously accepted by the NRC, are submitted to the NRC for review and approval prior to implementation.

Revisions which do not reduce previously accepted commitments are periodically submitted to the NRC as required by 10CFR50.54(a)(3) and 10 CFR 50.55 (f) (3) .

Quality procedures ara developed by the departments performing quality activities.

These procedures are reviewed by the departments which are responsible for portions of these procedures.

These procedures are approved by the departments which initiate these procedures and are reviewed and concurred with by NUSCO Quality Services Department l for compliance with the NUQAP Topical Report. Changes to procedures are subjected to the same degree of control as that utilized in the preparation of the original document.

Each NUSCO Department Head /NUPOC Superintendent is responsible for implementation of the NUQAP, which includes individual departmental procedure requirements applicable only to his respective activities. In addi-tion, he is responsible for the preparation, approval and distribution of those instructions, operating pro-cedures, testing procedures or other instructions where further guidance is necessary.

2.2.3 SYSTEMS. STRUCTURES. AND COMPONENTS The requirements of the NUQAP Topical Report shall apply, as a minimum, to all activities affecting the safety functions of the systems, structures, and components, as addressed in the Safety Analysis Reports, (S ARs) . Safety systems, structures and components are functionally identified in Appendix A of the NUQAP Topical Report and also as specifically identified in each FSAR addressing Section 3.2.1 of NRC Regulatory Guide 1.70.

For systems, components, and structures covered by the ASME Code, NUSCO/NUPOC Procedures describe the measures taken to assure that the quality assurance requirements, contained in the code, are supplemented by the specific guidance of the applicable regulatory guides listed in Appendix D of this Topical Report.

QAP - 2.0 Rev. : 11 Date:

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For systems, components, structures; Regulatory l Commitments and NUSCO/NUPOC procedures describe the measures taken to assure that the quality assur-ance requirements are met.

The degree of control over activities affecting quality systems, structures and components is consistent with their importance to safety. Such controls include use of appropriate equipment, establishment of suitable environmental conditions and assurance that all pre-requisites for a given activity have been satisfied.

This NUQAP Topical Report provides controls over special processes and skills necessary to attain the required quality, and the need for verification of quality by inspection and test.

NUSCO Quality Services Department and applicable l NUSCO/NUPOC technical organizations jointly determine and identify the extent quality assurance controls are to be applied to quality structures, systems, and components. The quality assurance controls are in ,

conformance with this NUQAP Topical Report, which l compiles with the 18 criteria set forth in Appendix B,  ;

to 10CFR Part 50.

2.2.4 PARTICIPATING ORGANIZATIONS The NU organizations with responsibilities for activities affecting quality systems, structures and components are identified in QAP 1.0, which also briefly describes their assigned responsibilities.  ;

NUSCO Quality Services is responsible for: a) the l development, coordination, and control of the NUQAP including coordination of NUSCO Quality Services l i Department Procedure review and approval; b) control and issuance of the NUQAP Topical Report as a con-trolled document (as described in QAP 6.0) and; c) review and concurrence with quality assurance l procedures and revisions written by other departments. j Procedure reviews will be performed in accordance with QAP 5.0.

NU requires that their engineering-const.ructors, contractors, suppliers, and engineering service organizations invoke upon their subcontractors, via i procurement documents, requirements for a quality assurance program to meet the applicable critoria of Appendix B to 10 CFR, Part 50, including the applicable elements of the Regulatory Guides and their endorsed QAP - 2.0 Rev.: 11 Date:

Page 4 of 7 l

Standards identified in Appendix D of the Topical Report. However, NU retains overall responsibility for the QA Program. The specific quality activities performed by these organizations are specified in the procurement documer.ts . NUSCO Quality Services reviews and l approves these organization's quality assurance programs prior to initiation of contracted activities, and performs audits /surveillances/ inspections /in process verifications l on subsequent activities for compliance to their procedures .

The object of the review is to ver'fy it'at the engineer-constructor, contractors, suppliers and engineering service organizations have an adequate quality assurance program to meet applicable requiremonta of Appendix B, to 10 CFR, Part 50.

In addition to the initial review, the engineer-con-structor, contractors, suppliers and engineering service organizations' quality assurance programs shall be periodically audited by NUSCO Quality Services to l assure continued implementation of quality requirements.

Contractors may be delegated the execution of quality assurance functions by contract. These contracts are reviewed and approved in accordance with NU QAP requirements.

2.2.5 INDOCTRINATION AND TRAINING A program is established and maintained for quality assurance indoctrination and training which provides confidence that the required level of personnel competence and skill is achieved and maintained in the performance of quality activities. Quality procedures delineate the requirements for an indoctrination program to assure that personnel responsible for performing quality  !

activities are instructed in the purpose, scope and l implementation of quality procedures and instructions and that compliance to these documents is mandatory.

The NUSCO Director, Quality Services is responsible l for the indoctrination of personnel within his depart-ment who perform quality activities.

Nuclear training programs shall be develo' ped and implemented to provide training for all individuals attached to or associated with NU nuclear faellities.

Additional guidance is established in NUSCO/NUPOC  ;

Procedures.  ;

1 l

l QAP - 2.0 i Rev.: 11 l Date:

Page 5 of 7 j

. . ?.

Implementing NUSCO/NUPOC Procedures describe the nuclear training program requirements which assure that:

a. Documentation of formal training and qualification programs includes the objective, content of the program, attendees, and date of attendance;

b. Profielency of personnel performing and verifying activities affecting quality, is established and maintained. Personnel profielency is established and maintained by training, examination / testing, and/or certification based upon the requirements of the activity. Acceptance criteria are developed to determine if individuals are properly trained and quallfled.

c. Certificates or other documentation of qualification clearly delineate the specific functions personnel are quallfled to perform and the criteria used to qualify personnel in each function.

This program also requires the head of each department (including NUSCO Quality Services) to be responsible l for a training plan which assures that personnel performing quality activities are trained in the prin-ciples and techniques of the activity being performed.

2.2.6 MANAGEMENT PARTICIPATION NUSCO Department Heads /NUPOC Superintendents are responsible for implementing the NUQAP Topical Report within their Departments / Plants. The NUSCO Director, Quality Services, will assist in development, coordina-tion and review of the Program.

The Senior Vice President-Nuclear Engineering and Operations ensures that a management review of the program is conducted on an annual basis by an independent audit group to assess the scope, status, implementation, effectiveness and to assure compliance to NRC licensing commitments.

Actions considered by the Management Review may include, but are not limited to, the following:

a. Review of selected procedures and documents,

b. Verification of the implementation of selected procedural requirements, QAP - 2.0 Rev. : 11 Date:

Page 6 of 7 s

ee - , - . -- ,--,--n

c

. . . l

c. Review of past audit results such as those conducted by previous Management Reviews, the NRC or l other departments.

The Management Review's findings of deficiencies and l recommendations for program improvement are forwarded to the Senior Vice President-Nuclear Engineering and Operations, who will ensure appropriate corrective action is taken.

The quality assurance programs of the engineer-con-structor, NUSCO contractors, suppliers and engineering service organizations that perform quality activities are reviewed by NUSCO Quality Services to assure that their management's regularly reviews the status and adequacy of thek part of the NUQAP.

l 1

I l

QAP - 2.0 Rev. : 11 Date:

Page 7 of 7

. . ?.

I l

l 3.0 DESIGN CONTROL i 1

3.1 GENERAL REQUIREMENTS NUSCO/NUPOC is responsible for controlling design work, admini-stering design control activities (including desicrn interface) and design modifications for quality systems, struch tes and compo-nents.

The NUQAP for design is established to assure that the applicable design requirements, such as design bases, regulatory requirements, codes, technical standards and quality standards are identified in  ;

design documents which are reviewed, approved and controlled in accordance with established procedures. Such controls include review for suitability of application of materials, equipment, parts and processes that are essential to the functions of the systems, structures and components. Changes to, and deviations from specified requirements are identified, documented and controlled.

The responsibility for design control program implementation rests with NUSCO/NUPOC for all NU nuclear generating facilities. The division of responsibilities and jurisdictional boundaries are set forth in the Nuclear Engineering and Operations Prccedures (NEOs).

Although other organizations may be delegated the task of estab-lishing and executing the design control program or any part thereof, NUSCO/NUPOC will retain the ultimate responsibility for the program. The applicable requirements of the NUQAP will be imposed on other organizations delegated the task of establishing or executing the program in accordance with QAP 4.0 and QAP 7.0.

The interface controls, both internal and external, for organiza-tions performing design work for quality systems, structures and components are identified and implemented in accordance with documented procedures. This identification includes those organi-zations providing criteria, designs, specifications and technical direction.

Measures are applied to verify the adequacy of design. The extent of design verification is specified and documented by the responsible organization. The individuals performing design verification should not (1) have immediate supervisory res ponsibility for the individual performing the design, (2) L,ve specified a singular design approach, (3) have ruled out certain design cons Iderations, or (4) have established the design inputs for the particular design aspect being verified. The independent design verification should not dilute or replace the responsibility ,

of the supervisors for the quality of work performed under their i supervision. Where changes to previously verified designs have '

l been made, design verifications are required for the change, including evaluation of the effects of those changes on the l

QAP - 3.0 Rev.: 11 Date:

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l overall design. Design verification may be accomplished by testing.

Test to demonstrate adequacy under adverse design conditions shall comply with the requirements of QAP 11.0, "TEST CONTROL."

Design errors and deficiencies which adversely affect quality systems, structures and components in design process are documented, and appropriate corrective action is taken. These design errors and deficiencies are documented in accordance with design change procedures or as defined in QAP 15.0.

3.2 IMPLEMENTATION NUSCO/NUPOC is responsible for the design, design review, engineering approval of design changes, cesign evaluation and design control of nuclear power plants. The function may be delegated to other organizations to perform the design activity, or any part thereof, but the responsibility for overall design remains with NUSCO/NUPOC. In all cases, final engineering decisions and ultimate design control of systems, structures and components related to nuclear power plants is the responsibility of NUSCO/

NUPOC.

NUSCO Quality Services performs audits, surveillances, inspections, and in process verifications to verify that the engineering-constructors, contractors, suppliers, engineering sersice organizations and NU departments are effectively complying with the NUQAP and procedural requirements for design control.

3.2.1 DESIGN PROCESS Design control measures are applied to design analyses, such as, reactor physics, stress, thermal, hydraulic, nuclear radiation, accident and seismic analysos; com-patibility of materials; accessibility for in-service ins pection, maintenance, and repair; and delineation of acceptance criteria for inspections and test. Measures established to control design documents are described in .

QAP 6.0.

Program procedures and instructions define the method for implementing design control measures. These mea sures require that applicable design requirements, such as, design bases, regulatory requirements, codes and standards, are translated into specifications, drawings, procedures or instructions. Instructions further require l that appropriate quality standards are specified and j included in design documents. All materials, equipment, parts and processes, including standard "off the shelf" l commercial or previously approved items essential to the  !

quality functions, are selected and reviewed for suitabil- )

ity of application. The basis for selection may include QAP - 3.0 Rev. : 11 Date:

Page 2 of 6

l Industry standards, matsrl:1 and prototyps h:rdwars tssting programs, and dat:Ign revisws.

NUSCO Procedures assure that a documented check is performed to verify the accuracy and completeness of.

design drawings and specifications before release to construction. Design drawings receive a documented check to verify dimensional accuracy.

Design drawings and specifications, Issued for plant design changes during the operations phase of an in-service nuclear plant, are reviewed for completeness and accuracy before release to operations, in accordance with NUSCO/NUPGC Procedures defining Document Control.

NUSCO/NUPOC Procedures describe the provisions to assure that design drawings and specifications are prepared, reviewed and approved in accordance with company procedures, and that the documents contain the necessary quality assurance requirements, such as inspections and test requirements, acceptance require-ments, and the extent of documenting inspection and test results.

3.2.2 DESIGN CHANGE CONTROL Procedures and instructions governing design change control during construction, modifications to operating plants, control of discrepant or deficient design condi-tions, and reported unsatisfactory performance, provide for the identification of the need for design changes and a documented method to control these changes. Design and specification changes are subject to design control measures commensurate with those applied during the original design.

An independent review and approval of design changes is performed by the organization that conducted the original design reviews, unless NUSCO/NUPOC des Ignates another quallflod organization to perform this function.

Proposed design change modifications are submitted to the in-service units management for processing and review. This review includes the Plant Operations Review Committee (PORC)/ Site Operations Review Comm1 ttee (SORC). PORC/SORC is advisory to the appropriate NUPOC Superintendents on matters relating to nuclear safety. Its composition, responsibilities, and authority are defined in Section 6 of each in-service unit Technical Specification. If the change involves a quality system l QAP - 3.0 Rev.: 11 Date:

Page 3 of G 1

l l

l structure or component, the change will be reviewed by quellfled engineering personnel for technical adequacy.

Reviews of the design change requests are performed by the Nuclear Review Board / Environmental Review Board l on safety evaluations / environmental questions. The i sequence of the NRB review depends upon the determi l nation of whether an unreviewed safety question is i i nvolved (i.e., in accordance with ANSI N18.7, if a proposed change in the facility involves an unreviewed safety question then the NRB review is conducted prior to knplementation) . I The combination of these independent reviews by the PORC/SORC and NRB/ ERB are performed to assure that:

a. the adequacy of the proposed change is determined;

b. unreviewed safety / environmental questions are properly identified and handled per 10 CFR 50.59;

c. nuclear safety / environmental requirements have been considered.

Errors and deficiencies in design, including the design process, that could adversely affect quality structures, systems, and components are documented and corrective action is taken to preclude repetition.

During the operations phase, notification of plant design changes are transmitted to responsible plant personnel as part of the design package close out. NUSCO/NUPOC Procedures describe this notification which assures that personnel are made aware of design change modifications which may affect the performance of their duties.

3.2.3 DESIGN INTERFACE CONTROL During design, construction or modifications of nuclear power plants, the Nuclear Engineering and Operations Group is responsible for review, coordination and docu- )

mentation of design interfaces. Procedures provide the l method for identification of design interfaces, design I interface changes, and modifications affecting drawings i and design documents. 1 During plant design and construction phases, control of interfacec may be delegated to engineer-constructor and or Nuclear Stream Supply System (NSSS) supplier.

l QAP - 3.0 Rev.: 11 Date:

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l During the operations' phase, procedures and ins. true tions identify design interfaces which are controlled by

'the appropriate NUPOC Superintendent. Resolution of design interface questions are documented, t -;

-3.2.4 INDEPENDENT DESIGN VERIFICATION l Original designs and design modifications are reviewed for adequacy and the sign-off performed by a person other than the originator of the design. Design verifi-cation is documented in accordance with procedures or instructions. Simplified calculations or computer programs l may be utilized as alternate means of design verification.

When design verification is performed by testing, the tests are performed using approved procedures, which specify the authority and responsibility of design veri fication personnel. Ultimate responsibility for design adequacy and evaluation is retuned by NUSCO NUPOC, as a ppropri ate.

Design verification (if other than by qualification tes ting) is normally completed prior to release for procurement, manufacturing, and construction, or to another orga nization for use in other design activities. For those cases where design verification cannot be completed prior to release for procurement, manufacturing, and cons truction, procedures ensure that design verification is completed prior to the point when the installation is declared operational. i NUSCO/NUPOC Procedures describe the requirements which assure the following when testing is considered as an alternate method of design verification:

a. Speelfications or procedures provide criterla that specify when verification should be by test.

1

b. Prototype, component or feature testing is per-formed as early as possible prior to installation of plant equipment, or prior to the point when the installation is declared operational.

c. Verification by test performed under conditions that simulate the most adverse conditions as determined by analysis.

Particular emphasis is placed on assuring that designs are in conformance with applicable Codes, and on selec

ting the proper design verification or checking method.

Procedures and instructions provide the requirements l

1 2 QAP - 3.0 4

Rev. : 11  :

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and necessary controls for design verification. These controls include a review to assure that design charac-teristics can be controlled, and verification that there is adequate accessibility for inspection or test, and that inspection and test acceptance criteria are incorporated.

During the operations phase, documentation of reviews is provided.

NUSCO/NUPOC Procedures include-requirements which identify the responsibility of design verifiers, the areas and features to be verified, and the extent of the docu-mentation.

NUSCO/NUPOC Procedures assure that procedural control is established for design documents that reflect the commitments of the SAR. These procedural controls vary for design documents which receive formal design verification by several disciplines or organizations, and those which can be reviewed by a single individual.

The specific design documents and specialized reviews are determined and used as required by the design changes and modifications.

NUSCO/NUPOC Procedures are established to assure that verified computer programs are certified for a specific l use.

NUSCO/NUPOC is responsible for assuring that the design documents generated by the engineering-constructor, contractors, suppliers and engineering service organizations are adequately generated, approved, and maintained.

I l

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QAP - 3.0 Rev.: 11 Date:

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4.0 PROCUREMENT DOCUMENT CONTROL 4.1 GENERAL REQUIREMENTS The procurement of materials, equipments, parts and/or services required during the design, construction, testing, operation and maintenance of quality systems, structures and components in nuclear power plants is performed in a controlled manner which assures compliance with applicable regulatory requirements, proce-dures, quality assurance standards and regulations affecting procurement documents. Changes to procurement documents are subject to the same degree of control as utilized in the preparation of the original documents.

4.2 IMPLEMENTATION 4.2.1 PROGRAM A Project Manager and a Project Engineer are selected for each modification to an in-service nuclear power l plant. The project engineer coordinates the preparation, review and approval of procurement documents for quality material, equipment, parts or services, and ensures the technical adequacy and inclusion of quality assurance requirements.

NUSCO/NUPOC Purchase Requisitions are reviewed for l technical adequacy and verification of the quality desig-nation. The appropriate NUSCO Project Engineer /NUPOC Superintendent reviews and approves NUSCO/NUPOC Purchase Requisitions, when applicable. NUSCO Quality Services personnel then review the purchase requisition, for the inclusion and adequacy of quality assurance requirements, prior to the issuance of the purchase order.

Any engineering-constructors, contractors, suppliers and engineering service orge.nizations utilized by NUSCO/NUPOC in the design, construction, testing, operation, maintenance and modifications to nuclear power plants are responsible to implement measures for control of procurement documents associated with quality material, equipment, parts and services. to ensure applicable requirements including quality' assurance requirements are specified. NUSCO Quality Services performs on-site and off-site audits, surveillances, inspections and in-process verifications to ensure organizations utilized by NUSCO/NUPOC are effectively complying with their requirements for the control of procurement documents.

QAP - 4.0 Rev.: 11 Date:

Page 1 of 4

Changes to procurement documents, whether initiated by NUSCO/NUPOC or their representative, are subjected to the same degree of control as that utilized in the prepa-ration of the original document. The procurement of spare or replacement parts for quality systems, structures, or components is subject to the controls of the latest NU QA Program and NUSCO/NUPOC procedure requirements.

The spare or replacement parts are subject to controls equivalent to original or subsequent codes and standards.

Procurement documents are reviewed by Quality Services personnel to determine that:

a. The quality assurance requirements are correctly stated, auditable and controllable;

b. There are adequate acceptance and rejection criteria.

c. The procurement document has been prepared, reviewed, and approved in accordance with the NU QA program requirements.

4.2.2 PROCUREMENT DOCUMENT PROVISIONS Procurement documents are prepared, reviewed and approved in accordance with approved procedures of the issuing organization or department and are available for l verification. These procedures require that procurement documents consist of the following, as necessary:

a. The scope of work to be performed;

b. Technical requirements (specified or referenced) including the applicable components and materials identification requirements, drawings, specifica-tions, procedures, instructions, codes and regula-tions, and the identification of applica'<ie test, l Inspection and acceptance requirements, or special i process instructions; )

c. Quality Assurance Program requirements to be imposed on contractors which include the applicable requirements of 10 CFR 50, Appendix B, and the NRC regulatory position contained in the Regulatory Guides and their endorsed ANSI Standards listed in Appendix D of this Topical Report;

d. Right of access which provides, as appropriate, for l access to contractor faculties and records for i inspection or audit by NUSCO or its designated QAP - 4.0 Rev.: 11 Date:

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representative; and provides access for events such as those requiring notification of hold points;

e. The documentation required to be prepared, maintained, and/or submitted to NUSCO/NUPOC or its representative for review, approval or historleal record. The time of submittal of this documentation and the retention and disposition of quality assurance records which are not submitted to NUSCO/NUPOC is prescribed, as applicable, for NUSCO/NUPOC-engineered procure-ments .

4.2.3 SELECTION OF PROCUREMENT SOURCES If the engineer-constructor, contractor, or supplier is not delegated the function of procurement source selection, the NUSCO Purchasing Department verifles that the procurement document has been reviewed and approved, and that the suppuer has been approved for procurement prior to issuing the purchase order for the material, equipment, parts and services. Supplier approval is not required for the procurement of nonengineered items which are:

a. Relatively simple and standard in design, manufacture, and test (i.e., off-the-shelf item, the catalog number is in effect, a specification which controls the manufacture of the item) and;

b. Adaptable to standard or automated inspections and/

or tests of the end product to verify quality characteristics after delivery and;

c. Of such a nature that product acceptance inspections / tests performed upon receipt of items do not require operations which could adversely affect the integrity, function, or cleanness of the item.

Procurement documents may be issued to organizations with unapproved quality assurance programs. These procurement documents to unapproved organizations contain detailed supplementary quality assurance requirements and/or witness / hold points to meet NUSCO l requirements.

Procurement documents are reviewed by NUSCO Quality Services to ensure appropriate quality assurance requirements are specified. These requirements, included in the procurement document as necessary, include acceptance criteria, audits and/or inspections at the l

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suppliers faellities with scheduled witness / hold points ,

during the fabrication process and/or prior to shipment  :

,- of the procured item. Acceptance inspections and tests determined by NU shall be performed after receipt at NU i but prior to operation. l i

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5.0 PROCEDURES c INSTRUCTIONS. AND DRAWINGS 5.1 GENERAL REQUIREMENTS  ;

The NUQAP provides measures- for the preparation, review, approval,  :

control and distribution of procedures, instructions and drawings of activities affecting quality systems, structures and components during design, construction, testing, maintenance, modifications, l and operation of nuclear power plants. The documents include-appropriate quantitative and qualitative acceptance criteria which

.specify the activity to be performed, the methods of construction and testing to be employed, material, equipment or parts to be used, a sequence of operation and the required documentation. ,

5.2 IMPLEMENTATION Quality Procedures provide direction for personnel performing quality functions. NUSCO Quality Services Department reviews and ]

concurs with quality procedures. Comments concerning compliance with the NUQAP Topical Report and regulatory requirements are resolved prior to issuance of the procedure. NUSCO Quality Services receives controlled copies of quality procedures issued by other departments. Any engineering-constructors, contractors, suppliers and engineering service organizations utilized by NUSCO-NUPOC in the design, construction, testing, operation, maintenance and modifications to nuclear power plants may. be delegated responsibility for preparing, _ maintaining, issuing and verifying the implementation of appropriate program documents .

which are selectively reviewed / approved by the appropriate NUPOC Superintendent, NUSCO Director, Generation Construction, or Project Engineer, as appropriate. In this case, NUSCO Quality Services performs on-site and off-site audits /surveillances/

inspections /in process verifications of the quality assurance programs to ensure the engineering-constructor, contractor, supplier, and engineering service organization are effectively complying with their requirements for procedures and instructions.

Contractor programs are required to clearly delineate the actions i to be accomplished in the preparation, review and control of l procedures, instructions and drawings and the methods for I I

complying with 10 CFR 50, Appendix B.

5.2.1 PROCEDURES AND INSTRUCTIONS Procedures and instructions for activities' affecting quality are prepared, reviewed, and approved in accor-dance with written procedures and instructions, i

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The NUSCO Director, Generation Construction, or Project Engineer ensures that any engineering-constructors, contractors, suppliers and engineeering service organizations utilized by NUSCO/NUPOC in the design, construction, testing, operation, maintenance, and modifications to nuclear power plant, implement quality assurance programs which contain written instructions for preparation, review and approval of procedures and instructions affecting quality. In addition, Contractor's site construction procedures and quality control inspec-tion procedures are reviewed for concurrence by NUSCO Quality Services to assure compliance with the Program. l The NUPOC organization is responsible for the prepa-ration, review and approval of plant quality procedures.

The procedures include test procedures and overall site administrative procedures which implement the require-ments of the NUQAP Topical Report. Each NUPOC organization is also responsible for the preparation, review and approval of procedures covering quality activities in accordance with individual license requirements . The NUSCO Quality Services Department reviews and concurs with all quality procedures.

5.2.2 DRAWINGS The design control and verification measures described in QAP 3.0, are applicable for the review and approval of drawings. The Nuclear Engineering and Operations Group, or the appropriate NUPOC Superintendent, when applicable, has the ultimate responsibility for review and approval of new drawings or modifications to existing drawings. The originating organization may delegate to other organizations or departments the work of design and review activities, or any part thereof, but retains ultimate responsibility for this work.

The measures taken to assure the preparation of as-built drawings and related documentation in a timely manner to accurately reflect the actuel plant 'tre described in NUSCO/NUPOC Procedures. Drawings critical to operation are updated prior to system turnover to operation and are available to the operating personnel, i

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5.2.3 ACCEPTANCE CRITERIA Cognizant Department Heads review and approve depart-mental procedures, instructions and drawings to ensure the inclusion of adequate quantitative and qualitative acceptance criteria, as appropriate, for determining satisfactory work performance and quality compliance.

These criteria apply to activities such as design, operations, test control, inspection and plant modifications.

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6.0 DOCUMENT CONTROL 6.1 GENERAL REQUIREMENTS The NUQAP provides measures to assure controlled distribution of documents pertinent to quality assurance for the design, construc-tion, testing, maintenance, operation and modification of nuclear l power plant quality systems, structures and components in accordance with NUSCO/NUPOC quality procedures and 10 CFR 50, Appendix B. l Documents such as procedures, instructions, drawings, specifica-tions and reports are prepared, reviewed for appropriate qualita-tive and quantitative acceptance criteria, and approved by authorized personnel in the affected organization. Approved controlled documents are distributed to affected locations in accordance with controlled distribution list. Changes to controlled documents are reviewed and approved by the same organization which performed the original review and approval, unless otherwise specified in the implementing procedures. Measures are provided for controlling documents to preclude the possibility of the use of outdated documents.

6.2 IMPLEhENTATION 6.2.1 RESPONSIBILITY _

NUSCO/NUPOC Procedures and Instructions delineate the measures for controlling documents including direction for the review for adequacy, approval by authorized personnel, distribution of controlled documents and verification that changes aro promptly incorporated and implemented. These control measures apply to documents affecting quality systems, structures and components during design, construction, maintenance, testing, operation and modifications thereto such as:

a. Design Specifications;

b. Design, Manufacturing, Construction and Installation Drawings;

c. As-Buut Documents

d. Quality Assurance Program Manuals, Procedures and Instructions -

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g. Final Safety Analysis Report;

h. Procurement Documents; .

1. Design Change Requests;

j. Topical Report;

k. Nonconformance Report;

1. Computer Codes.

NUSCO/NUPOC Procedures describe the measures taken by NUSCO Quality Services or individuals other than the person who ge terated the document but quallfled in quality assurance, for the control of documents to assure review and concurrence, as necessary, for such documents listed above with regard to quality assurance aspects. l The requirements for control of procurement documents are contained in QAP 4.0. During all phasea of plant life, it is the responsibility of each organization issuing controlled documents to employ document control procedures.

The issuing organization is additionally responsible for distribution of the documents to appropriate locations.

There shall be provisions to assure that approved changes are included in instructions, procedures, drawings and other documents prior to implementation of the changes.

Any engineering-constructors, contractors, suppliers and engineering service organizations utilized by NUSCO/NUPOC in the design, construction, testing, operation, maintenance and modifications to nuclear power plants are responsible for implementing measures for review, approval, . control and distribution of controlled documents, to ensure they l

are offectively complying with the requirements for document control. NUSCO Quality Services performs l periodic on-site and off-site audits, surveillances, inspections, and in process verifications of the engineering-constructor, contractors, suppliers and engineering services organizations to verify compliance with their approved quality assurance programs. ,

6.2.2 DISTRIBUTION OF CONTROLLED DOCUMENTS NUSCO/NUPOC Procedures, specify in what manner controlled documents and revisions thereof, are distrib-uted to appropriate locations, prior to commencing the work. Holders of controlled copies of documents complete acknowledgement of receipt forms and return them to the distributor in order to assure that obsolete or superseded QAP - 6.0 Rev.: 11 Date:

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documents are removed from the work areas in a timely manner. NUSCO Quality Services perform periodic on- l site and off-site audits, surveillances, inspections, and in process verifications to verify compliance with the requirements of procedures for document control.

6.2.3 DRAWING CONTROL The NU Generation Facilities Records Organization is responsible to implement a program, as per approved procedures, for the retention and retrieval of drawings and records submitted by the cognizant NUSCO NUPOC project personnel. The NU Generation Facilities Records Organization maintains a drawing status file for in-service units which includes drawings newly issued or revised with latest revision and current status.

The engineer-constructor, contractors, suppliers and engineering service organizations utilized by NUSCO NUPOC during the design, construction and modification to nuclear power plants may be delegated the function of drawing control and must furnish periodic status reports listing the revisions of applicable drawings which they issue.

NUSCO Quality Services Department performs on-site and off-site audits, surveillances, inspections, and in process verifications of suppliers to verify they are effectively complying with their programs for document control of drawings.

6.2.4 INSTRUCTION AND PROCEDURE CONTROL NUSCO Quality Services Department performs audits, surveillances, inspections, and in process verifications of NU departments and any engineering-constructors, contractors, suppliers, and engineering service organizations utilized by NUSCO/NUPOC in the design, construction, testing, operation, maintenance and modifications to nuclear power plants to ensure they are effectively complying with their QA program for control of procedures and instructions.

The originating department is responsible for establishing adequate control over quality procedures and instructions issued by them. The responsible organization also issues status reports or revised indices listing the latest )

revision of appilcable controlled documents issued by '

them.

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7.0 CONTROL OF PURCHASED MATERIAL. EQUIPMENT AND SERVICES 7.1 GENERAL REQUIREMENTS I Measures for the control of procured material, equipment, parts l and services by or for NU related to the safety of nuclear power plants are established and imposed by the NUQAP during design, construction, testing, operation, maintenance and modification, to l ensure conformance to procurement documents. These measures include provisions for source evaluation and selection, submission of objective evidence by the contractor or subcontractor, inspection at the supplier source and examination of items upon delivery.

Control of quality by contractors and subcontractors is assessed for effectiveness at intervals consistent with the importance, complexity and quantity of the product or service.

7.2 IMPLEMENTATION The word supplier is used in this section to designate what is otherwise describad as the engineer-constructor, contractor, supplier or engineering service organization.

The evaluation and selection of suppliers is performed in accordance with procedures, which specify that procurement source evaluation and selection measures are performed to determine supplier capa-bility and delineate responsibilities of quallfled personnel involved in the evaluation and selection process.

7.2.1 NUSCO Quality Services utilizes one or more of the l l following methods in evaluating the qualifications of a '

potential supplier:

a. Audits and/or coordinated review of a potential l supplier utilizing one or more departments, (i.e. ,  !

Engineering, Construction, Operations and or i Purchasing);

b. Engineer-constructor or other utility supplier audits and evaluations; l

c. Coordinating Agency for Supplier Evaluation (CASE) evaluations ,

d. ASME N, NA, NPT, NV, or MM/MS ' Certificate of Authorization.

Evaluations ensure that NU suppliers employ a quality assurance program that conforms to applicable portions of the NUQAP Topical Report.

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NUSCO Quality Services maintains documented evidence of the evaluation and acceptance of the supplier's quality assurance program. The determination of supplier approval is based on such factors as prior performance, j historical quality performance data, audits, and evalu-  :

ations of the supplier's quality assurance program. I Suppliers Certificates of Conformance are periodically j evaluated by audits, independent inspections and tests, J to assure they are valid. This verification of Certifi-cates of Conformance is documented.

7.2.2 SOURCE INSPECTION NUSCO Quality Services is responsible for the performance of source inspections at suppliers faellities to ensure that the requirements of a Purchase Order Contract have been met.

Surveillances of suppliers are performed in accordance with written procedures which provide for:

a. The method of surveillance and the extent of documen-tation required and those responsible for implementing those instructions;

b. Surveillances of those items where verifications of procurement requirements cannot be determined upon receipt.

7.2.3 RECEIPT INSPECTION Receipt inspection for procured items is performed under the direction of NUSCO Quality Services Department in accordance with quality procedures which delineate requirements and responsibilities necessary to perform inspection functions. Contractual obligation fulfillment and quality assurance requirements are verified during receipt inspections.

Receiving inspection of supplier-furnished material, i equipment, and services is performed to assure that l material, components, equipment and acceptance records are inspected and judged acceptable in accordance with predetermined inspection instructions prior to installation or use. Receipt inspections include, as appropriate: )

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a. Measures for verifying that the shipment is 1 complete, properly identified, undamaged and I corresponds with the receiving documentation;

b. Measures for inspection of the item and review of supporting documentation (e.g. , mill test reports, j NDE reports) as required by the purchase documents, i

c. Measures for inspection and acceptance of items to  !

inspection instructions;

d. Measures for identifying and controlling acceptable ite:as including identification of inspection status prior to release from the receiving inspection area;

e. Measures for identifying, segregating and handling nonconforming items;

f. Measures to ascertain that inspection records or certificates of conformance are available prior to release to construction plant for installation.

7.2.4 SUPPLIER FURNISHED RECORDS Records required to be furnished by the supplier are specified in the procurement document. Certifications or documentation verifying conformance, provided by the supplier, identify that all the specific procurement requirements have been met (either by reference to the purchase order or by delineation).

The supplier must furnish the following records as a minimum:

a. Documentation that identifies the purchased material i or equipment and the specific procurement require-monts, (e.g., codes, standards and specifications) ,

met by the items; '

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b. Documentation that identifies any procurement )

requirements which have not been met, together '

with a description of those nonconformances dispositioned "accept as is" or "repair" The responsible NUSCO Quality Services' personnel shall review for acceptability these documents which pertain to I the requirements in the procurement document, in accordance with the NUQAP Topical Report and its applicable procedures.

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7.2.5 NUSCO/NUPOC Procedures address the measures taken to assure that for nonengineered "off-the-shelf" items, where speelfic quality assurance controls for nuclear applications can be imposed in a practicable manner, that special verification requirements are established and described.

These measur:.; follow the guidance in Regulatory Guide 1.144, paragraph C.3.b (1) and Regulatory Guide 1.123 and applicable paragraphs of Section 10 of ANSI N45.2.13.

These measures include appropriate requirements for special categorization and identification within the procurement doeur.ent, receiving inspection, and additional controls during the installation and testing process to be performed by NUSCO Quality Services Department. l l

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8.0 IDENTIFICATION AND CONTROL OF MATERIALS. PARTS AND COMPONENTS 8.1 GENERAL REQUIREhENTS NUSCO/NUPOC organizations assure that the identification of inspections, tests, and operation status of structures, systems, and components is known by affected organizations.

The NUQAP provides measures for the identification and control of material, parts and components, including partially fabricated assemblies, during design, construction, testing, operation, main-tenance and modifications thereto. To ensure that each item can be traced to associated documentation, the identification of the item is maintained by heat number, lot number, part number, serial number, or other appropriate methods, and is physically marked on the item and/or on records traceable to the item. Documenta-tion associated with material, equipment, and components verify that these -items have been designed, fabricated, manufactured, tested, and inspected in accordance with the specified require-ments . The object of these controls is to prevent the use of incorrect or defective materials, parts and components, in accordance with 10 CFR 50, Appen.41x B.

8.2 IMPLEMENTATION NUSCO/NUPOC Procedures establish the responsibilities and require-ments for the identification and control of materials, parts and components . The procedures assure that identification and control is maintained throughout fabrication, receipt, handling storage and installation of items. Provisions include:

a. Requirements for traceability to appropriate documentation such as: procurement documents, manufacturing documents, drawinga, specifications, certifications, inspection and test records, and nonconformance reports. ,

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b. Controle to assure that the correct identification of an item is I verified and documented prior to release for fabrication, l assembly, shipping or installation,

c. Requirements which assure that the method or location of markings do not affect the function or quality of an item.

d. Establishment of identification requirements in specifications, drawings, procurement documents, procedures or instructions.

During the design, construction, bsting, operation, maintenance l or modifications to nuclear power plants, NUSCO/NUPOC may QAP - 8.0 Rev.: 11 Date:

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I delegate any portion of the implementation of the identification and control program to any engineering-constructors, contractors, suppliers and engineering service organizations utilized by NUSCO/NUPOC in the design, construction, testing, operation, maintenance and modification to nuclear power plants, as appropriate. If delegated, contracts require that the contractor establish an identification and control program which meets the NUQAP Topical Report requirement. In this case NUSCO Quality Services performs on-site and off-site audits, surveillances, inspectionc, and in process verifications of the engineering constructor, contractor, supplier, engineering service organization's quality assurance program to ensure they are effectively complying with these requirements for identification and control of material, equipment and components.

Receipt inspections are performed to verify that materials, equip-ment and components are properly identified in accordance with procurement requirements. NUSCO Quality Services is responsible l for assigning and applying permanent identification to the items in accordance with approved procedures. If the application of a serial number is not practical, other means of identification are implemented to assure proper identification and traceability.

In the event that the equipment, material or component is noncon-forming or the identification becomes lost or illegible, the items are considered nonconforming and are identified and controlled in accordance with QAP 15.0.

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l 9.0 CONTROL OF SPECIAL PROCESSES 9.1 GENERAL REQUIREMENTS The NUQAP provides measures to assure control of special processes associated with quality systems, structures and components by the

- use of quallfled, approved procedures, equipment and personnct during design, construction, testing, operation, maintenance and l i mod!fications to nuclear power plants.

Special processes are performed under controlled conditions in accordance with special requirements and may include, but are not limited to: welding, cleaning, heat treating, and nondestructive examination and/or testing.

9.2 IMPLEMENTATION During design, construction, testing, operation, maintenance, and modification of nuclear power plants the NUSCO Project Engineer is responsible for ensuring that special process data and documentation is reviewed, and that contractors, engineering-constructors, suppliers, and/or engineering service organizations special process procedures utilized at nuclear power plants are quallfled and approved, and that personnel and equipment utilizing special processes are properly quallfled prior to the start of work.

NUSCO Quality Services personnel perform on-site and off-site audits, surveillances, inspections, and in process verifications to ensure the engineering-constructors, contractors, suppliers, and engineering service organizations are effectively complying with their quality assurance program requirements for control of special processes.

i NUPOC special process procedures utilized during testing, operation, maintenance, modification and refueling of the in-service '

nuclear power plant are prepared, reviewed and approved in

accordance with procedures as specified in QAP 5.0, i

9.2.1 PROCEDURE QUALIFICATION AND CONTROL NUSCO/NUPOC Procedures specify that written process control documents are utilized and quallfled, as required, in accordance with the applicable specification, codes or standards.

9.2.2 PERSONNEL QUALIFICATION AND CERTIFICATION 1

Codes, standards and NUSCO/NUPOC procedures specify personnel qualification / certification requirements, i

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Personnel responsible for the performances and verifi-cation of special processes are trained, tested, and certified as required by applicable specifications, codes and standards. Requirements for the period of certification, retesting, and recertification of personnel are also specified. Contractors qualify personnel and maintain records of quallfled personnel in accordance with applicable codes, standards, specifications, and contractor procurement document requirements. Quality Services Department is responsible for the review of records of quallfled personnel, equipment and procedures associated with special processes.

The NUSCO Director, Quality Services is responsible for the training, testing, and certification of all NUSCO/

NUPOC NDE personnel in accordance with the requirements of Regulatory Guide 1.58 (Rev.1, 9/80) and ASNT Recommended Practice No. SNT-TC-1A.

9.2.3 iPECIAL PROCESS RECORDS Records provide objective evidence that special processes were performed in accordance with approved procedures, by qualified personnel, and that when required by procedures, specifications, and codes, such performance was verified. Results of nondestructive examinations are recorded in accordance with applicable specifications, codes and standards. These records are retained by the supplier or supplied to NUSCO/NUPOC as required by contract or purchase orders. If records are to be retained by the supplier, the contract or purchase order specific the retention period and instruction for final disposition of records.

Special process docuantation such as special process procedures, qualifyJng data, and personnel and equipment qualifiestion records associated with the performance of special processes at nuclear power plants, are kept current and maintained in appropriate I NUSCO/NUPOC files, with final disposition to the i appropriate NU Nuclear Plant Records Facility. ,

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I 10.0 INSPECTION 10.1 GENERAL REQUIREMENTS

. Inspection of activities to verify the quality of systems, structures and components, which are performed by or for Northeast Ut111tles (NU), are executed in accordance with the Quality Assurance Program (NUQAP) and appropriate procedures, instructions and drawings by quallfled personnel independent from the' individual or -

group performing the activity being inspected. If inspection is impossible or disadvantageous, indirect controls by monitoring processing methods, equipment and personnel are provided.

Inspection notification and hold points are identified, as required, in the applicable documents.

10.2 IMPLEMENTATION 10.2.1 INSPECTION RESPONSIBILITIES During construction, testing, maintenance, modification, and operation, quallfled NUSCO Quality Services personnel shall review work procedures in order to determine the need for:

a. Inspections (e.g., receipt inspections, installation, system turnover, and product acceptance);

b. Identification of inspection personnel;

c. Documentation of inspection results.

The review also ensures that the necessary inspection requirements, methods, and acceptance criteria have ,

been identified.

NUSCO Quality Services performs audits, surveillances,

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Inspections, and in process verifications to verify that I any engineering-constructors, contractors, suppliers, and engineering service organizations utilized by j NUSCO/NUPOC in the design, construction, testing, operation, maintenance, and modification to nuclear power plants are effectively complying with their quality assurance program requirements for inspection and for parforming/ witnessing inspections at "hold" or "notifica-tion" points identified in NUSCO/NUPOC procurement i documents. All audit / surveillance / inspection /in process

verification activities are performed under requirements 1

specified in written quality assurance procedures. '

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10.2.2 INSPECTION PLANS AND SCHEDULES Documented inspection plans may be either a separate  !

document or an integral part of work instruction ,

documents. The plans are based on design l specifications, procurement documents, drawings, other  :

specifications, or previous experience, as appropriate.

Inspections are scheduled to. assure that sufficient time .

and resources are available, and to assure inspections  !

are not inadvertently omitted or bypassed. '

During NUSCO-directed activities of nuclear plants, NUSCO Procedures provide criteria for the determination of accuracy requirements of inspection equipment and when inspections are required. These procedures describe requirements for the preparation of inspection plans and schedules by the NUSCO Quality Services Department.

NUSCO Procedures also describe requirements for audits and surveillances performed by the NUSCO Quality Services Department to assure the implementation of the

• inspection plans and schedules.

During the operations phase of nuclear plants, inspection activities are performed in accordance with NUPOC/ ,

NUSCO procedures. NUSCO Quality Services ,

participates in inspection activities by the review of the }

work procedures and the preparation and approval of inspection plans. ,

The inspoetion criteria, including the use of inspection equipment and their accuracy requirements, are specified in the Job Packages / Inspection Plans.

10.2.3 INSPECTION PERSONNEL AND INSPECTION DOCUMENT ACCESS

a. Inspections are performed by individuals other than those who performed or directly supervised the activity being inspected. Inspection personnel are quallfled and/or certified in accordance with appro-priate codes, standards, and/or NU training programs;

b. Inspections are performed by NUSCO Quality Services personnel or by quallfled contracted personnel, who '

are independent from undue pressur'e such as cost ]

and schedule. When NUPOC plant personnel /

contracted personnel perform inspections, their inspection plans / procedures and personnel qualification criteria are reviewed and found 1

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acceptable by the NUSCO Quality Services  ;

Department prior to the initiation of the activity.  ;

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c. Access to drawings, procedures, specifications or other documented criteria necessary for the perfor-mance of inspections is provided prior to performing the inspection activity. l 10.2.4 INSPECTION PROCEDURES

a. Required inspection, or surveillance activities are performed and documented according to written, approved procedures and/or checklists. Inspection procedures, plans or checklists contain the following:

(1) Identification of characteristics to be inspected; (2) Identification of the individual or grouns responsible for performing the inspections; (3) Requirements for the necessary measuring and test equipment and the required accuracy of this equipment; (4) Acceptance criterla; (5) A description of the method of inspection; 4

(6) A record of the results of the inspection; -

(7) Record of inspector or data recorder i

b. Written approved procedures specify surveillance of l processing methods, or testing and operation of equipment when inspection is impossible, inaccessible or not applicable.

c. Modification, repair, replacement or rework items I are inspected in accordance with original inspection  !

requirements or approved alternatives.

10.2.5 MANDATORY HOLD AND NOTIFICATION POINTS Mandatory hold points are utilized when .an inspection /

operation must be performed or witnessed and signed off by the responsible personnel before work can proceed.

Notification points are used to identify the operations or completed processes that the NUSCO/NUPOC or its representatives may elect to witness and/or inspect during the manufacturing, construction, installation 4

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l process. Mandatory hold and notification points, as required, are identified in procurement documents and l procedures. These documents are subject to the review and concurrence of NUSCO Quality Services for adequacy l

of inspection, notification and/or mandatory hold controls.

10.2.6 INSPECTION RESULTS EVALUATION Inspection results are evaluated for acceptability in accordance with approved NUSCO/NUPOC Procedures which identify the responsible organization.

The evaluations are performed by the responsible NUSCO/

NUPOC personnel who are quallfled in accordance with the appropriate Regulatory Guide / ANSI Standard commitments listed in Appendix D.

NUSCO Quality Services performs audits, surveillances and in process verifications to assure that inspections are performed per the requirements of applicable NUSCO/NUPOC Procedures.

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l 11.0 TEST CONTROL 11.1 GENERAL REQUIREMENTS A documented test control program is established by the NUQAP for systems, structures and components to ensure that they will perform satisfactorily in service and that test results are documented in accordance with 10 CFR 50, Appendix B and other pertinent regulatory and/or technical requirements.

The test control program identifies the systems, structures and components to be tested, method of conducting tests, evaluation of tests and documentation of tests by quallfled personnel to assure requirements have been satisfied.

The test control program is systematic and includes proof test prior to installation, construction tests, operational tests, surveillance tests, and retest following repairs, replacements or modification.

11.2 IMPLEMENTATION 11.2.1 TEST PROGRAM 4

Test requirements to determine or to verify the capa-bility of an Item to meet specified requirements in accordance with engineering / design documents, Safety Analysis Reports (SAR), technical specifications, '

procedures or procurement documents, as appropriate, are accomplished by subjecting the item to a sot of physical, chemical, environmental or operating conditions. Rotest following repairs, replacement or modification Is performed in accordance with the original design requirements or acceptable alternatives and is performed when original test results are invalidated.

NUSCO/NUPOC procedures are written and approved to delineate the methods and responsibilities for controlling, 3

accomplishing and documenting testing during construction, maintenance, operation and modification of nuclear power Plants . l Any engineering-constructors, contractors suppliers, and I engineering service organizations utilized' by I NUSCO/NUPOC in the design, construction, testing, operation, maintenance, and modifications to nuclear l power plants are responsible for implementing measures for the control of tests to ensure that materials, equipments and parts will perform satisfactorily. NUSCO QAP - 11.0 Rev.: 11 Date:

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i Quality Services performs on-site and off-site audits, l surveillances, inspections, and in process verifications of selected proof tests when "notification" points have been identified in Purchase Order / Contracts of the engineering-constructors, contractors, suppliers and engineering service organizations to verify they are complying with -

their quAllty assurance program requirements for test control. Documentation associated with these observa-tions are maintained by NUSCO Quality Services. ,

Proof tests, product acceptance tests, retests, and periodic surveillance tests are conducted by quallfled l personnel in accordance with approved procedures. '

Personnel performing tests ensure that calibrated equipment and instrumentation utilized are within the calibration interval specified. Documentation including test procedures and approved data sheets are maintained in appropriate files.

11.2.2 TEST PROCEDURE PREPARATION AND TEST PERPORMANCE Testing is accomplished in accordance with approved test procedures which incorporate or reference the requirements ,

and acceptance criteria in the applicable design and  ;

procurement documents. The test procedure or test program documents include the following as a minimum:

a. Instructions for the testing method used;

b. Required test equipment and instrumentation;

c. Test requirements, such as acceptance and rejection criterla; ,

d. Hold, notification, inspection and data collection points;

, e. Test prerequisites such as: calibrated instrumen-tation; trained, quallfled, and licensed or certified personnel; preparation, condition and completeness of item to be tested; suitable and controlled environmental conditions;

f. Methods for documenting or recording test data and l results; j

g. Provisions for data collection and storage.

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11.2.3 TEST EQUIPMENT NUSCO/NUPOC Procedures provide the criteria for l determining when a test is required and the accuracy requirements of test equipment.

During the operations phase of a nuclear plant, the ,

following steps are taken- ,

a. To ensure accuracy, test instrumentation is checked and calibrated in accordance with NUSCO/NUPOC procedures ,

b. Plant instrumentation used in testing is calibrated.

It is maintained in calibration at regular intervals in accordance with established surveillance and/or preventative maintenance procedures.

c. Where special instrumantation is required for testing, the requirements are stated in the procedures.

Instrument charachristics, including accuracy requirements, are equivalent to or better then those  ;

specified by the vendor.

11.2.4 EVALUATION OF TEST RESULTS The documented test results are evaluated against the predetermined acceptance criteria by an individual or group having appropriate qualifications. The acceptance status of the test is documented. Deficiencies noted I during the evaluation are documented and dispositioned in accordance with approved procedures.

I The evaluation of test results may also be delegated to l other organizations. The evaluating organization is '

required to assure the use of quallfled personnel,  ;

evaluate the data against predetermined criteria and i document the results of the evaluation and acceptance I status of the test. NUSCO Quality Services performs l audits, surveillances, inspections, and in process verifications to verify that those organizations are effectively complying with their quality assurance program requirements for test control.

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l 12.0 CONTROL OF MEASURING AND TESTING EQUIPMENT l I

12.1 GENERAL REQUIREMENTS 1

The NUQAP provides measures for the control of measuring and l testing equipment (M&TE) used as the basis for acceptance in '

activities affecting quality during inspection, testing and messure- ,

ment of materials, equipments and parts. Periodic calibration. and '

adjustment of measuring and test equipment is performed and controlled to assure accuracy is maintained with limits necessary to verify that design a.d operating condition requirements have been met. Doc <. ntation is retained such that all items of M&TE are traceab'., "to their calibration recordt. '

12.2 IMPLEMENTATION 12.2.1 Approved procedures delineate the methods and respon-sibilities for the control, maintenance and callb::ation of M&TE (including portable and installed instruments, tools, gages, fixtures, reference and transfer standards, and nondestructive test equipment).

All documentation associated with M&TE is maintained in appropriato files, with eventual incorporation into the NU Nuclear Escords Organization.

During NUSCO-directed activities of a nuclear plant, the NUSCO calibration program is implemented in accordance with the requirements defined in NUSCO Procedures. '

NUSCO functional groups are responsible for imple- l menting these procedures which comply with the requirements contained in specifications and drawings.

NUSCO Quality Services Department is responsible for l Verifying that receipt of calibrated equipment is in conformance with the requirements of procuroment docu-monts, and to control calibrated M&TE used during their inspections .

During NUPOC-directed activities, the calibration program is implemented in accordance with the requirements 1 defined in NUPOC Procedures. The Site / Plant Opera-tions Review Committee (SORC/PORC) reviews and approves procedures related to the calibration program.

Department heads are responsible to ensure that M&TE equipment is calibrated, issued, and controlled in accor-dance with the requirements of the procedures. Depart-ment Heads are responsible for calibrating M&TE within  ;

the required frequency and for reviewing calibration i l

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data associated with M&TE calibration by outside vendors in accordance with the procedures.

NUSCO Quality Services performs audit, surveillance, inspections, and in process verifications to verify implementation of the calibration program.

Any engineering-contractors, contractors, suppliers, and engineering service organizations utilized by NUSCO/NUPOC In the design, construction, testing, operation, main-tenance, and modifications to nuclear power plants are responsible for implementing measures for the control of M&TE to ensure they are properly calibrated, adjusted and maintained at specified intervals in order to maintain accuracy within required limits. NUSCO Quality Services l performs on-site and off-site audits, surveillances, inspections, and in process verifications of the quality assurance programs of the engineerJng-constructors, contractors, suppliers and engineering service organi-zations to verify they are effectively complying with their requirements for control of M&TE.

12.2.2 CALIBRATION STANDARDS Measuring and test equipment is calibrated at speelflod intervals based on the required accuracy, purpose, degree of usage, stability characteristics, and other conditions affecting the measurement. lueasuring and test equipment shall be labeled or tagged to indicate the date calibrated and next calibration date.

NUSCO/NUPOC Procedures describe the measures taken to assure that reference and transfer standards are traceable to nationally recognized standards and that, where national standards do not exist. provisions are established to document the basis for calibration.

Calibration of this equipment should be against standards that have accuracy of at least four times the required )

accuracy of the equipment being calibrated. When this )

is not possible, the standards shall have an accuracy 1 that assurer the equipment being calibrated will be  ;

within required tolerance and the basis of acceptance is documented and authorized by the applicable manager of 1 functional group (for NUSCO-directed activities) or the SORC/PORC (for NUPOC-directed activities). In addi-tion, the calibrating standards shall have greater accuracy than secondary standards being calibrated.

Calibrating standards with the same accuracy may be used if they can be shown to be adequate for the QAP - 12.0 Rev. : 11 Date:

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requirements and the basis of acceptance is documented and authorized by the applicable NUSCO manager of the functional group or PORC/SORC.

Implementing procedures describe the measures utilized in order to maintain the profielency of the measuring and test equipment.

12.2.3 "OUT OF TOLERANCE" CONTROL M&TE and reference standards, when found out of tolerance are so identified and removed from service. 'A review is conducted to determine the validity of previous inspection or test results gained through use of the instrument, and of the acceptability of items previously measured or tested.

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13.0 HANDLING. STORAGE AND SHIPPING 13.1 GENERAL REQUIREMENTS Measures are established by the NUQAP using approved procedures, instructions and procurement documents to ensure proper handling, storage, shipping, cleaning and preservation of material, equip-ment and parts. These measures are imposed during the design, procurement, construction, testing and operation of nuclear power l plants and modifications thereto, in order to preclude damage, loss or deterioration of materials, equipments and parts.

13.2 IMPLEMENTATION 13.2.1 GENERAL Procedures, instructions and procurement documents define the requirements and responsibilities for the handling, storage, shipment, cleaning and preservation of material, equipment, parts and required implemen-tation of established design and specification require-ments .

l Handling, storage, cleaning and preservation require-ments of material, equipment and parts is conducted in accordance with written procedures and procurement documents. Any engineering-constructors, suppliers, and engineert ; service organizations utilized by NUSCO/NUPOC in the design, construction, testing, operation, maintenance, and modifications to nuclear power plants are responsible for implementing measures for handling, storage, shipping, cleaning and preserving ,

materials equipment and parts to preclude damage, loss  !

or deterioration. NUSCO Quality Services performs l

audits, surveillances, inspections, and in process verifications to verify that NUPOC, contractors, suppliers and enginneering service organizations are effectively implementing and complying with the approved 1 procedures and instructions for handling, storage, l shipping, cleaning and preservation of materials, equipments and parts.

13.2.2 ESTABLISHMENT OF SPECIAL HANDLING. STORAGE, l SHIPPING. CLEANING AND PRESERVATION REQUIREMENTS Special or additional handling, storage, shipping, cleaning and preservation requirements are to be identified and implemented as specified in procurement documents and approved procedures. These established requirements QAP - 13.0 Rev. : 11 Date:

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are consistent with the regulatory positions, of the NRC Regulatory Guides and their endorsed ANSI Standards, .

listed in Appendix D of the NUQAP Topical Report, or specifications and/or supplier technical manual, and will be consistent with accepted industry standards.

NUPOC Procedures describe the measures taken for the storage of chemicals, reagents (including control of shelf )

life), lubricants, and other consumable materials. '

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14.0 INSPECTION, TEST AND OPERATING STATUS 14.1 GENERAL REQ.UIREMENTS The NUQAP provides measures for indication, by the use of marking such as stamps, tags, labels or other suitable means, the status of tests and inspections of material, equipment and parts throughout design, construction, tes ing, operation, maintenance and modifica- l tion of nuclear power plaats, to preclude the ins vertent bypassing of inspection and test requirements. These measures provide for the identification of items which have satisfactorily passed required inspections and tests. Measures are also established for indicating the operating status of systems, structures and components to prevent inadvertent operation.

14.2 IMPLEMENTATION 14.2.1 GENERAL Any engineering-conatructors, contractors, suppliers and engineering service organizations utilized by NUSCO/

NUPOC in the design, construction, testing, operation, maintenance and modification to nuclear power plants, are responsible for implementing approved measures for the identification of inspection and test status of material, equipment and parts to preclude the bypassing of requirements. NUSCO Quality Services performs on-site and off-site audits, surveillances, inspections, and in process verifications of the engineering-constructors, l contractors, suppliers and engineering service organiza- i tions to verify that they are effectively complying with their requirements for identification of inspection and test status, in compliance with approved procedures and ,

instructions. Elements of this system require that i suppliers and contractors have a controlled manufacturing and test operation, in order to preclude the inadvertent ,

bypassing of process inspections or tests, and to provide l a positive identification of component status throughout all phases of manufacturing, testing, and inspection by means of tagging, routing cards, stamping, manufacturing or test reports, labeling or other appropriate methods.

When Receipt Inspections are performed.at the NU Nuclear Generating Facilities, NUSCO Quality Services ensures that traceability is maintained of acceptable materials, equipments and parts, to iridicate conformance to Purchase Order / Contract requirements. Nonconforming materials, equipment and parts are identified in accordance with QAP 15.0.

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l During tests and inspections of operating nuclear power j plants a status tagging system is implemented, as per approved procedures and instructions, to prevent inad-vertent operations of systems, structures and components.

NUSCO/NUPOC Procedures describe the measures taken to control the altering of the sequence of required tests, inspections and other operations taken by Generation Construction / 9perations. The review and approval for these actions is subject to the same control as taken during the original review and approval of tests, inspec-tions and other operations.

14.2.2 STATUS IDENTIFICATION AND CONTROL Procedures and instructions describe control of the application and removal of markings such as stamps, tags, labels, and other suitable means to indicate the status of systems, structures and components to prevent inadvertent operation, and to preclude omission of inspections, tests or other critical operations. These procedures and instructions delineate the requirements, methods and responsibilities for indicating the status of the affected items. The complete status of all items under the calibration system is recorded and maintained.

Records associated with status identification are maintained in accordance with approved procedures.

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15.0 NONCONFORMING MATERIALS. PARTS, COMPONENTS. OR SERVICES 15.1 GENERAL REQUIREMENTS The NUQAP requires that documentation and control of noncon-forming materials, parts, components, or services utilized in "

systems, structures and components during design, construction, testing, operation and maintenance of nuclear power plants and modifications thereto, be performed in accordance with approved-procedures in order to prevent inadvertent use or installation.

These procedures include appropriate requirements for identi-fication, documentation, segregation and disposition of nonconforming items, and notification to affected organizations. In accordance with procedures, nonconforming materials, parts, components, or services are reviewed and accepted, rejected, repaired or reworked.

15.2 IMPLEMENTATION 15.2.1 PROGRAM I

Approved procedures define the responsibilities and establish measures for identification, documentation, segregation, review and disposition of nonconforming materials, parts, components, or services, and notification to affected organizations. Each NU department is responsible for the identification, control and disposition of nonconformances within the scope of their departmental respcasibilities.  !

l NUSCO Quality Services performs on-site and off-site I audits, surveillances, inspections, and in process verifications of any engineering-constructors, l contractors, suppliers and engineering service organizations utilized by NUSCO/NUPOC to verify these organizations are effectively complying with their quality assurance program requirements for documentation and control of nonconforming materials, parts, components, or services.

15.2.2 DOCUMENTING AND CONTROLLING NONCONFORMANCES Nonconformances of systems, structures. and components are documen';ed and reported as requiring corrective action. Approved procedures delineate controls required for further processing and installation of nonconforming items . These controls include:

a. Physical identification of the material, part, component, or services as nonconforming; QAP - 15.0 Rev.: 11 Date:

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b. Segregation of nonconforming items or services until properly dispositioned. Where physical separation is not practical, suitable tags, markings and documentation are used to assure control.

15.2.3 DOCUMENTATION Documentation of nonconforming items requires identi-fication of the items, description of the nonconformance, disposition of the nonconformance, inspection require- )

ments and signature approval of the disposition. A trend analysis, which includes nonconformances, is performed by NUSCO Quality Services in accordance with l approved procedures. The trend analysis results are periodical]y reported to the NUSCO Director, Quality Services and then to upper management, including the Senior Vice President, Nuclear Engineering and Operations, for review and assessment.

An engineering evaluation is performed, if necessary, prior to the resolution of nonconformances relating to systems, structures and components.

15.2.4 EVALUATION AND DISPOSITION Evaluations are performed to determine the disposition of nonconforming items and services. The evaluation deter-mines whether an item or service is to be used-as-Is, returned to supplier, repaired, reworked, scrapped or ,

salvaged. These evaluations assure that the final 1 condition does not adversely affect safety, operation or .

maintenance of the item or service, or of the component l or system in which the item is installed or on which the service is performed. Applicable information is accumu-lated and records are maintained.

The engineer-constructor, contractors, or NUSCO/NUPOC personnel are required to report to the NUSCO Director, (Nuclear Engineering and Operations Organizations), or l the appropriate NUPOC Superintendent, as applicable, to obtain release of nonconforming item or service prior to its installation or use. These release items are identi- 1 fled by a nonconformance Tagging System which defines I the description of the nonconformance and its noncon-formance status. Nonconformance reports dispositioned "use-as-is" or "repair" are forwarded to the appropriate NUSCO Director (Nuclear Engineering and Operations Organizations), NUSCO Project Engineer, or the appro-priate NUPOC Superintendent, as applicable, and to NUSCO Quality Services for review and approval. l QAP - 15.0 Rev.: 11 Date:

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i In addition, the status of all materials, parts, or components is maintained by a system of tags, which is administratively controlled by the NUSCO Quality Services.

During NUSCO-directed activities of a nuclear plant, NUSCO Generation Construction and NUSCO Quality Services are responsible for documenting the status of nonconforming, inoperative, or malfunctioning struc-tures, systems, components, and services as described in NUSCO Procedures. During NUPOC-directed activities of a nuclear plant, the status of nonconforming, inoperative, or malfunctioning systems, structures, components, and services is documented as necessary by NUSCO Quality Services and NUPOC Operations personnel as described in applicable NUPOC Procedures, The need to release nonconforming materials, parts or components shall be based on such considerations as:

a. Impact on plant safety;

b. Safety of personnel;

c. Sultability of material or items in the "as is" condition, i.e. , probability of eventual satisfactory resolution of the nonconformity without repair, rework or replacement;

d. Accessibility of material or items after release;

e. Cost of removal and repair or replacement should material or items eventually have to be removed, repaired, or replaced; l

f. Effect on the orderly progress of work.

l Items reworked or repaired in accordance with proco-dures are verified by reinspecting the items as originally inspected or by a documented method which is equivalent to the original inspection method.

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16.0 CORRECTIVE ACTION 16.1 GENERAL REQUIREMENTS The NUQAP provides documented measures for corrective action to ensure that nonconforming systems, structures and components are identified and promptly corrected. These measures shall include, as appropriate, procedures for identification, documentation, segregation, disposition, notification to affected organizations and follow-up to prevent recurrence. Nonconforming items shall be reviewed and accepted, rejected, repaired or reworked in accor-dance with approved procedures. When conditions, adverse to quality, are identified through trend analysis, measures are taken to ensure corrective action and to prevent recurrence of the problem.

16.2 IMPLEMENTATION 16.2.1 CORRECTIVE ACTION AND FOLLOW-UP Evaluation of conditions adverse to quality such as, nonconformances, failures, malfunctions, deficiencies, deviations, and defective material and equipment is conducted to determine the need for corrective action in accordance with established procedures. NUSCO/NUPOC Procedures describe the measures taken to evaluate conditions adverse to quality, to determine the need for corrective action, to document the evaluation, and to assure NUSCO Quality Services concurrence with the l adequacy of the corrective action. NUSCO/NUPOC Procedures also describe the measures taken to assure what follow-up action is taken by NUSCO Quality Services to verify proper implementation and close out of correc-tive action in a timely manner.

Procedures describe the measures taken by NUSCO Quality Services to review and document concurrences l with corrective action procedures established by appil-cable NUSCO/NUPOC departments.

NU personnel and any engineering-constructors, contractors, suppliers, and engineering service organizations utilized by NUSCO/NUPOC in the design, construction, testing, operation, maintenance, and modification to nuclear power plants are responsible for informing the Senior Vice President, Nuclear Engineering and Operations, through their respective organizational chains of command, of significant conditions which are adverse to quality, the cause of the condition and the corrective action taken. NUSCO Quality Services l QAP - 16.0 Rev.: 11 Date:

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l Identifies deficiencies by' audits, surveillances, inspections, and .in process verifications of the engineer-constructor's, contractor's, supplier's, and engineering service organization's quality assurance programs for corrective action. A reaudit/ inspection / surveillance /in-process verification to-verify implementation of corrective l- action and close-out of corrective action documentation-shall be accomplished by the original auditing organization.

NUSCO Quality Services performs audits to identify ,l deficiencies in departmental corrective action progrmus.

The appropriate NUSCO Department Director / Branch Manager /Section Supervisor or the appropriate'NUPOC Superintendent, is responsible to implement timely correc-tive action. NUSCO Quality . Services may reaudit the affected department to verify corrective action has been implemented and documented. ,

If corrective action is inadequate or not timely, the follow-up organization requests corrective action from management as delineated in procedures. The Senior Vice President-Nuclear ~ Engineering and Operations has the final authority in the event that agreement is not reached at lower levels.

• Where corrective action is required of contractor person-nel, NUSCO/NUPOC defines in procedures and contracts the corrective action interface between NUSCO/NUPOC and the contractor. NUSCO/NUPOC requires the engi-neer-constructor, contractor, suppliers and engineering service organizations, as appropriate, to have a docu . >

mented corrective action program for materials and services.

16.2.2 RECURRENCE CONTROL The organization which is responsible for the condition l adverse to quality, shall ensure that the corrective l action will not only correct the immediate condition, but also prevent the adverse condition from recurring, j NUSCO/NUPOC procedures establish the responsibilities and measures taken to identify trends of conditions adverse to quality, and to ensure that c' orrective action is taken for those conditions to prevent their recur-rence. A trend analysis report; which identifies the conditions adverse to quality; is issued to appropriate levels of NU management. The NUSCO Director, Quality Services is responsible for follow-up of the trend analy- i sis items and their corrective action.

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l Trends concerning specific contractor's performance'shall be. reported to the affected contractor for resolution and corrective action to prevent recurrence of the problem, i

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17.0 QUALITY ASSURANCE RECORDS l l

17.0 GENERAL REQUIREMENTS The NUQAP provides for the maintenance, identification, retention and retrieval of records to furnish evidence of activities affecting quality during design, construction, testing, operations, mainte- l nance and modification of nuclear power plants. The records include but are not IJmited to: operating logs and the results of reviews, inspections, tests, audits, monitoring of work perfor-mance and material analyses. The records also include closely related data such as qualifications of personnel, procedures and equipments. Inspection and test records contain as a minimum but are not limited to: Identification of inspector or data recorder and the acceptability and the action taken in connection with any deficiencies, and Reportable Occurrences noted. Approved proco-dures establish requirements concerning record retention such as duration, location and assigned responsibility.

17.2 IMPLEMENTATION NUSCO/NUPOC Procedures and Instructions establish the respon-sibilities and requirements for the maintenance, identification, retention and retrievability of records pertaining to materials, equipments, parts, processes or operations relating to systems, structures and components which when founded on observations, measurements or tests can be fully verified, and documented by cognizant personnel.

Any engineering-constructors, contractors, suppliers, and i engineering service organizations utilized by NUSCO/NUPOC in the l design, construction, testing, operation, maintenance, and modification to nuclear power plants are responsible to implement j measures for identification, maintenance, retention, retrieval and )

turnover, to the NUSCO/NUPOC personnel, of documented and l approved records which contain objective evidence of quality, as specified in Purchase Order / Contracts. NUSCO Quality Services l performs on-site and off-site audits, surveillances, inspections, and in process verifications of the engineering-constructors, contractors, suppliers and engineering service organizations, as appropriate, to verify they are effectively complying with their program for quality assurance records.

NUSCO/NUPOC records are identified, controlled arid maintained in appropriate files and are identifiable to specific systems, struc- l tures and components within the nuclear power plant. When l Identification to a specific system, structure or component is not practical, records are filed by category; (e. g. specification, nonconformance reports, audits, etc).

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17.3 RETENTION NU quality assurance records are classified as life records or nonlife records as delineated by Generation Facilities Records.

Non11fe records are those documents that are maintained for a specific period of time other than the life time of the in-service nuclear power plant or the particular component or part. Life records are those documents that are maintained for the life time of the in-service nuclear power plant or for the life of the particular component or part. Life records are those which would be of significant value in meeting one or more of the following criteria:

a. Demonstrating capability for safe operations;

b. Maintaining, reworking, repairing, replacing or modifying the item;

c. Determining the cause of an accident or malfunction of an item;

d. Providing required base line data for in-service inspection.

Records are reviewed and approved by the cognizant quallfled {

personnel of NUSCO/NUPOC, engineering-constructor, etc., as appropriate, and are transmitted to the appropriate Nuclear Plant  ;

Records Facility. The responsibility of the appropriate Nuclear ]

Plant Records Facility upon receipt of records, is to maintain and provide controlled retrievability of records affecting nuclear power plants, in such a manner as to prevent destruction of records by fire, flood, thef t, and environmental conditions, such as temperature or humidity, as delineated in procedures.  !

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18.0 AUDITS 18.1 GENERAL REQUIREMENTS The NUQAP requires that measures be provided to implement an effective audit program. These measures are applied during the design, construction, testing and operation of nuclear power plants and modifications thereto, through the performance of audits.

Audits, surveillances, inspections, and in process verifications are

. conducted in accordance with preestablished procedures and

' written checklists by qualified personnel not having direct responsibilities in the areas being reviewed to ensure compliance l with the NUQAP Topical Report. The results of audit /

surveillance / inspection /in process verification findings are j documented and then reviewed with management having responsibility in the area audited.

18.2 IMPLEMENTATION 18.2.1 PROGRAM The NUSCO Audit program requires audits /surveillances/

In process verifications of corporate and plant quality activities. Audits, surveillances, and in process verifications are scheduled on the basis of the status and safety importance of the activities being performed.

Schedules are originated and maintained by NUSCO Quality Services Department.

In addition, provisions are established to require that audits be performed of those activities where the require- I ments of Appendix B to 10 CFR, Part 50, are being l implemented, and associated with: l

a. The determination of site features which affect plant safety (e.g. , core sampling, site and foundation preparation);

b. The preparation, review, approval and control of procurements; l

c. Indoctrination and training programs;

d. Interface control among the licensee' and the prin-cipal contractors.

Measures are provided to perform audits of the following operations activities:

a. Operation, maintenance, and modifications; QAP - 18.0 Rev.: 11 Date:

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b. The preparation, review, approval and control of design documents, specifications, procurement documents and instructions, procedures and drawings;

c. Receiving and plant inspections; I

d. Indoctrination and training programs;

e. The implementation of operating and test proce-dures;

f. Calibration of measuring and test equipment.

Audits are performed as specified in procedures by quallfled personnel using a preestablished written audit plan prepared by the auditing organization. Auditors evaluate the work areas, activities, processes, items; review documents and records to determine the effective-ness of implementation and conformance to the NUQAP.

Any engineering-constructors, contractors, suppliers, and engineering service organizations utilized by NUSCO/NUPOC in the design, construction, testing, operation, maintenance, and modification to nuclear power plants are responsible for developing and implementing a system of planned and periodic audits to  ;

verify compliance with the effectiveness of all aspects of i their quality assurance programs including reporting and )

resolution of deficiencies. NUSCO Quality Services l l personnel perform on-site and off-site audita, surveillances, inspections, and in process verifications to ensure these organizations are effectively complying with their quality assurance requirements for audits.

Departments with the NUSCO/NUPOC organizations are i responsible for implementing their functions in accor- l dance with approved procedures and instructions. l Internal audits are performed to verify implementation of the requirements prescribed in the NUQAP Topical l Report and implementing departmental procedures.

18.2.2 REVIEW OF AUDIT FINDINGS Audit results are documented, reviewed, and analyzed with management having responsibility in' the area audited.

The responsible management is required to take the necessary action to correct the deficiencies identified by l the audit.

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18.2.3 REPORTING OF AUDIT RESULTS Audit results are reviewed and approved by the NUSCO Quality Services Department in accordance with approved procedures. Based on the audit documentation, the audit reports are issued to the appropriate management of the area audited to ensure timely corrective action is taken to rectify deficiencies. In addition, audit data and reports are accumulated as part of the review for qualit" trends and to assess the effectiveness of the quality assurance program. This report is then submitted to the Director, Quality Services. l 18.2.4 RESOLUTION OF AUDIT DEFICIENCIES Appropriate action to resolve deficiencies identified during audits is to be taken by the cognizant engineer-constructor, contractor, supplier, engineering service organization or NUSCO/NUPOC before the scheduled l resolution date. Follow-up audits are performed as necessary, to verify appropriate actions have been taken to resolve de liciencies. Items which exceed the sched-uled resolution date and cannot be resolved by affected management are submitted for resolution to the Senior Vice President Nuclear Engineering and Operations.

18.2.5 RECORDS / REPORTS OF AUDITS Audit records, reports and associated documentation pertinent to audits are maintained in the appropriate NUSCO files with disposition to the appropriate Nuclear Plant Records Facility, as specified in procedures.

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APPENDIX A CATEGORY I SYSTEMS. STRUCTURES. AND COMPONENTS The following systems, structures and components of a nuclear power plant, including their foundations and supports, are designated as Category I. The pertinent quality assurance requirements of Appendix B to 10 CFR Part 50, should be applied, as a minimum, to all quality activities affecting the safety function of these systems, l structures, and components as listed below and to other items and services specifically identified by NU in each FSAR addressing Section 3.2.1 of NRC Regulatory Guide 1.70.

(a) The reactor coolant pressure boundary.

(b) The reactor core and reactor vessel internals.

(c) Systems or portions of systems that are required for (1) emergency core cooling; (2) post-accident containment heat removal or; (3) post-accident containment atmosphere cleanup (e.g. , hydrogen removal system) .

(d) Systems or portions of systems that are required for (1) reactor shutdown: (2) residual heat removal or; (3) cooling the spent fuel storage pool.

(e) Those portions of the steam systems of boiling water reactors extending from the outermost containment isolation up to but not including the turbine stop valve, and connected piping of 2-1/2 inches or larger nominal pipe size up to and including the first valve that is either normally closed or capable of automatic closure during all modes of normal reactor operation.

(f) Those portions of the steam and feedwater systems of pressurized water reactors extending from and including the secondary side of steam generators up to and including the outermost containment isolation valves, and connected piping of 2-1/2 inches or larger nominal pipe size up to and including the first valve (including a safety or relief valve) that is either normally closed or capable of automatic closure during all modes of normal reactor operation.

(g) Cooling water, component cooling and auxiliary feedwater systems or portions of these systems including the intake . structures, that are required for: (1) emergency core cooling; (2)' post .acident containment heat removal; (3) post-accident containment atmosphere cleanup; (4) residual heat removal from the reactor or; (5) cooling the spent fuel storage pool.

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(h) Cooling water and seal water systems or portions of these systems ,

that are required for functioning of reactor coolant system com- j ponents important to safety, such as reactor coolant pumps.  !

(1) Systems or portions of systems that are required to supply fuel for emergency equipment.

(j) All electric and mechanical devices and circuitry between the process and the input terminals of the actuator systems involved in l generating signals that initiate protective actuation of safeguard systems.

(k) Systems or portions of systems that are required for (1) moni-toring of systems safety-related and; (2) actuation of systems safety-related.

(1) The spent fuel storage pool structure, including the fuel racks.

(m) The reactivity control system (e.g., control rods, control rod drives, and boron injection system) .

(n) The control room, including its associated equipment and all equipment needed to maintain the control room with safe habit-ability limits for per',onnel and safe environmental limits for vital equipment.

(o) Primary and :econdary reactor containment.

(p) Systems other than radioactive waste management systems not covered by items (a) through (o) above which contain or may contain radioactive materials and whose postulated failure would result in conservatively calculated potential offsite doses (using meteorology as prescribed by Regulatory Guides 1.3 and 1.4) which are more than 0.5 rem to the whole body or its equivalent to l any part of the body. j (q) The Class IE electric systems, including the auxiliary systems for the onsite electric power supplies, that provide the emergency electric power needed for functioning of plant features included in items (a) through (p) above.

(r) Those portions of systems, structures or components whose con-tinued function is not required but whose failure could reduce the 4 functioning of any plant feature included in items .(a) through (q) I above to an unacceptable safety level or could result in incapa-citating injury to occupants of the control room should be designed i and constructed so that the SSE would not cause such fanures.  :

(s) Items and services associated with Radioactive Material Transport Packages as described in 10CFR71.

QAP - Appendix A Rev.: 11 Date:

Page 2 of 3

CONSUMABLES The following specific consumables when utilized in safety related systems shall be included in those portions of the NUQAP, as applicable.

1. Emergency generator diesel fuels

2. Hydraulle snubber fluids

3. Reagents i

4. Resins

5. Boric Acid l

6. Lubricants l

QAP - Appendix A Rev.: 11 Date:

Page 3 of 3

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1 APPENDIX B l NORTHEAST UTILITIES QUALITY ASSURANCE PROGRAM TOPICAL REPORT QUALIFICATION AND EXPERIENCE REQUIREMENTS j NUSCO DIRECTOR. QUALITY SERVICES l l

The NUSCO Director, Quality Services shall satisfy the following ,

requirements:

Graduate of a four year accredited engineering or science college or university, plus fifteen (15) or more years of industrial experi- l ence including five years in positions of leadership, such as lead engineer, project engineer, audit team leader, etc. At least two years of this experience should be associated with nuclear Quality Assurance Activities. And at least one year of this experience is in a Quality Assurance Organization. A masters degree in engi-neering or business management is considered equivalent to two years of experience.

Note: The education and experience requirements should not be treated as absolute when similar training or an outstanding record will provide reasonable assurance that a person can perform the required tasks.

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QAP - Appendix B Rev.: 11 Date:  !

Page 1 of 1 i s - _ _ .

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l APPENDIX C NORTHEAST UTILITIES QUALITY ASSURANCE PROGRAM TOPICAL REPORT LIST OF TYPICAL QUALITY ASSURANCE RELATED PROCEDURES INDEX PAGES NUSCO QUALITY SERVICES DEPARTMENT 2-4 NUCLEAR ENGINEERING AND OPERATIONS POLICY AND 5-8 PROCEDURES MANUAL NUSCO GENERATION ENGINEERING AND CONSTRUCTION 9-11 DIVISION PROCEDURES MANUAL NUCLEAR PLANT RECORDL MANUAL 12-14 INFORMATION RESOURCES PROCEDURES 15 NUSCO NUCLEAR OPERATIONS DEPARTMENT PROCEDURES 16 MILLSTONE QA ADMINISTRATIVE CONTROL PROCEDURES 17-22 CONNECTICUT YANKEE QA PROCEDURES 23-27 NORTHEAST UTILITIES WELDING MANUAL 28 NU PURCHASING BUSINESS PROCEDURES 29 NUSCO RELIABILITY ENGINEERING PROCEDURES MANUAL 30 REACTOR ENGINEERING BRANCH PROCEDURES 31 GENERATION FACILITIES LICENSING BRANCH PROCEDURES 32 i

QAP - Appendix C Rev.- 11 Date:

Page 1 of 32

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NUSCO QUALITY SERVICES DEPARTMENT PROCEDURES 10 CFR 50. APP. B CRITGIA QSD - PROCEDURES I. Organization QSD-1.01 Qttality Assurance Branch Organization II. Quality Assurance QSD-1.08 Quality Services Depart-Program ment Indoctrination and Training Program QSD-1.12 Preparation and Issuance of Quality Services Department Quarterly and Annual Activity Reports QSD-2.01 Preparation, Issuance, and Control of the Northeast Utilities Quality Assurance Program Topical Report QSD-2.06 Training and Qualifi-cation of Lead Auditors QSD-2.07 Selection, Training, Qualification and Certi-fication of Non-NDE Inspection and Testing Personnel QSD-2.11 Personnel Work Assignment IV. Procurement Document QSD-3.01 Procurement Document Control Review QSD-3,04 Assignment of suppliers l to periodic survelliance l status l V. Procedures, Instructions, QSD-1.03 Preparation, Issuance, l tions, and Drawings Control and approval of NUSCO Quality Services Department Procedures QAP - Appendix C Rev.: 11 Date:

Pago 2 of 32

NUSCO QUALITY SERVICES DEPARTMENT PROCEDURES.

10 CFR 50, APP. B CRITERIA QSD - PROCEDURES VI. Document Control QSD-1.09 Control of Safeguards Information QSD-1.10 Control of Correspon-dence VII . Control of Purchased QSD-3.02 Supplier Evaluations Material, Equipment, and Services QSD-3.03 Review and Approval of Supplier QA Programs QSD-3.05 Issuance and Control of the Approved Suppuers List QSD-3.06 Preparation, Issuance, and Control of the NUSCO Commerial Commodity List IX. Control of Special QSD-2.07 Selection, Training, Processes Qualification and Certi-fication of Nondestruc-tion Examination Personnel X. Inspection QSD-2.03 Performance, Reporting  ;

and follow-up of Sur- l veillance Activities )

QSD-4.02 Performance and P.eporting of Inspection and Inspection Survell-lance Activities XV. Nonconforming Materials, QSD-1.06 Procedure to Stop Work Parts, or Components, )

or Services 1 XVI . Corrective Action QSD-2.04 Corrective Action l Request (C. A.R.)

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QAP - Appendix C l Rev.: 11 Date: I Page 3 of 32 l

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NUSCO QUALITY SERVICES DEPARTMENT PROCEDURES 10 CFR 50, APP. B CRITERIA QSD - PROCEDURES i

XVII. Quality Assurance QSD-1.04 Transmittal of Quality Records Assurance Records for Permanent Storage XVIII. Audits QSD-1.07 Computer Tracking Programs QSD-2.02 Performance, and Reporting, and follow-up of Audits QSD-2.09 Performance, Reporting and FoHow-up of In-Process Verifications QSD-2,10 Joint Vendor Audits l

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1 QAP - Appendix C Rev.: 11 Date:

Page 4 of 32 1

NUCLEAR ENGINEERING AND OPERATIONS POLICIES AND PROCEDURES MANUAL 10 CFR 50, APP. B CRITERIA NEO - PROCEDURES I. Organization NEO-1.01 Organization of the Nuclear Engineering and Operations Group NEO-2.02 Charter for Nuclear Review Boards II. Quality Assurance NEO-1.02 The Nuclear Engineering Program and Operations Policies and Procedure Manual NEO-2.03 Nuclear Training NEO-2.08 Management Review of the Northeast Utilities Quality Assurance Program NEO-2.14 Nuclear Plant Fire Protection Program NEO-3.08 Processing Proposed Revisions to the Northeast Utilities Quality Assurance Program Topical Report NEO-7.02 Turnover of Systems, Components, and Structures III. Design Control NEO-3.03 Preparation, Review and Disposition of Plant Design Change Records (PDCR's) l NEO-3.12 Safety Eyaluations NEO-2.24 NEO Program for Quality Software NEO-5.04 Preparation, Review, Approval, Revision, and Control of Specifications QAP - Appendix C Rev.: 11 Date:

Page 5 of 32

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NUCLEAR ENGINEERING AND OPERATIONS POLICIES AND PROCEDURES MANUAL 10 CFR 50, APP. B CRITERIA NEO - PROCEDURES NEO-5.05 Design Inputs, Design Verifications, and Design Interface ' Reviews NEO-5.06 Preparation, Review and Approval of Design Analyses and Calcula-tions NEO-5.11 Design Cnange Notices for Design Documents NEO-5.12 Performance of Fire Protection Reviews NEO-6.01 Material, Equipment, and Parts Ust for In-Service Nuclear Generation Facilities IV. Procurement Document NEO-6.02 Preparation and Review

! Control of Quality Related Purchase Requsitions NEO-6.04 Preparation and Review of Proposals i

V. Procedures, Instruc- NEO-1.04 Preparation, Issuance I tions, and Drawings and Control of Nuclear i Engineering and Opera- i tions Procedures I l

NEO-3.10 Preparation and Pro- l cessing of Proposed New '

Issues, Changes, or Interim Change, Revision to In-service Inspection Program 4

QAP - Appendix C Rev.: 11 Date:

Page 6 of 32

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NUCLEAR ENGINEERING AND OPERATIONS POLICIES AND PROCEDURES MANUAL I 10 CFR 50, APP B CRITERIA NEO - PROCEDURES 1

VI. Document Control NEO-4.01 Communications with the i Nuclear Regulatory I Commission l NEO-4.02 Proposed Technical Specification Change Requests and Emergency Walver Request NEO-4.03 Changes and Updates to Final Safety Analysis Reports for Operating Power Plants NEO-4.04 Review and Approval of Proposed Changes to Selected License Requirements NEO-5.03 Controlled Distribution and Transmittal of Design Documents VII . Control of Purchased NEO-2.11 Trend Analysis from Material, Equipment, Quality Related ,

and Services Documents 1 IX. Control of Special NEO-3.11 Preparation, Qualifi- l Processes cation, Approval and I Revision of Northeast Utilities Nondestructive Examination Procedures

)

X. Inspection NEO-2.07 Management of In-service Inspection Programs XI . Test Control NEO-7.03 Preoperational Testing of I Plant Mo'd ifications i

QAP - Appendix C Rev. : 11 Date:

Page 7 of 32

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NUCLEAR ENGINEERING' AND OPERATIONS POLICIES AND PROCEDURES MANUAL 10 CFR 50, APP. B CRITERIA NEO - PROCEDURES XV. Nonconforming NEO-2.01 Implementation of the Materials, Parts, Requirements of Part 21 Components, or of Title 10, Code of Services Federal Regulations:

Reporting of Defects and Noncompliance XVI. Corrective Action NEO-2.18 Corrective Action NEO-3.07 Response to Audit Findings XVII. Quality Assurance NEO-2.10 Safeguarding jplier Records Proprietary Material NEO-2.12 Control of Nuclear Facilities Safeguards Information NEO-2.13 Managment of Nuclear Power Plant Records XVIII. Audits NEO-3.01 Conduct and Format of Nuclear Review Board Audits QAP - Appendix C Rev.: 11 Date:

Page 8 of 32

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NUSCO GENERATION ENGINEERING AND CONSTRUCTION DIVISION PROCEDURES MANUAL 10 CFR 50, APP B CRITERIA GE&C - PROCEDURES I. Organization GE&C-1.01 Generation Engineering and Construction Division II. Quality Assurance GE&C-1.02 Applicability and use Program of Generation Engi-neering and Construction Procedures Manual GE&C-1.03 Procedure for Review of Generation Engineering and Construction Division Procedures as -

required by Revision to NU QA Topical Report GE&C-1.05 Generation Engineering and Construction Proce-dures Training Program III. Design Control GE&C-2.01 Preparation, Review, Approval, Revision, and Control of NUSCO Gener-ation Engineering and Construct! an Division Specifiestions GE&C-4.02 Review of Engineering Service Organization, Supplier, and Engineer  !

Constructor Design i Documents j l

GE&C-4.06 Materials List I IV. Procurement Document GE&C-2.06 Purchase of Materials Control List Equipment V. Procedures, Instructions, GE&C-1.04 Preparation, Issuance and Drawings and Control of Genera-tion Engineering and Construction Division Procedures QAP - Appendix C Rev. : 11 Date:

Page 9 of 32 s

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l NUSCO GENERATION ENGINEERING AND . CONSTRUCTION DIVISION PROCEDURES MANUAL - l l

10 CFR 50, APP. B CRITERIA GE&C - PROCEDURES GE&C-3.01 Design Information GE&C-3.05 Preparation and Control of Design Drawings GE&C-5.01 Processing, Documenting and Filing of Results of the Review cf Contractor Procedures GE&C-5.08 Preparation, Issuance, and Control of NUSCO Betterment Construction Work /Special and Admin-1strative Work Proce-dures GE&C-5.09 Preparation, Issuance, and Control of NUSCO Betterment Construction Special Instructions /

Requirement Sheets VI. Document Control GE&C-3.04 Design Document Summary Log GE&C-5.10 Preparation, Issuance and Control of NUSCO Betterment Construction Project Documents List VII. Control of Purchased GE&C-2.02 Review of Proposals Material, Equipment, submitted by Engineer-and Services ing Service Organiza-tions, Suppliers, Vendors and Contractors IX. Control of Special GE&C-5.03 Control of Special Pro-Processes cesses XII . Control of Measuring GE&C-5.04 Measuring and Test and Test Equipment Equipment Control Program QAP - Appendix C l Rev. : 11 Date:

Page 10 of 32

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NUSCO GENERATION ENGINEERING AND CONSTRUCTION DIVISION PROCEDURES MANUAL 10 CFR 50, APP. B CRITERIA GE&C - PROCEDURES. ,

XV. Nonconforming Materials, GE&C-5.05 Issuance of a Stop Work ,

Parts or Components or Order Services GE&C-5.06 Installation of Noncon-forming Material, Equipment and Parts GE&C-5.07 Processing Noncon-  ;

formance Reports XVII. Quality Assurance GE&C-2.05 Retention, Control and Records Final Disposition of Project Document Files for Betterment Projects l

QAP - Appendix C Rev.: 11 Date:

i Page 11 of 32

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NUCLEAR PLANT RECORDS MANUAL i

10 CFR 50, APP. B .

CRITERIA NPRM - PROCEDURES j I. Organization NPRM-1.07 Generation Facilities ,

Records Branch and  :

Responsibilities II. Quality Assurance NPRM-6.01 Training Requirements Program V. Procedures, Instructions, NPRM-1.02 Issuing of the Nuclear and Drawings Plant Records Manual NPRM-1.04 Preparation of Nuclear Plant Records Manual VI . Document Control NPRM-1.03 Document Review and Acknowledgement NPRM-2.02 Maintaining Nuclear, Plant Records Vendor and Manufacturer File NPRM-2.04 Quality Checking of Record Indexing NPRM-3.01 NUPOC/NUSCO Drawing Control System NPRM-3,06 Request for Nuclear Plant Drawing or Aperture Card Copies NPRM-3.09 Maintenance of Backup Indicles for the Drawing Control Computer Program Drawing XVII. Quality Assurance NPRM-1.05 Establishing Submittal Records Schedules for Transfer of QA Records Into Nuclear Plant Records Facilities QAP - Appendix C Rev. : 11 Date:

Page 12 of 32

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NUCLEAR PLANT RECORDS MANUAL 10 CFR 50, APP. B CRITERIA NPRM - PROCEDURES NPRM-1.06 Nuclear Power Plant Quality Assurance Records Generated, Conected and/or Trans-mitted by External Organizations NPRM-1.08 Retention and Conrol of Quality Assurance Records Generated in Support of the Nuclear Plant Records System NPRM-2.0116MM Roll Film Micro-filming Procedure NPRM-2.05 Inspection of Permanent Storage Vaults for Temperature, IIumidity and General Condition NPRM-2.06 Inspection of Physical Condition of Nuclear Plant Documents of Record Stored Within Nuclear Records Vaults NPRM-2.07 Storage of Documents of Record NPRM-2.08 Use of Updateable Microfiche Systems NPRM-3.08 35MM Aperature Card Microfilming Procedure NPRM-4.01 Houseeleaning Guide-lines for Records NPRM-4.02 Transmittal / Receipt of Nuclear Records NPRM-4.03 Access to Nuclear Plant Records Facilities and Records QAP - Appendix C Rev.: 11 Date:

Page 13 of 32

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NUCLEAR PLANT RECORDS MANUAL i

10 CFR 50, APP. B I CRITERIA NPRM - PROCEDURES NPRM-4.04 Disposition of Nuclear Plant Records NPRM-4.05 Checklist of Required Nuclear Power Plant Records Including Quality Assurance Records NPRM-4.06 Descriptions of Nuclear Plant Records Storage Vault NPRM-4.07 Guide for Writing Implements and Paper Stock to be used for Documents Intended for Microfilming NPRM-4.08 Proprietary / Confidential Record Control NPRM-4.09 Assignment of Source Record Storage Location to Nuclear Records NPR Compute File Entries NPRM-5.01 Nuclear Records System Description NPRM-5.02 NPR/DWG Computer Program Dictionary Maintenance NPRM-5.03 NPR/DWG Computer File Integrity Verification NPRM-5.04 Nuclear' Records Indexing Guidelines & Minimum Index Entry Requirement i 1

l QAP - Appendix C Rev.: 11 Date: )

Page 14 of 32 1 1

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INFORMATION RESOURCES PROCEDURES 10 CFR 50, APP. B CRITERIA IR - PROCEDURES I. Organization IR-1. 01 Organization of the IR Group II. Quality Assurance IR-2.01 QA Indoctrination and Program Training III. Design Control IR-3.07 QA Requirements for t' Quality Related Computer t Software IV. Procurement Document IR-1.04 Request for Computer Control Services and/or Equip-ment Acquisition V. Procedures, Instructions, IR-1.02 Format and Content of IR and Drawings Procedures IR-1. 03 Preparation, Issuance, and Controls of Resources Group Pro- ,

cedures VI . Document Control IR-1.05 Maintenance, Control and Distribution of the Quality related Software -

List IR-3.02 Allocation, Remo' val, Access, and Control of Quality Related Software 1

Stored on Magnetic Media i d in the IR Offsite Magnetic Media Vault i

IR-3,04 IR Offsite Magnetic Media 1 Vault XVIII. Audits IR-3.01 Resolution of Audit Findings 4

QAP - Appendix C Rev.: 11 Date:

Page 15 of 32

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NUSCO NUCLEAR OPERATIONS DEPARTMENT PROCEDURES 10 CFR 50, APP B CRITERIA NOD - PROCEDURES I. Organization NOD-1.01 - Organization III. Design Control NOD-3.03 Safety Evaluations for Station Procedures NOD-3,05 Plant Design Change Records (PDCR)

Evaluation V. Procedures, NOD- 1. 02 Preparation, Issuance, Instructions, and Control of Depart and Drawings ment Procedures NOD- 1. 03 Distribution and Accountab1111ty of Department Procedures VI. Document Control NOD-1. 04 Distribution of Design Documents NOD-3.02 Production Maintenance Management System (PMMS) Automated Work Order System XIV. Inspection, Test and NOD-3.04 Jumper, Lifted Lead,  ;

Operating Status and Bypass Control XVII . Quality Assurance NOD-1.05 Quality Assurance Records Records I

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QAP - Appendix C Rev. : 11 Date:

Page 16 of 32

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a.. ,. l MILLSTONE QA ADMINISTRATIVE CONTROL PROCEDURES (ACPS) 10 CFR 50, APP. B CRITERIA MILLSTONE QA (ACPS)

I. Organization ACP-QA 1.01 Millstone Administration ACP-QA J .02 Organization &

Responsibilities ACP-QA 1.04 Plant Operations Review Committee ACP-QA 1.05 Site Operations Review Committee II. Quality Assurance ACP-QA 1.06 Quality Assurance / -

Program Quality Control Program ACP-QA 1.10 Fire Protection Quality Assurance Program ACP-QA 2.01 QA Program Boundary ACP-QA 2.02C Work Ordern ACP-QA 2.05 Fire Protection Program ACP-QA 2.14 Turnover of Systems, Components, and Structures (NEO 7.02)

ACP-QA 8.01 Millstone Station Training ACP-QA 8.07 QA Training Program

. l ACP-QA 8.08 Millstone Reactor Operator Training

Program i

QAP - Appendix C Rev.: 11 Date:

Page 17 of 32 i

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MILLSTONE QA ADMINISTRATIVE CONTROL PROCEDURES (ACPS) 10 CFR 50, APP. B CRITERIA MILLSTONE QA (ACPS)

ACP-QA 8.16 Training, Certifi-cation, & Indenti-fication of Quallfled Inspection and Testing Personnel ACP-QA 8.21 Qualification of Audit Personnel III. Design Control ACP-QA 2.13A Computer Software Implementation ACP-QA 2.13B Maintenance and Control of Site Computer Systems ACP-QA 3,08 Safety Evaluation (NEO 3.12)

ACP-QA 3.09 Preparation Issuance and Control of Project Assignments ACP-QA 3.10 Preparation, Review, and Disposition of Plant Design Change Records (PDCRs) l (NEO 3.03)

ACP-QA 3.11 Preparation, Review, Approval, Revision, and Control of Speci-fications (NEO 5.04)

ACP-QA 3.12 Design Inputs and Design Verifications (NEO 5.04)

ACP-QA 3.13 Preparation, Review, and Approval of Design Analyses and Calculations (NEO 5.06)

QAP - Appendix C Rev.: 11 Date:

Page 18 of 32 i

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MILLSTONE QA ADMINISTRATIVE CONTROL PROCEDURES (ACPS) 10 CFR 50, APP. B CRITERIA MILLSTONE QA (ACPS)

ACP-QA 3.14 Design Change Notices for Design Documents (NEO 5.11)

ACP-QA 3.15 Performance of Pire Protection Reviews (NEO 5.12) l IV. Procurement Document ACP-QA 4.02B Receipt, Control, Control Identification of Material V. Procedures, Instructions ACP-QA 3.05 Review & Approval and Drawings Vendor Procedures l

ACP-QA 3.07 Maintenance of Station implementing Proce-dures in accordance with NUSCO Governing Documents VI. Document Control ACP-QA 3.01 ACP's & Station Forms ACP-QA 3.02 Station Procedures and forms ACP-QA 3.03 Document Control ACP-QA 3.19 Controlled Distri-bution of Design Documents (NEO 5.03)

VII. Control of Purchased ACP-QA 4.05 Product Acceptance i Material, Equipment Inspection & Testing Services i ACP-QA 5.02 Trond Analysis for Quality Related l Documents  !

l VIII. Identification ACP-QA 4.03A Classifying and Up- l and Control of grading Spare Parts i Materials, Parts for use in QA l and Components Application. l QAP - Appendix C l Rev.: 11 Date: l Page 19 of 32 4

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MILLSTONE QA ADMIiJISTRATIVE CONTROL PROCEDURES (ACPS) 10 CFR 50, APP. B CRITERIA MILLSTONE QA (ACPS)

ACP-QA 4.03B Material, Equipment, and Part Lists for Lists for Inservice Nuclear Generating Facilities (NEO 6.01)

ACP-QA 4.07 Control of Weld Material IX. Control of ACP-QA 2,07 Control of Special Special Processes Processess X. Inspections ACP-QA 2.02A Installation Inspec-tions ACP-QA 9.06 In-Service Inspection Program ACP-QA 9.07C Quality Services Surveillance Program XI. Test Control ACP-QA 2.02B Retests ACP-QA 2.15 Preoperational Testing of Plant Modification

, (NEO 7.03)

ACP-QA 9.02 Station Surveillance i Program ACP-QA 9.02A Unit 1 Surveillance Master Control List ACP-QA 9.02B Unit 2 Surveillance Master Control List  !

I ACP-QA 9.03 In-service Plant i Testing XII . Control of ACP-QA 9.04 Control & Calibration Measuring and of Measuring and Test Test Equipment Equipment l

ACP-QA 4.01 Plant Housekeeping XIII . Handling, Storage, Shipping QAP - Appendix C Rev.: 11 Date:

Page 20 of 32

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MILLSTONE QA ADMINISTRATIVE CONTROL PROCEDURES (ACPS) 10 CFR 50, APP. B

' CRITERIA MILLSTONE QA (ACPS)

ACP-QA 4.04 Instructions for Packaging, Shipping, Receiving, Storage and Handling ACP-QA 6.04 Radioactive Material Shipping Require-ments XIV. Inspection, Test ACP-QA 2.06A Station Tagging and Operating Status ACP-QA 2.06B Station Bypass /

Jumper Control (NOD 3.04)

ACP-QA 2.06C Station Bypass /

Jumper Control for Trouble Shooting, Red Lining and Calibration ACP-QA 2.12 System Valve Alignment Control XV. Nonconforming Materials, ACP-QA 5.01 Nonconforming Parts, Components, or Materials and Parts Services XVI . Corrective Action ACP-QA 10.01 Plant Incident Report ACP-QA 10.06 NRC Commitment Follow-up Program ACP-QA 10.09 Licensee Event Rep, ort ACP-QA 10.10 Corrective Action XVII. Quality Assurance ACP-QA 10.04 Nuclear Power Plant -

Records Records QAP - Appendix C Rev. : 11 Date:

Page 21 of 32 s

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MILLSTONE QA ADMINISTRATIVE CONTROL PROCEDURES ,

(ACPS) 10 CFR 50, APP. B CRITERIA . MILLSTONE QA ( ACPS) i XVIII. Audits ACP-QA 9.01 Quality Assurance Audits o

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j QAP - Appendix C Rev.: 11 i Date:

Page 22 of 32 4

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• I CONNECTICUT YANKEE QA PROCEDURES-I l

10 CFR 50, APP. B CONNECTICUT YANKEE CRITERIA QA PROCEDURES I. Organization ACP 1.0-3 The Connecticut  ;

Yankee Organization Responsibility and Authority ACP 1.2-1.1 Plant Operation 4 Review Committee l II. Quality Assurance ACP 1. 2-2.1 Material, Equipment Program and Parts list for CY ACP 1. 2-2,3 Certification, and Identification of Quallfled Inspection and Testing Personnel ACP 1.2-2.4 Housekeeping Requirements ACP 1,2-2.5 Classifying and )

Upgrading Spare l Parts  !

)

ACP 1.2-2.7 NEO 3.08, Rev. 2, i Processsing Proposed j Revisions to the Northeast Utilities Quality Assurance Program (NUQAP)

Topical Report ACP 1.2-2.8 NEO 6.10, Use of the PMMS Data Base to '

Indicate Quality Assurance Program Applicability QAP - Appendix C Rev.: 11 Date:

Page 23 of 32

CONNECTICUT YANKEE QA PROCEDURES i

10 CFR 50, APP, B CONNECTICUT YANKEE CRITERIA QA PROCEDURES ACP 1.2-2.9 Quality Assurance and Quality Control in Station Radioactive Material Processing, Classificating Packaging, and Transportation III. Design Control ACP 1.2-3.1 NEO 3.03 P:eparation, Review and Disposi-tion of Plant Design Changes Records (PDCRs) l ACP 1. 2-3.3 Setpoint Change Request (SCR)

ACP 1.2-3.4 NEO 5.04 Preparation, Review Approval, Review Approval, Revision and Control of Specifications ACP 1. 2-3.6 NOD 3.05 - PDCR Evaluations ACP 1. 2-6. 9 NEO 3.12 Safety Evaluations IV. Procurement Document ACP 1. 2-4.1 Procurement Document Control Review V. Procedures, ACP 1.2-5.1 PMMS Trouble  !

Instructions, Reporting System and and Drawings Automated Work Order j VI. Document Control ACP 1. 2-6.1 Document Distribution and Accountability  ;

ACP 1,2-6.2 Master Docummt )

Index ACP 1.2-6.4 Temporar,y erocedure  !

Chang i l

ACP 1.2-G.5 Station Procedures QAP - Appendix C Rev. : 11

, Date:  ;

Page 24 of 32 j

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CONNECTICUT YANKEE QA PROCEDURES 10 CFR 50, APP. B CONNECTICUT YANKEE CRITERIA QA PROCEDURES ACP 1,2-6.10 Maintenance of Station Implementing Procedures with NUSCO Governing Documents ACP 1.2-6.11 Drawing Change /

Submittal Request ACP 1.2-6.12 NOD 3.03, Safety l Evaluation for Station Procedures ACP 1.2-11.6 Proposed Technical Specification Change Requests VII. Control of Purchased ACP 1.2-7.1 Receipt Inspection Material, Equipment and Identification of and Services Materials, Parts, and Components VIII . Identification & ACP 1.2-8.2 Material Issue Control of Materials, Parts and Components ACP 1.2-8. 3 Weld Material Control IX. Control of Special ACP 1,2-9.1 Control of Special Processess Processess ACP 1.2-9.2 Requirements for Cleaning of Fluid Systems & Associated Components ACP 1.2-9.3 NEO 3.11-Prepa-ation, Qualification, Approval and Revision of Northeast Ut111tles Nondestructive Examl-nation Procedures ACP 1.2-9.4 Inservice Inspection Indication Reporting j l

i QAP - Appendix C  ;

Rev. : 11 I Date: 1 Page 25 of 32 I

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CONNECTICUT YANKEE QA PROCEDURES 10 CFR 50, APP. B CONNECTICUT YANKEE CRITERIA QA PROCEDURES I

X. Inspections ACP 1.2-10.3 Authorized Nuclear Inspector (ANI)/

Authorized Nuclear In-service Inspector (ANII) l XI. Test Control ACP 1,2-11.1 Technical Specifi-cation Surveillance Tracking ACP 1.2-11.2 Review of Test Data ACP 1.2-11.3 Retests ACP 1,2-11.4 Product Acceptance Test l

ACP 1.2-11.6 NEO 4.02, Proposed Technical Specification Change Requests XII. Control of Measuring & ACP 1.2-12.1 Control of Measuring Test Equipment and Test Equipment XIII . Handling, Storage & ACP 1.2-13.1 Handling of Material Shipping and Equipment ACP 1.2-13.2 Storage of Material and Equipment ACP 1.2-13.5 Entry and Exit from Station of Transporter for Nuclear By-Product Material (Radwaste) i QAP - Appendix C i Rev. : 11 l Date:

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J CONNECTICUT YANKEE QA PROCEDURES I

10 CFR 50, APP. B CONNECTICUT YANKEE CRITERIA QA PROCEDURES 1

X. Inspections hCP 1,2-10.1 Installation -

Inspections ACP 1.2-10.3 Authorized Nuclear Inspector (ANI)/

Authorized Nuclear In-service Inspector (ANII)

ACP 1.2-10.4 Monitor.ing of QA Activities XI. Test Control ACP 1.2-11.1 Technical Specifi-cation Surveillance Tracking ACP 1,2-11.2 Review of Test Data ACP 1.2-11.3 Retests ACP 1.2-11.4 Product Acceptance Test ACP 1.2-11.5 QA Activity Sur-veillance ACP 1.2-11.6 NEO 4.02, Proposed  !

Technical Specification .

Change Requests XII . Control of Measuring & ACP 1.2-12.1 Control of Measuring Test Equipment and Test Equipment XIII. liandling, Storage & ACP 1,2-13.1 Ilanditng of Material

< Shipping sad Equipmunt ACP 1.2-13.2 Storage of Material ar2d 'Equipreent ,

ACP 1,2-13.5 Entry and Exit from Station of Transporter for Nuclear .By-Product Material (Radwsste) l

< QAP - Appendb< C Rev.: 11 .

Date:  !

Iage 26 of 32

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CONNECTICUT YANKEE QA PROCEDURES 10 CFR 50, APP. B CCNNECTICUT YANKEE CRITERIA QA PROCEDURES ACP 1.2-13.6 Packaging and Shipping Requirements for Material Parts and Components ACP 1,2-13.7 Shipping Quality Control of Radioactive Material Shipments XIV. Inspection, Test & ACP-1.2-14.1 NOD 3.04, Jumper, Operating Status Lifted Lead and Bypass Control ACP 1.2-14.2 Equipment Control (Locking & Tagging)

XV. Nonconforming ACP 1.2-15.1 Nonconforming Materials, Parts, Control Components, or Services ACP 1.0-14 Determination and Follow of Substantial Safety Hazards (SSH)

XVI . Corrective Action ACP 1.2-16.1 Plant Information Reports i

XVII. Quality Assurance ACP 1.2-17.2 Nuclear Power l Records Plant Records ACP 1.2-17.3 Identification of Radiographs ,

i XVIII . Audits ACP 1,2-18.2 NEO 3.07, Response to Audit Findings  ;

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QAP - Appendix C Rev,: 11 Date:

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NU WELDING MANUAL 10 CFR 50, APP. B WELDING MANUAL CRITERIA QA PROCEDURES I. Organization AP 700 Organization & Control of Northeast Ulit11tles Welding and Brazing Manual II. Control of Special AP 701 Preparation, Quallfl-Processes cation, Approval &

Revision of Northeast Utilities Welding Procedures AP 702 Control of Welder and Brazer Qualifications.

AP 703 Preparation, Raylew &

Approval of Detailed Welding Procedures AP 704 Preparation, Approval, and Revision of Northeast Utilities General Welding Standards AP 705 Preparation, Quall- 1 fication, Approval, and Revision of Northeast Ut111tles Material Process 1 Procedures I AP 706 Preparation, Approval, and Revision of Northeast Utilities

, Technical Guidelines and l Standards AP 707 Preparation, Approval and Revision of Northeast Utilities Miscellaneous Weld Documents and Infor-mation QAP - Appendix C Rev.: 11

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NU PURCHASING BUSINESS PROCEDURES 10 CFR 50, APP. B PURCIIASING CRITERIA QA PROCEDURES IV. Procurement Document BP-3.1 Requisition: Standard Control and Repeating BP-3.3 Purchase Orders BP-3.4 Changes to Purchase Orders BP-3. 9 Blanket Purchase Orders j

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t NUSCO RELIABILITY ENGINEERING

'DURES MANUAL 10 Ci r -

^ T' . B C F 1. :sIA RE PROCEDURES I. Organization QRE-1.01 Organization II. Quality Assurance QRE-1.02 Applicability and Use Program of Reliability Engineering Section Procedures Manual QRE-1.06 Training Program QRE-1. 09 Training of Inservice Inspection and Non-destructive Examination Personnel QRE-1.10 NUSCO ISI Coordinator  :

Responsib111tles and Conduct of ISI Planning and On-Site Activities for Refueling Outages V. Procedures, QRE-1.04 Preparation, Issuance Instructions and and Control of Drawings Engineering Department Procedures IX. Control of Special QRE-1.16 Nondestructive Exami-Processes nation Procedures XVII . Quality Assurance QRE-1.12 Control of Documents Records l l

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REACTOR ENGINEERING BRANCH PROCEDURES 10 CFR 50, APP. B CRITERIA REB PROCEDURES III. Design Control REB-2.01 Project Follow, Review and Documentation for Initial Core and Reload Fuel Campalgns l

REB-3.03Q Generation and Evalu-ation of Incore Code Results for QA Category I Applications REB-3.07 Qualification of Analysis Methods which use Quality Related Software V. Procedures, REB - 1.01 Preparation, Revision, Instructions Issuance, Deletion, and Drawings and Control of REB

• Procedures and Subtler Instructions XVII. Quality Assurance REB -1. 02 Reactor Engineering Records Branch Record Retention -

Management of Nuclear Power Plant Records l

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GENERATION FACILITIES LICENSING BRANCII PROCEDURES 10 CFR 50, APP. B CRITERIA GFL PROCEDURES II. Quality Assurance GFL-2.01Q Training in NEO Group Program Nuclear Policies, f Procedures, and Program V. Procedures, Instruc- GFL-1.01Q Preparation, Issuance tions and Drawings and Control of Genera-tion Facilities Licensing Branch Procedures and Instructions VI. Document Control GFL-3.01Q Regulator Agency Correspondence GFL-3.03Q U.S. Nuclear Regulatory Commission NUREG's GFL-3.04Q U.S. Nuclear Regulatory Commission Federal Register Notices GFL-3,05Q U.S. Nuclear Regulatory Commission Regulatory Guides i GFL-3.06Q Documentation of l

Telephone Conversations i

GFL-3.07Q Forward Commitments GFL-3.08Q Preparation and Submittal of Special Nuclear Material, Source Material, and Byproduct Material License Appil-cation XVIII . Quality Assurance GFL-3.02Q Manage' ment of Nuclear Records Power Plant Records QAP - Appendix C Rev.: 11 Date:

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APPENDIX _D NORTHEAST UTILITIES QUALITY ASSURANCE PROGRAM TOPICAL REPORT REGULATORY GUIDE AND ANSI STANDARD COMMITMENTS NOTE: ' The NUQAP is committed to utilize the guidance obtained from the following regulatory documents and their endorsed stan-dards. Exceptions to these positions are listed in Appendix F of this Topical Report.

Appendix B to 10 CFR, Part 50 - Quality Assurance Criteria for Nuclear Power Plants and Fuel Reprocessing Plants.

10 CFR 50, Section 50.54, Condition of Licenses.

10 CFR 50, Part 55 - Operator's Licenses and its Appendix A -

Requalification Programs for Licensed Operators of Production and Utilization Facilities.

Regulatory Guide 1.8 R - 5/77 - Personnel Selection and Training -

Endorses ANSI N18.1 - 1971.

Regulatory Guide 1.28 - 2/79 - Quality Assurance Program Requirements (Design and Construction) Endorses ANSI N45.2-1977.

Regulatory Guide 1.30 - (Safety Guide 30), 8-11 Quality Assurance Requirements for the Installation, Inspection, and Testing of Instru-mentation and Electrical Equipment - Endorses ANSI N45.2.4-1972.

Regulatory Guide 1.33 - 2/78 - Quality Assurance Program Requirements (Operation) - Endorses ANSI N18.7-1976/ANS3.2.

Regulatory Guide 1.37 - Quality Assurance Requirements for Cleaning of Fluid Systems and Associated Components of Water-Cooled Nuclear Power Plants, 3-16 Endorses ANSI N45.2.1 1973.

Regulatory Guide 1,38 - Quality Assurance Requirements for Packaging, Shipping, Receiving, Storago and Handling of Items for Water-Cooled Nuclear Power Plants, S/77 - Endorses ANSI N45.2.2 - 1972.

Regulatory Guide 1.39 - Housekeeping Requirements for Water-Cooled Nuclear Power Plants, 9/77 - Endorses ANSI N45.2.3-1973.

Regulatory Guide 1.58 - Qualification of Nuclear Power Plant Inspection, Examination, and Testing Personnel, Rev.1, 9/80 - Endorses ANSI N45. 2. 3-1978.

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Regulatory Guide 1.64 - Quality Assurance Requirements for the Design of Nuclear Power Plants, 6/76 - Endorses ANSI N45.2.11-1974.

Regulatory Guide 1.70 "Standard Format and Content of Safety Analysis Reports for Nuclear Power Plants - LWR Edition" Revision 2, September 1975 is utilized for Connecticut Yankee, Millstone 1, and ,

Millstone 2. Revision 3 has been used in the update process for Connecticut Yankee and Millstone 1 for format and to the nearest extent '

practical for content. No new analyses have been performed which would be required by Revision 3. Revision 3, November 1978 is utilized for Millstone 3.

Regulatoly Guide 1.74 - Quality Assurance Terms and Definition, Feb.

74 - Endorses ANSI N45.2.10 - 1973.

Regulatory Guide 1.88 - Collection, Storage, and Maintenance of Nuclear Power Plant Quality Assurance Records - 10/76 Endorses ANSI N4 5.2.9-1974.

Regulatory Guide 1.94 - Quality Assurance Requirements for Installa- ,

tion, Inspection and Testing of Structural Concrete and Structural Steel During the Construction Phase of Nuclear Power Plant - 4/76 - Endorses ANSI N45.2.5 - 1974 and Section 6.11 of ANSI N45.2.5-1978. l Regulatory Guide - 1.116 - Quality Assurance Requirements for Instal-lation, Inspection, and Testing Mechanical Equipment and Systems -

5/77 - Endorses ANSI N45.2.8-1975.

Regulatory Guide 1.123 - Quality Assurance Requirements for Control of Procurement of Items and Services for Nuclear Power Plants - 7/77 -

Endorses ANSI N45.2.13-1976.

Regulatory Guide 1.144 - Auditing of Quality Assurance Programs for Nuclear Power Plants - Rev.1 - 9/80 Endorses ANSI N45.2.12 - 1977.

Regulatory Guide 1.146 - Qualification of Quality Assuranen Program Audit Personnel For Nuclear Power Plants - 8/80 Endorses ANSI N4 5.2.23-1978.

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APPENDIX E NORTHEAST UTILITIES QUALITY ASSURANCE PROGRAM TOPICAL REPORT -

GLOSSARY OF QUALITY ASSURANCE TERMS

' Accept As Is - (also known as '"Use-As-Is") a disposition which may be imposed for a nonconformance when it can be established that the discrepancy will result in no adverse conditions and that the item under consideration will continue to meet all engineering functional require-ments including performance, maintainability, fit and safety.

As Built Documents - documents which accurately describe the condition actually achieved in a system, structure, or component. These docu-ments include: material certification and test data; reports of inspections, examinations, and test results; drawing, specifications, procedures, and instructions; and records of nonconformance and their resolution.

Audit - a for. , d, documented activity performed in accordance with written checklists or procedures to verify by evaluation of objective evidence that a quality assurance program has been developed, docu-mented, and implemented in accordance with applicable requirements.

Calibration - the process by which measuring and test equipment are checked against standards of known higher accuracy and adjusted as necessary to ensure their compliance with designated specifications.

Category I - designation given to systems, structures, and components of a Northeast Utilities nuclear power plant that prevent or mitigate the consequences of postulated accidents that could cause undue risk to the health and safety of the public.

Category 1 Systems. Structures, and Components - defined in Appendix A.

Cleaning - those actions performed to maintain an item in accordance with cleanliness requirements.

Contractor - any organization under contract for furnishing items or services. It includes the terms Vendor, Supplier, Subcontractor, Fabricator and subtler levels of these where appropriate. The Nuclear Steam Supply System Supplier (NSSS Supplier) is included in this category.

Corrective Action - action taken to correct conditions adverso to quality in order to preclude recurrence of the conditions.

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Deficiencies - departures from specified requirements.

Department - the use of the word department, throughout the NUQAP Topical Report, can refer to any portion of the NUSCO/NUPOC organi-zation (i.e. , Group, Division, Department, Branch, Section, or Unit, as applicable) .

Departmental Measuring and Test Eculpment List - a list of all depart-mental measuring and test equipment in the departmental calibration program.

Design - technical and management processes which lead to and include the issuance of design output documents such as drawings, specifi-cations, and other documents defining technical requirements of systems, structures, and components.

Design Changes - changes in drawings and specifications that define the design of systems, structures, and components of nuclear power plants .

Design Documents - are the drawings and specifications that define the technical requirements of systems, structures, and components; the Final Safety Analysis Report (FSAR); the License Document; Technical Specifications; and Environmental Protection Plan.

Design Phase / Construction Phase /Preoperational P_hnse - Refers to work phase prior to the issuance of operating license.

Drawing Change Request (DCR) - A document used to initiate and control requests for revisions to generating plant drawings which exist in the Northeast Utilities drawing control system (i.e., having a pre-vlously assigned Northeast Utilities Service Company (NUSCO) drawing number) .

Engineer-Constructor - the principal organization contracted by NUSCO that performs the overall engineering, procurement, construction, and installatbn of systems, structures, and components of a nuclear power plant.

Engineering Service Organization - organizations that provide services such as analysis, testing, and inspection.

Generation Facilities Records - the organization responsible for estab-lishing the Corporate Nuclear Plant Records Program which is imple-mented at each Nuclear Plant Records Facility.

Handling - An act of physically moving an item by hand or by mechani-cal machinery, but not including transport modes.

Identification - a means by which material, equipment and parts can be traced to their associated documentation through the use of heat numbers, lot ' numbers, part numbers, serial numbers, or other appro-priate means.

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l In-Process Verifications - An in-depth review of an activity done with l l an approved written checklist to verify that the activity is being completed in accordance with the approved documents, utilizing auditing techniques. -

Inspection - a phase of quality control which, by means of examination, observation, or measurement, determines the conformance of material, supplies, components, parts, appurtenances, systems, processes, structures, or services to predetermine quality requirements. l Inspection Status - Identification of material, equipment, and parts that have completed inspection, either acceptable or unacceptable.

Life Records - those quality documents that are maintained for the lifetime of the in-service nuclear power plant or for the life of the particular component or part. Life records are those which would be c significant value in meeting one or more of the following criteria:

(1) demonstrating capability for safe operation.

(2) maintaining, reworking, repairing, replacing or modifying the item.

(3) determining the cause of an accident or malfunction of an item.

(4) providing required base line data for in-service inspection.

Measuring and Test Eculpment - those instruments, gages, tools, fixtures, reference and transfer standards, nondestructive test equip-ment, and measuring devices used during inspection and testing to determine that the measuring and test parameters comply with appro-priate requirements in specifications and drawings, i l

Nonconforming Material. Eculpment, and Parts - any material equipment, j or parts which do not conforra to specified requirements. I l

Nonengineered Items - material, equipment and parts which are:

(1) relatively simple and standard in design, manufacture and i test.

(2) adaptable to standard or automated inspectiont and/or tests of the end product to verify quality characteristic s af ter delivery .

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which could adversely affect the integrity, function, or cleanness of the item.

Non-Life Records - those quality documents that are maintained for a specific period of time other than the lifetime of the in-service nuclear power plant or the particular component or part.

Northeast Utilities (NU) - a public utility holding company which owns Northeast Utilities Service Company and The Northeast Nuclear Energy Company and thru its operating subsidiaries has a controlling interest in The Connecticut Yankee Atomic Power Company.

Northeast Utilities Service Company (NUSCO) - a wholly owned subsi-diary of Northeast I;tilities that provides engineering, procurement, construction, and quality assurance services for Northeast Utilities relating to design, construction, and preoperational testing of nuclear power plants and major modifications thereto.

Northeast Utilities Quality Assurance Program (NUQAP)_ -

consist of the NUQAP Topical Report, Quality Services Department Procedures and other Northeast Utilities Group / Division / Department /

Branch /Section quality procedures.

Nuclear Plant Operating Companies (NUPOC) - Northeast Utilities Companies which perform preoperational testing of systems, structures and components of nuclear power plants, performs major modifications during the design and construction phases and operates the nuclear power plants. The companies which comprise NUPOC are the Connecticut Yankee Atomic Power Company and the Northeast Nuclear Energy Company.

Nuclear Plant Records Facilities (NPRF) - A facility which has been established for the purpose of handling Nuclear Power Plant records in accordance with the NPRS (Nuclear Plant Records System). The three i' facility locations are Millstone, Connecticut Yankee, and Berlin.

l NUSCO Quality Assurance Contractor. Supplier, and Engineering Service Organization List - a list identifying the approval status of the quality assurance programs of contractors, suppliers, and engineering l

service organizations.  ;

"Objective Evidence" - any statement of fact, information, or record, either quantitative or qualitative, pertaining to the quality of an item or service based on observation, measurements, or tests which can be verified.

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Operational Pha_se - Refers to work phase after plant has received its l operating license.

1 Plant Audits - Audits of the NUPOC quality activities performed at the l nuclear power plant by NUSCO Quality Services Department.

Preservation - those actions performed to maintain an item in its original and usable condition. l l

Procedures and Instructions - documents that specify how an activity is to be performed. They may include methods to be employed: material, I equipment, or parts to be used; and a sequence of operations.

Procurement Documents - Contractually binding documents that identify and define the requirements which items or service must meet in order to be considered acceptable by the purchaser.

Product Acceptance Inspection / Test - Inspection / Test performed as part of recolpt inspection at the nuclear power plant to verify the quality characteristics of nonengineered items. Operations utilized during product acceptance inspections / tests are such that they do not adversely affect the integrity, function or cleanness of the item.

Proof Test - a test conducted prior to installation of systems, structures and components to verify specifications requirements have been met.

Project Engineer - a NUSCO/NUPOC employee assigned the respon-sibility to coordinate the engineering activities addressed in NUQAP.

Project Manager - a NUSCO employee assigned the responsibility to coordinato all activities addressed in NUQAP relating to their assigned Projects .

Purchased Material. Eaulpment, and Parts (MEP) - items procured for installation in nuclear power generating facilities systems, structures, and components, and items procured as items procured as construction and PGF spare MEP for potential installation of those systems, struc-tures, and components.

Purchased Service - services procured to assist in operation, main-tenance, modifications, and refueling of nuclear power plants.

Quality Assurance Records - any record pertaining to .the quality of material, equipment, parts, processes, or operations relating to systems, structures and components which are founded on observations, measurements, or tests which can be fully checked or verified. Such statements may be recorded on a written or proprinted document or tag. The statements are authorized with a signature or stamp iden-tifiable to the person making the statement of fact.

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Quality Activities - Activities involving parts, components, structures,  ;

and services for Category 1, Radwaste QA, (including Radwaste i Packaging and Shipping), ATWS, FPQA, EEQ, and other regulated programs in accordance with the requirements mandated by those regulations. Appendix A defines Category I program Controls.

Quality Procedures - Those procedures which implement the require-ments of the NUQAP Topical Report. Appendix C lists typical Quality Related Procedures that are reviewed and approved by NUSCO Quality Services Departmont, j Repair - a disposition applied to nonconforming material, equipment, and parts that are unsuitable for their intended purpose which are modified by the use of additional operations and/or processes so that they are suitable for their intended purpose but may not meet all specified requirements.

Retest - a test conducted prior to operation following installation inspections of work associated with maintenance, modification, and refueling to verify that systems, structures, and components will function satisfactorily when in operation. A retest may also be performed when original test results are invalidated.

Return to Supplier - a disposition applied to nonconforming material, equipment, and parts that are unsuitable for their intended purpose but which are feasible to repair or rework at a supplier's facility.

Rework - a disposition applied to nonconforming material, equipment, and parts that are unsuitable for their intended purpose due to incomplete operations or variations from original engineering requirements but which are modified through the use of additional operations or processes to meet all specified requirements.

Safety Related Systems and Components - Systems and components required to shut down the reactor, mitigate the consequences of postulated accidents, or maintain the reactor in a safe shutdown condition.

Special Processes - an operation performed under controlled conditions in accordance with special requirements utilizing qualified procedures, equipment, and personnel. These special processes may include, but are not limited to: welding, brazing, soldering, cleaning, heat treating, and nondestructive testing.

Storage - the act of holding items at the construction site or in an area other than its permanent location in the plant.

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Supplier - organizations that provide material, equipment, parts, and ,

services. l Surveillance - a documented record of the observation of work opera- ,

tions performed at NUSCO/NUPOC or vendor's site to assure compliance l with applicable codes, standards, specifications, procedures, drawings, and procurement documents. Surveillances are not performed to a preplanned checklist.

Test and Operating Status - identification of material, equipment, and parts that are ready for test or operation, or an existing stage of a test operation  ;

Testing - the determination or verification of the capability of an item to meet specified requirements by subjecting the item to a set of physical, chemical, environmental, or operating conditions.

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APPENDIX F NORTHEAST UTILITIES QUALITY ASSURANCE PROGRAM TOPICAL REPORT Program Exceptions

1. ANSI N45.2.9, states in part, "structure, doors, frames, and hardware should be Class A fire-related with a recommended four-hour minimum rating." The records storage vault door and hard-ware at NNECO has a Two-hour rating and the record storage vault door and hardware at CYAPCO has a three-hour rating.

Both NNECO and CYAPCO's vaults are used for storage of docu-mentation that is unsultable for filming or awaiting filming.

A records organization exists along with written procedures addressing the control of quality assurance records.

2. ANSI N18.7-1976, paragraph 4.3.2.3 "Quorum" states in part: "A quorum for formal meetings of the (Independent Review) Committee held under the provisions of 4.3.2.2 shall consist of not less than a majority of the principals, or duly appointed alternates. . ."

The use of Alternates was eliminated from the Northeast Utilities Nuclear Review Board (NRB) Charter due to the difficulties of keeping the Alternates up to date. The elimination of Alternates forced the creation of a larger NRB membership (seven to eleven members) for greater diversity, resources, and availability.

A quorum of the Nuclear Review Board shall consist of the Chairman or Vice Chairman and at least enough members to constitute a majority of the assigned members. No more than a minority of the quorum shall be from the Nuclear Operations Department.

3. ANSI N45.2.9-1974, paragraph 1.4, definition of "Quality Assurance ,

Records" states in part: "For the purposes of this standard, a l document is considered a quality assurance record when the docu-ment has been completed. "

l Northeast Utilities has developed the following alternative definition  !

to provide guidance during the interim period from the time a document is completed until it is transmitted to the Nuclear Plant Records Facility:

"A record is considered a working document until it is transmitted to the appropriate Nuclear Plant Records Facility (NPRF) at which time it is designated as a Quality Assurance Records. The following maximum time limits are established for the transmittal of working documents to the NPRF:

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Operations Documents - Documentation generated during Plant Operations may be maintained, as needed, by operating plant departments, for up to one year.

New Construction or Betterment Documents - Documents which evolve during new construction or betterment projects shall be transmitted to NPRF within 90 days of completion of a new construction project or turnover of a betterment project or plant operations.

All Other Working Documents - All other working documents shall be transmitted to NPRF within 6 months of their receipt or completion. "

The requirements of ANSI N45.2.9-1974 do not apply to these "working documents" based on paragraph 1.1 of the ANSI standard which states:

"It ( ANSI N45.2.9) is not intended to cover the preparation of the records nor to include working documents not yet designated as Quality Assurance Records. _

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