ML20209H751

Audit Plan. Related Info Encl

ML20209H751
Person / Time
Site:	Rancho Seco
Issue date:	04/14/1987
From:	Elliott D SACRAMENTO MUNICIPAL UTILITY DISTRICT
To:
Shared Package
ML20209H736	List: ML20209H730 ML20209H751
References
PROC-870414, NUDOCS 8705040113
Download: ML20209H751 (16)

Text

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SACRAMENTO MUNICIPAL UTillTY DISTRICT 1 J P. O. Box 15830. Sacramento CA 95852-1830,(916) 452-3211 AN ELECTRIC SYSTEM SERVING THE HEART OF CALIFORNIA AUDIT PLAN Activity /

Subject:

Station Modifications Revision: Initial Issue Scheduled Audit Date: Aprfil 30,1987 - June 1,1987 Audit Team Leader: // Date: f f//7 Audit Supervisor: [. m . . , Date: I[f'7 Quality Manager: . / Date: ///

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To assess the operational readiness of selected modified systems by 5 determining if:

O The system is capable of performing the required functions.

O Engineering, design and construction practices are per approved procedures, satisfy applicable codes and standards, and include identified system improvements.

1 0 System test requirements and acceptance criteria have been specified that will demonstrate the system will perform the required functions. l 8705040113 870413 PDR ADOCK 05000312 P PDR page 1 of 9 DISTRICT HEADQUARTERS El G201 S Street, Sacramento CA 95817-1899

Activity /

Subject:

Station Modifications Revision: Initial Issue O Changes to procedures and training programs resulting from the system modification have been appropriately considered.

O Human factors considerations and the systems' supporting procedures will result in proper system operation.

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Scope and Approach It is planned that the Emergency Feedwater Initiation and Control System and the TDI Emergency Diesel Electrical tie-in will form the basis of the audit. i The Engineering Change Notices (ECNs) related to these systems will be )

1 screened and the more substantive functionally related packages selected for detail evaluation. In addition, a sample of miscellaneous " older", smaller-scope modification packages that are to be implemented during the present outage, but where the najor engineering and procurement were accomplished over several years prior to this outage, will be selected for evaluation.

The evaluation of system modifications will include the following:

O Conformance to codes and design requirements Page 2 of 9 l

Activity /

Subject:

Station Modifications Revision: Initial Issue O Consistency with design baseline, USAR, Technical Specifications, etc.

O Analyses are available to support the design change 0 Inputs to calculations are appropriate O Results of analyses are correctly translated into other design documents.

O Drawings and diagrams are complete, accurate, and consistent with each other and other design documents.

O Procurement, construction, and inspection requirements are complete and correct. 1 I

O Seismic and environmental qualification requirements have been appropriately considered.

l 0 Test requirements and acceptance criteria are adequate to demonstrate function.

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e Activity /

Subject:

Station Modifications Revision: Initial Issue 4

O Design changes are being appropriately addressed in operator training, operating procedures, surveillance test procedures, and maintenance procedures.

O The modification'is consistent with the Systems Status Report (SSR). ,

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0 The modification addresses the recommendations resulting from the i

l QCI 12 process.

> 0 "As constructed" condition is consistent with "as-built" l

documentation.

O Tagging (e.g., clearance tags) procedures have been correctly utilized.

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0 Corrective actions in response to QA audits, NRC Inspection, ASRTP, etc. have been incorporated as appropriate.

.l The sample of " older" modification packages will be evaluated mainly for i~

appropriate procurement requirements and application of equipment and adequacy l of analyses to support the modification.

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Activity /

Subject:

Station Modifications Revision: Initial Issue J

Audit Team The audit team will include the below listed personnel. The team will be supplemented by additional members as necessary.

D. L. Malone (Audit Team Leader)

D. Logan (Auditor) 4 M. Horhota (Auditor)

C. Jones (Technical Specialist)

J. Kjemtrup (Technical Specialist)

A. Ostenso (Technical Specialist)

Schedule The summary schedule of the audit is shown on Attachment No. 2 and a detail i scheduled is shown on Attachment 3.

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Activity /

Subject:

Station Modifications Revision: Initial Issue Preliminary Preparation 0 Address administrative and logistic needs (e.g., plant access, work

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areas, HP training).

O Arrange for orientation reading and presentations (e.g., AP.44, NEP 1000,NEP4109,ongoingcorrectiveactions).

0 Assemble documents and other materials needed for team preparation and l

design baseline development.

Team Preparation o Indoctrination and orientation of team members:

Purpose, scope, approach, conduct, preparation and use of checklists, documentation of results, communication, reporting.

Familiarity review of key procedures l

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Activity /

Subject:

Station Modifications Revision: Initial Issue O Review key documents and identify additional material needed for preparation and audit conduct.

O Prepare checklists. The audit team members will use base audit check-lists to prepare detailed checklists specific to the discipline, modification, and system selected.

Conduct of Audit The audit will begin with a pre-audit conference between team members and SMUD management to present the purpose, scope, and approach of the audit.

The team members will. annotate the audit checklists to specifically and completely: identify the documents reviewed (including issue and revision identification); identify personnel interviewed; and describe, in detail, the l

, results of the review for each attribute. Any supporting documentation and notes will be included as attachments to the audit checklists.

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Activity /

Subject:

Station Modifications Revision: Initial Issue In order to provide early, clear, resolution of potential concerns during the performance of the audit, the team will inform appropriate organizations of potential concerns or make requests for information using a " Request for Information" form. The responsible organization will be expected to promptly i respond to each Request for Information (RI) providing the information requested or addressing the potential concern. A status log is to be maintained to track and account for all RIs. (See Attachment No. I for handling of Action Items.) An attempt will be made to " bound" all valid concerns / deficiencies during the audit by the use of RIs. In order to be bounded, the full extent of the concern or deficiency must be determined, i

i corrective action taken, and preventive action--where appropriate--

implemented. The team member must concur that the extent has been determined and verify that appropriate corrective action has been taken and preventive action implemented.

Periodic status meetings will be held by the Team Leader with appropriate SMUD management. The purpose of these meetings is to discuss the progress of the audit and the status of any open Audit Items.

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l Activity /

Subject:

Station Modifications Revision: Initial Issue

. Reporting After completion of the audit, and prior to issuance of the report, a post-audit conference will be held by the Team Leader with appropriate SMUD management personnel to discuss the results of the audit.

The audit report will generally follow the format presented in QAIP 1 (Quality Assurance Audit Procedure).

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ATTACHMENT NO. 1 HANDLING OF REQUESTS FOR INFORMATION (RIs)

Generation of RIs An RI can be generated to identify deficiencies or to request information.

It is difficult to define precise criteria to apply in determining if an RI should be generated. Three considerations are: significance of individual 4

discrepancies, number of discrepancies, and the urgency of needed information by the evaluation team member. An RI Item should be processed for one or more of the following cases:

1. To identify a potential technical concern.

2. To identify a significant program aspect or practice that is, or appears to be, incorrect or inadequate.

3. When it is deemed necessary for an investigation to be performed to determine extent and cause of discrepancies.  ;

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4. When it is deemed appropriate to document the proposed actions to correct discrepancies and prevent recurrence.

It is generally not necessary to generate an RI if a minor discrepancy is observed and the discrepancy appears to be random. (An RI could be used, however, if deemed necessary to track correction of the discrepancy). Several minor discrepancies could warrant issue of an RI.

NOTE: Audit checklists must indicate all discrepancies observed regardless of significance or number. The Team Leader will make the final decision of when an RI is to be processed.

Processing of RIs

1. Team member completes (except for date and serial number) first page of l RI form (the serial number and date will be added after team leader review and just prior to issue).

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2. Provide RI to Team Leader for review. The Team leader will initial the RI to indicate that RI is ready for issue.

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3. The RI will be entered into the RI Log and numbered.

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4. Reproduce two copies of the RI. The original is to be supplied to the appropriate action party. One copy of the RI is to be filed in the RI binders. The second copy is to be provided to the originating team member. The issue date will be logged in the RI Log.

5. When the original RI is returned with response, the original is filed in the RI binder and a copy provided to the team member. Receipt of the RI response will be logged.

6. Team member and team leader will evaluate the response and document the evaluation on the response evaluation portion of the original RI in the RI binder. The evaluation will be entered into the RI Log.

7. If the response is not satisfactory, a followup memo will be initiated by the team member. The memo must clearly explain why the response is not satisfactory (attach copy of RI to memo). The memo is to be initialed by the Team Leader prior to issue. The issue of the memo will be entered into the RI Log.

8. Revised or supplemental responses are to be handled as in 6 above.

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9. Completion of any required corrective action and implementation of preventive action must be verified. Explanation of how verification was performed must be clearly documented on the followup portion of the RI.

Satisfactory completion of actions will be indicated on the RI Log.

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10. RIs shall be retained as part of the supporting documentation to the audit report as part of the audit package.

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4/20/86 Pre-Audit 4/6/87 Conference Team Prep

' 6/1/87

, Audit Conduct Complete Aud Conduct l 6/22/87 7/6/87 Post-Audit Report i Conference Issue i

Results Resolution of RIsO Review U

l 2 Weeks I 6 Weeks y l 3 Weeks l 2 Weeks- l y

ATTACHMENT 2

SUMMARY

AUDIT SCHEDULE 9

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l Attachment 3 Detail Schedule o Security training, badging, general 4/6/87 orientation 0 Detail indoctrination / orientation 4/7/87 (Audit Plan, document requests, checklist preparation, RIs, audit report, assigned reading)

O HP training 4/8-9/87 0 Perform Reading Assignment, 4/10/87 (e.g.,NEPs,QAPs, Corrective Actions to NRC Inspection) 0 Issue audit notification memo 4/10/87 0 Presentation on QCI 12 process 4/10/87 (N. Pappas). Presentation on EFIC (M. Parenteau) 0 Familiarity review of modifications, 4/13-17/87 preparation of checklists, request additional documents, develop input into audit plan 0 Select ECNs to be evaluated 4/14/87 0 Submit Checklists for Team Leader 4/16/87 approval.

O Incorporate team members' input to audit 4/16/87 plan.

O Pre-Audit Conference 4/20/87 0 Audit conduct 4/20-6/1/87 0 Select specific items of equipment 4/23/87 that will be evaluated for procurement, seismic, environmental requirements, consisting with vendor documents, mater-fal control.

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Attachment 3 Detail Schedule 0 Finalize documentation in checklists, 6/1-22/87 results review, preparation of draft report section, resolution of RIs.

O Submit completed checklists and draft 6/16/87 report sections to Team Leader.

O Post-Audit Conference 6/22/87-0 Finalize report 6/23-7/6/87 i

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