ML20214K305

Nuclear Records Mgt

ML20214K305
Person / Time
Site:	Rancho Seco
Issue date:	04/24/1987
From:	SACRAMENTO MUNICIPAL UTILITY DISTRICT
To:
Shared Package
ML20214K277	List: ML20214K276 ML20214K298 ML20214K305
References
RSAP-0601, RSAP-601, TAC-65924, NUDOCS 8705280401
Download: ML20214K305 (23)

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t SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 REVISION: 0 RANCHO SECO ADMINISTRATION MANUAL PAGE 1 0F 23 LEAD DEPARTMENT TITLE EFFECTIVE DATE 4

SUPPORT SERVICES NUCLEAR RECORDS MANAGEMENT i

MGR. SUPT SERV / Date MGR. 0A / Date RESTART IMPLEMENTATION MANAGER / Date  ;

i SAFETY RELATED [X] YES [ ] NO SCOPE OF REVISION:

"NEW PROCEDURE"  ;

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8705280401 870424 I PDR ADOCK 05000312 P PDR

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SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 REVISION: 0 4 NUCLEAR RECORDS MANAGEMENT PAGE 2 0F - 23 1.0 PURPOSE 1.1 This procedure establishes standard records management practices and controls for.the life cycle of a record from initial development to final disposition. ,

! 1.2 This procedure establishes the responsibilities of the releasing organization with respect to record creation, handling, maintenance and transfer to the Records Information Center (RIC).

4 1.3 This procedure provides 'a general overview of the activities l performed by the Records Information Center.for record receipt processing, preparation for filming', film indexing and hard copy i destruction processing. Detailed Records Management procedures j (RMP) establish the practices and methods used to perform these -

functions.

) 2.0 SCOPE j 2.1 ,

All nuclear records are subject to the requirements of this 4

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3.0 REFERENCES

3.1 10 CFR Part 50, Appendix A, Criterion I Appendix B, Criterion VI, VII, and XVII ,

i 3.2 ANSI /ASME NQA-1 1983 Edition, Supplement 175-1 Supplementary Requirements for Quality Assurance Records 3.3 Rancho Seco Operating License and Technical Specifications, Section 6.10 Record Retention

, 3.4 Rancho Seco Quality Assurance Procedure QAP-18, Quality Assurance Records

! 3.5 Updated Safety Analysis Report (USAR) for Rancho Seco Nuclear

Station, Section 12.5, Records 3.6 SDP 405-2 Protection of Safeguards Information 3.7 NFPA Code 232 Preservation of Records i

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SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 j REVISION: 0 NUCLEAR RECORDS MANAGEMENT PAGE 3 0F 23 3.8 ANSI N45.2.9-1974, Requirements for Collection, Storage, and Maintenance of Quality Assurance Records for Nuclear Power Plants

3.9 Rancho Seco Security Plan 3.10 10CFR73.55, Requirements for Physical Protection of Licensed 4

Activities in Nuclear Power Reactors Against Radiological Sabotage 3.11 ANI/MAELU Bulletin 80-1A, Revision 1 i

3.12 Rancho Seco Quality Manual, Sections VI and XVII.

) 4.0 DEFINITIONS T

4.1 Document A document is any written or pictorial information describing, defining, specifying, reporting, or certifying activities, requirements, procedures, or results. A document can be a form, paper, book, photograph, image, tab card, punch card, drawing, sketch, computer printout, sound recording, -~ -

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,n magnetic tape, microform, or, any. other jtem which providas historical evidence'of nuclear.

organization business activity. The term

" document" is all inclusive and includes, but is not limited to, records.

4.2 Record A completed document generally prepared and processed in accordance with written procedures, which furnishes documentary evidence of the quality of items and/or activities affecting quality.

Completed documents will be considered valid

, records only if stamped, initialed, or signed and I

dated by authorized personnel or otherwise

authenticated. This authentication may take the i form of a statement by the responsible individual 4

or organization.

i 4.3 Records Coordinator -

An individual appointed by each Department i Manager, responsible for representing the

! Department in all interfacing activities with the

! Records Management Group. Interfacing activities include the maintenance, collection, transfer, l retention and retrieval of the Department's records. If appropriate, more than one Record

, Coordinator can be assigned per Department.

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REVISION: 0 i NUCLEAR RECORDS MANAGEMENT PAGE 4 0F 23 I 4.4 Classification of Records 4.4.1 Records are classified as lifetime or nonpermanent. The Records Management Department shall maintain a list of Records identified as lifetime or nonpermanent. The list shall identify the  ;

retention period for nonpermanent Records. ,

4.4.2 Lifetime Records are those that meet one or more of the following criteria.

a. those which would be of significant value in demonstrating capability for safe operation;

b. those which would be of significant value in maintaining, reworking, repairing, replacing, or modifying an item;

c. those which would be of significant value in determining the cause of an accident or malfunction of an item;

d. thosewhichproviderequiredbaselinedatafhrb N' inservice inspections.

Lifetime Records are required to be maintained for the duration of the operating license.

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4.4.3 Nonpermanent Records are those required to show evidence that an activity was performed in accordance with the applicable requirements but need not be retained for the life of the item because they do not meet the criteria for lifetime Records.

4.5 Permanent Records Storace Area -

The facilities used at Rancho Seco for the storage of permanent plant records.

These facilities are constructed and maintained to meet the requirements of ANSI /ASME NQA-1-1983, Supplement 175-1.

4.6 Interim Records Storace -

Fire Proof Cabinet or Records Vault used to protect records for 120 days prior to being forwarded to the Permanent Records Storage Area.

4.7 Authorized Access List -

A listing of personnel granted either escorted or unescorted access to the Permanent Records Storage Area. l

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SMUD, NUCLEAR ORGANIZATION NUM8ER: RSAP-0601 REVISION: 0 NUCLEAR RECOROS MANAGEMENT PAGE 5 0F 23 i 4.8 Record Type List - A list of unique records generated at the

! Rancho Seco Nuclear Generating Station maintained and updated by Records Information Center. As a minimum, this list shall i contain:

} (1) Record type name "

, (2) Releasing organization

, (3) Retention period 4

(4) Media for long term storage (5) Privacy level

4.9 Record Packace - Records, when filed in a logical sequence are i placed together as a group under one title and submitted as such to the Records Information Center.

4.10 Releasina Oraanization - The organization / individual responsible for the development of a record (by procedure) or the organization assigned the responsibility for controlling a record.

. 4.1.1 Record Convention Form - A form used by the RIC to evaluate and

-  :.. docum'Et predetermined key-attributes of:each u -T. - - -

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l record submitted to RIC for incorporation 'into the i Records Management System.

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, 5.0 PROCEDURE 5.1 Responsibilities j

5.1.1 The Records management organization is responsible for the 4 collection, transfer, storage, indexing, filming, and retention i of all records generated for all phases of the Rancho Seco Nuclear Station.

4 5.1.2 The Department Manager of the Releasing Organization shall be responsible for appointing a Records Coordinator (s) who is knowledgeable of the records generated by that Department and is qualified to perform the required interface activities.

Department Managers shall notify the Records Specialist of appointment or reassignment of Records Coordinator.- The

Department Manager is also responsible for ensuring that the l requirements of this procedure are fulfilled by his/her Department. .

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SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 .'

REVISION: 0 l NUCLEAR RECORDS MANAGEMENT PAGE 6 0F 23 5.2 General 5.2.1 Records shall be generated in black ink or black type. Erasures, use of white correction tape or labels, or white-out shall not be permitted unless authorized by procedure. ,

i 5.2.2 Deletions or changes shall be made by a single line through the t item, initialing, and dating the change or by submitting a Record Correction Notice (ADM-0027) (See paragraph 5.6 and Attachment 7.5) (in the event the change / deletion was made by the typist during preparation of'the original document, the document's originator shall initial and data gli corrections / deletions) 5.2.2.1 A Record Correction Notice shall not be used if normal processing of the record provides for revision.

5.2.3 Records are developed or obtained in accordance with written '

procedures.

5.2.4 Record identification and retention determinations are established in 5.3. Each site department shall identify records '

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generated by the department for the development and continuing :.71 . '

maintenance of a Records Type List. Each department's Record Coordinator will be provided updated Records Type List from the Records Information Center on a monthly basis..

5.2.5 The normal interface between site departments and the Records Information Center will be between Department Record Coordinators and the Records Management Specialist or the Senior Administrative Supervisor in the Records Information Center.

5.2.6 Af ter the transfer of records to the RIC, the RIC shall perform the following activities as represented on the flow chart in Attachment 7.1.

(1) Records review / preparation for microfilming (2) Microfilming (3) Indexing / Data Entry (4) Records Storage / Destruction These activities are detailed in Records Management procedures.

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! SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 l REVISION: 0 NUCLEAR RECORDS MANAGEMENT PAGE 7 0F 23 5.2.7 Replacing a Lost, Damaged or Contaminated Document i 5.2.7.1 In the event that a page, pages, or an entire document are lost,

or inadvertently destroyed or contaminated and an unaltered i

legible xerographic copy of the original document is available, then the final signature authority of the original document shall j verify signature authenticity on the copy and annotate on the top i or bottom of each page of the document "TO BE USED AS ORIGINAL",

i sign and date. '

5.2.7.2 In the event that a page, pages, or an entire document is lost, i or inadvertently destroyed and there is no acceptable

! reproducable copy available, the record originator shall be so j informed. The record originator shall assess the conditions and

! alternatives. If new documentation is not provided then a l written assessment shall be approved by the final signature l authority and submitted to the RIC. RIC shall retain the assessment in place of the missing record.

l 5.2.7.3 In the event that a procedure page or document used to record i data or information becomes unusable due to damage, contamination t- or changes, a new page may be used and the information copied I. onto the new page. This information shall be the same as on the i original page.* The new page shall be inserted into the correct place in the procedure and the damaged page (if available) shall be stapled to the back of the procedure for audit purposes, along

with the details substantiating the recreation.

5.3 Records Identification 5.3.1 The responsibility for the identification of a record rests with

! the Releasing Organization. As documents are generated or l received at Rancho Seco, the Releasing Organization shall review l the Record Type List (RTL) to determine if the document type has been previously identified. If not, and if the document is identified as a Record, the Releasing Organization through the

, Records Coordinator shall notify the RIC to have it added to the j RTL.

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{ 5.3.2 Upon notification of a new Record type, the RIC Records

! Management Specialist shall meet with the Records Coordinator to

] determine record conventions prior to the transmittal of the i record. A Conventions Form may be prepared to provide

! instruction and information relating to classification, I

pre-prep / prepping, indexing, data entry, storage and retrieval of records.

• A notation shall be made on the new page that it is l l " RECREATED TO REPLACE ORIGINAL", signed and dated. i I

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i SMUO, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 f

i REVISION: 0 NUCLEAR RECORDS MANAGEMENT PAGE 8 0F 23 i 5.3.3 The Records Type List shall be published monthly, sorted by

, Releasing Organization, and distributed to the appropriate

Records Coordinators for further distribution.

I j 5.3.4 Plant Correspondence i 5.3.4.1 Quality records and correspondence generated or received at i Rancho Seco which documents normal business functions shall be submitted to RIC to satisfy regulatory, historical and legal

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requirements. The centralized file maintained by RIC will facilitate expeditious retrievability and eliminate the need for j duplicate files throughout the site.

! i j 5.4 Record Storace and Control j 5.4.1 Interim Control of Documents 1

N_QJT.{,: Paragraph 5.4.1.1 applies to documents that will be retained as records whether they are " stand alone" or become part of a i package. -

5.4.1.1 Documents which have been completed and have notireceived-final r  :.r.

! review / approval shall be protected by the Releasing Organization **

i in the following manner (as a minimum):

! 5.4.1.1.1 Documents shall be stored in binders or placed in folders or envelopes for storage in steel file cabinets or on metal shelving. <

5.4.1.1.2 Documents in filing trays, desk trays, in the mail / distribution, in process review, etc., are considered to be in use. Every (

j effort should be made to protect these documents from the hazards consion in the work place (e.g.; coffee spills, cigarette burns, i weld spatter, etc.).

i 5.4.1.2 If a document does not receive final approval or signoff within

90 days of the completion of the activity, then the document

shall be afforded the protection and control of interim records

storage as specified for records in Paragraph 5.4.2.

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5.4.2 Interim Control of Records

! 5.4.2.1 Prior to establishing an interim records storage location or

! relocating an existing one, the Records coordinator shall notify i l the Records Management Supervisor. The Records Management l

Supervisor shall review the interim storage requirements, verify i the need, and determine the feasibility of the proposed j location (s).

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SMUD, NUCLEAR ORGANIZAf!ON NUM8ER: RSAP-0601 REVISION: 0 l NUCLEAR RECORDS MANAGEMENT PAGE 9 0F~ 23  !

l 5.4.2.2 After the Records Management Supervisor has approved the interim j storage location, he shall order the required equipment, monitor i its status, receipt for the equipment upon its arrival on site 1 and . insure delivery and proper set-up in the department. The

! Records Information Center shall maintain a listing of all interim record storage locations.

5.4.2.3 Records stored at the interim records storage location shall be

stored in NFPA Class C one hour file cabinets rated by

! Underwriter's Laboratories or equivalent.

! 5.4.2.4 An index of all Records and Record Packages held in interim storage shall be maintained by the Releasing Organization. This index shall include a listing of all Record / Record Packages by j Record Type.

l 5.4.2.5 An approved list of personnel authorized access to interim

! records storage will be maintained in the immediate area of the 7

cabinet or container. The responsible Group Supervisor / Manager i may grant temporary access to those not on the list.

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,.'.:-- 5;4.2.6 Records should not.be removed from interim st_orage excep.t.when .. _ ,. ; i

absolutely necessary, and shall not be left unattended. If 1 i' information on a record is required outside of the interim storage area, an "Information Copy" shall be made and marked l "Information Only" and the original record shall be returned to ~

the file as quickly as possible.

l 4 5.4.2.7 Records established and identified on the Records Type Listing shall be transferred to the Records Management organization

within one hundred twenty (120) days of completion and

, authentication.

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! 5.4.2.8 The Records Information Center shall review all interim records storage locations on an annual basis to ensure compliance with

the 120 day record transfer requirement and the provisions of l 5.4.2.3, 5.4.2.4, and 5.4.2.5 above.

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i' l 5.4.3 Records Management Storage Vault

! 5.4.3.1 The Record Management Storage Vault is physically located on the first (1st) level of the Training and Records Building. The i building is located inside the protected area of the Rancho Seco

! Nuclear Generating Station. The nuclear plant site is protected as specified by 10 CFR 73.55 and an approved Rancho Seco Security l.. Plan.

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SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601  ::

, REVISION: 0  !!

, NUCLEAR RECORDS MANAGEMENT PAGE 10 0F 23 I 5.4.3.2 The vault is a steel reinforced concrete room, 50' x 20' x 9' high, built to ANSI N45.2.9-74 standards. The roof is a 10-inch thick concrete slab with #6 robar on 10-inch center. The walls  :;

are 8 inch thick concrete with #5 and #6 rebar,18 inch 0.C. The !i j

Floor is a 4-inch thick concrete slab on grade with 6 x 6 - 10 x 10 welded fabric steel reinforcement.

i 5.4.3.3 The vault door is made of steel and has a 4-hour Underwriter Laboratories (UL) rating, with a relocking device and a three (3) j position combination lock. The door lock is a three-position

! manipulation resistant dial type, built-in combination. The vault door, and built-in lock were manufactured by Schwab Safe Company, Inc., Lafayette, Indiana. It is a Listed Relocking Device, No. A648222 for an insulated vault door with no openings or windows except the vault door opening.

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) 5.4.3.4 The vault is equipped with an early warning smoke detection system as well as an automatic Halon System and temperature humidity control systems.

5.4.4 Hard Copy Documents l'

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5.<4.4.1 The Hard Copy Documents stored in the Records Management Vault .

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include the following-

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Oversize documents j .

Illegible documents not appropriate for filming

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• Documents awaiting processing j . Documents having short-term retention requirements 5.4.4.2 Hard copy documents are stored in records storage cabinets or l containers. Each cabinet or container is assigned a number for j retrieval purposes and labeled to identify contents.

i 5.4.4.3 Labels on containers or cabinets containing hard copy documents should include the following information. 4 i.

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Audit Control Number ( ACN) (if assigned),

Record Tupe Code (if assigned),

Releasing Organization or individual name,

. Subjectd of files, i

. Location number (box number) and,  !

. Inclusive datges.

5.4.4.4. Access to and control of files are governed by the requirements listed in Enclosure 7.4.

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c SMUD, NUCLEAR ORGANIZATION NUM8ER: RSAP-0601 2 l REVISION: 0 .l;' '

j NUCLEAR RECORDS MANAGEMENT PAGE 11 0F 23 5.4.4.5 To obtain information copies of records maintained in the Records Management Storage Vault, requestors shall complete a request form (ADM-0028, Attachment 7.6).

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5.5 Final Review and Transfer of Records to RIC ,s p

5.5.1 Prior to transmitting records to the RIC, at a minimum, records 4

will be reviewed by the Record Coordinator for the following: i

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j S . S . I .1 The records are listed on the Record Tvoe List. If the records

are not listed on the RTL, they must be added prior to j transmittal in accordance with step 5.3.1.

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5.5.1.2 The records are complete includina attachments. Records shall be

reviewed to ensure all required data (e.g.; signatures, dates,

} etc.) have been completed.

l 5.5.1.3 The records aro leaible - can be easily read. Verify that the original copy 'ine-throughs have been init' aled and dated, and that white-out has not been used on the record. If a record is not legible and a legible copy cannot be obtained from the '

initiator, the Releasing ~0rganization should submit a duplicate j which has been enhanced by tracing, retyping, etc. The enhanced j duplicate shall be initialed and dated in the margin adjacent to the enhanced area. The enhanced duplicate shall be attached to i the original and both processed as the record. If a better copy l is not available and the record cannot be enhanced, then the i records shall be marked "Best copy Available," initialed and dated.

5.5.2 Upon completion of the record review process, the record (s) shall be transmitted by the Releasing Organization on a Records l

i Transmittal Form (ADM-0026, Enclosure 7.3). Only one " record tvoe" shall be included oer transmittal.

i 5.5.2.1 The Record Type Number as indicated on the Record Type List will be identified. A description of the Record / Record Package and the page count for each Record / Record Package shall be indicated.

! 5.5.2.2 The Transmittal Form shall be signed by the Supervisor or his designated alternate (usually the Records Coordinator) certifying the records are complete and accurate as transmitted, and will l

serve as the index of those records transmitted to the RIC.

l 5.5.2.3 The Releasing Organization should retain a copy of the completed l

i Records Transmittal Form as a suspense copy in their files.

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1 SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 REVISION: 0 NUCLEAR RECORDS MANAGEMENT PAGE 12 0F ' 23

5.5.2.4 The Transmittal Form and the associated records shall be secured and placed in an envelope or records storage box and transported 2

to the Records Information Center.

5.5.3 After verification of identified, document receipt, acceptance by

RIC, and completion of RIC processing a copy of the Transmittal Form is returned to the Releasing Organization confirming receipt of the records and the RIC Assigned Box Number.-

5.6 Correctino a Record 5.6.1 In the event that a record must be changed, corrected, supplemented or updated and the normal process for the record does not provide for revision, then a Rancho Seco Record Correction Notice (ADM-0027) shall be used. Attachment 7.5

provides an example of the form and the instructions for completing the form.

! 5.6.2 The originator of the change shall be responsible for completing the form.

5.6.3 The Record ~ Correction Notice shall be transmitted to RIC in" the same manner as the original Record Type.

l 5.7 Disposition / Destruction 5.7.1 Disposition of records shall be in accordance with the Record Type List retention criteria and related Records Management procedures.

5.7.2 Records listed in ANI/MAELU Bulletin 80-1A, Revision 2 shal'1 be i

retained for the life of the Nuclear Liability-Policy, plus the subsequent 10-year discovery period.

i 5.7.3 The hardcopy records which have been microfilnwd will be stored at a predetermined downtown SMUD facility for six (6) months after indexing and microfilm quality have been verified. At the

end of the six month period, the hardcopy will be destroyed j

unless the hard copy records are required for pending litigation.

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! 5.7.4 All microfilm masters of site records shall be archival quality l and receive dual storage. One microfilm master shall be retained i j in the Records Storage vault on site, and one shall be retained '

in a remote off-site facility approved by RIC.

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l SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 REVISION: 0 NUCLEAR RECORDS MANAGEMENT PAGE 13 0F 23 5.8 Trainino 5.8.1 The RIC shall conduct a group briefing for all Record Coordinators on any changes .to RSAP-0601 prior to the issuance of the revision. The RIC shall provide additional training to the Records Coordinators as deemed appropriate /necessary by the Record Management Supervisor. The Records Coordinators shall insure that everyone within the Releasing Organization is aware of the changes.

6.0 RECORCS 6.1 The following-documents and copies of related correspondence completed as a result of this procedure are records and shall be retained by Records Management.

6.1.1 Records Transmittal j i

6.1. 2 Record Correction Notice 6 .1. 3, Interim Records Storage Review Checklist 7.0 ATTACHMEM15 7.1 RMS Overview Flow Diagram' '

7.2 Standards and Guidelines for Record Preparation and Handling 7.3 Records Transmittal Form 7.4 Access to and Control of the Records Management Vault 7.5 Rancho Seco Records Correction Notice 7.6 Duplication Request for Records 7.7 Interim Rdcords Storage' Review Checklist i'

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SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 REVISION: 0 NUCLEAR RECORDS MANAGEMENT PAGE 14 0F 23 ATTACHMENT 7.1 RECORDS MANAGEMENT SYSTEM OVERVIEW FLOW DIAGRAM RECORD ORIGINATOR l RECORDS MANAGEMENT GROUP l

RECEIPT TEMPORARY PREPARATION RECORS DEVELOPMENT PROCESS

--* TRAIISFER --* pacCESSIIIS """* STORAGE 7N FOR MICROFILMIIIG l

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IIAROCDPY STORAGE DESTR m l0N U

MICROFILMIIIS --

McROTLM FILM DUPLICAT10Il

-* INDEXilIG --* ygggFICATION

• DISTRIBUTION STORASE e

ATTACHMENT 7.1 PAGE 1 0F 1 i

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SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 REVISION: 0 ,

NUCLEAR RECORDS MANAGEMENT PAGE 15 0F 23 ATTACHMENT 7.2 STANDARDS AND GUIDELINES FOR RECORD PREPARATION AND HANDLING

1) Records shall be prepared in black ink or black type.

2) Highlighting, erasures, correction tape or white-out shall not be used on Records.

3) Coler marking / colored ink shall not be used to record data.

4) Pages shall be identified in a manner which allows the record to be reassembled and shall be accurately numbered.

5) Pages should have a one (1/2) inch border. The left hand margin should be inch wide.

6) Records should be typewritten when possible.

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~ ~ ~ 7 )" Deletions or Changes'shall be made via Record Correction 3 Notice?.on'.bya __ .

lining out, initialing and dating.

ATTACHMENT 7.2 PAGE 1 0F 1

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t 4 SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 REVISION: 0 NUCLEAR RECORDS MANAGEMENT PAGE 16 0F 23 ATTACHMENT 7.3 RANCHO SECO NUCLEAR GENERATING STATION RECORDS TRANSMITTAL 9 RANCHO RECORD TRANSillTTAL SECO NUCLEAR GENERATINGh ST T. : --

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I CDtTFY M ftEC0ftD8 TRANSMITTED WlEN FOR RETUrfl0M N TM ltECORDS WORMATION CDtTER ARE CDPFtETE Me ACCURATE AS TRANsMffTED SiONATUIE - D ATT-AcesrTreav==: atactus av as:

sl0NATUE: DATE S10NATUE: DATE-coMMurrs y arcomes Aar met AccsPrAmts: -

! 9 vwTt c corv veuov cory rnoM nc proc Asse oRo susernet cory Aon-co2s ATTACHMENT 7.3 PAGE 1 0F 3

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l SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 REVISION: 0 NUCLEAR RECORDS MANAGEMENT PAGE 17 0F 23 ATTACHMENT 7.3

• 1. To: Pre-addressed to the records Information Center

2. Date: Date transmittal is completed ... filled in by Releasing l Organization.

• 3. Box Number: Unique box identifier assigned by RIC.

4. Releasing Organization: Official name - completed by Releasing Organization.

S. Record Coordinator: Name of Releasing Organization's Record Coordinator completed by the Releasing Organization.

6. Extension: Telephone extension of the Record Coordinator completed by the Releasing Organization.

7. Record Type Code: Taken from the record Type List.

8. Record

Title:

As listed on the Record Type List.,

9. Record

Description:

Short explanation of the record, if necessary. If it is a record package, it should have an index identifying the components of the package.

10. Dates of Record: Inclusive dates.

11. Page Count: Actual number of pages.

• 12. Verification block for RIC personnel.

13. Page Count Total: Total number of pages contained in the shipment.

14. Signature: Certifying the records are complete and accurate.

15. Date: Date of Signature.

ACCEPTED BY RIC OR REJECTED BY RIC

• 16. Signature: Certifying receipt OR

• 18. Rejection of the records.

• 17. Date: Date of acceptance OR

• 19. Rejection

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• 20. Coment: List of reasons or problems found which made the records unacceptable.

21. White Copy (original) - RIC ATTACHMENT 7.3 PAGE 2 0F 3

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. . 3 SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 REVISION: 0 NUCLEAR RECORDS MANAGEMENT PAGE 18 0F 23 ATTACHMENT 7.3 (Continued)

22. Yellow Copy - will be returned to the R.O. by the RIC

23. Pink Copy - R.O. suspense copy kept until yellow received from RIC.

• Denotes items to be completed by the RIC. All other items will be completed by the Releasing Organization.

ATTACHEMENT 7.3 PAGE 3 0F 3

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SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 REVISION: 0 NUCLEAR RECORDS MANAGEMENT PAGE 19 0F 23 ATTACHMENT 7.4 ACCESS TO AND CONTROL OF THE i i

RECORDS MANAGEMENT VAULT

1. Only authorized personnel shall be permitted in the records stor' age area.

2. Records Information Center Clerk shall control access to the vault and the handling of all files in the vault.

3. The vault door shall remain closed and locked when unattended. l

4. Only records [on the Record Type List] are permitted to be filed in the  :

vault.  !

5. Smoking is prohibited in the vault.  !

6. Food is prohibited in the vault.

7. Liquids are prohibited in the vault.

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8. Use of unauthorized electrical equipment is prohibited in the vault.

9. Aisles and doorway shall be kept clear.

10. Immediately report defective lighting or electrical equipment to the Records Clerk or the Records Management Supervisor.

11. The Records Clerk shall perform a daily inspection at the end of the work shift to ensure storage conditions are satisfactory and the vault door is properly secured.

12. An individual authorized access to the vault shall know the location of the nearest hand fire extinguisher and be aware of its operation.

ATTACHMENT 7.4 PAGE 1 0F 1

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SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 REVISION: 0 NUCLEAR RECORDS MANAGEMENT PAGE 20 0F 23 ATTACHMENT 7.5 l RANCHO SECO RECORD CORRECTION NOTICE 8 RANCHO SECO NOTICE RECORD CORRECTION

1. ORIGINAL RECORD TYPE 2. REVIEION

3. ORIGINAL RECORD NUMBER 4. ORIGMAL RECORD APPROVAL DATE 5.ORIGiMAL RECORO FORM NUMBER k EFFECTIVE DATE OF CHANGE

7. AUDIT CCmiis NUMSER (ACN) OF ORIGWAL RECOR )

8. REEL / FRAME NUMBER OF ORIGINAL RECORD OF AVARA8iE) l

9. REASON FOR CHANGE l:'

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l:

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10. NOTE: A1 TACH THE CORRECTED RECORD TO THIS FORM

11. REVIEW & APPROVAL CI;CANIZATION SIGNATURE DATE ORGAhlZATION SIGNATURE DATE

, ORGANIZATION SIGNATURE DATE 4 ORGANIZATION SIGNATURE DATE ORGANIZATION SIGNATUSS DATE ADM-0027 l

ATTACHMENT 7.5 PAGE 1 0F 2 l l

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. . t-SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 REVISION: 0 NUCLEAR RECORDS MANAGEMENT PAGE 21 0F 23 ATTACHMENT 7.5 (Continued)

RANCHO SECO RECORD CORRECTION NOTICE INSTRUCTIONS FOR COMPLETING THE RANCHO SECO RECORD CORRECTION NOTICE  :

Block Instructions

1. Enter the original record's record type name as it appears on the Records Management Group's Record Type List.

2. Enter the original record's revision number of the record (not procedure), if applicable. If there is no unique revision number enter 'N/A".

3. Enter the original record number, serial number, test procedure number, etc. If there is no unique number assigned to the record enter "N/A".

4. Enter the date of the final approval signature.-of. t.he ori. gin.al. .. -.

7, ,g_ -... .. . -

t 5. Enter the form number of the original record or "N/A" if none exists.

6. Enter the date this change will become effective. THIS DATE SHALL NOT BE ENTERED UNTIL FINAL APPROVAL TO THE CHANGE IS O8TAINED.

7. The Audit Control Number of the Original Record will be entered, and any subsequent ACNs assigned to previous corrections.

8. If the record has been microfilmed, enter the cartridge and frame number for the original record... If a Record Correction Notice-exists on film, indicate cartridge / frame number.

9. Briefly describe the reason for changing the record.

10. Attach a marked-up copy (markings shall be initialed and dated),

supplement or new copy of the record to this form. If the record was obtained from the Records Management Group vault and is stamped "Information Only" then cross the stamp out and initial and date.

11. Obtain the appropriate review and approval signatures as reauired in the original record.

ATTACHMENT 7.5 PAGE 2 0F 2

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I SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 REVISION: 0 NUCLEAR RECORDS MANAGEMENT PAGE 22 0F 23 ATTACHMENT 7.6 DUPLICATION REQUEST FOR RECORDS 9'

RECORDS INFORMATION CENTER DUPLICATION REQUEST FOR RECORDS DATE :

REQUESTOR $'S NAME :

PHONE: MAIL STOP :

DEPARTMENT :

RECORD TYPE:

TITLE:

YEAR RECORD GENERATED :

OTHER IDENTIFYING INFORMATION:

NUMBER OF COPIES REQUESTED :

FOR RECORDS MANAGEMENT USE ONLY DATE RECEIVED :  !

DATE PROCESSED : M E . comu 3u-  !

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SIGNATURE OF RECORD CLERK ADM-0028 ATTACHMENT 7.6 PAGE 1 0F 1

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SMUD, NUCLEAR ORGANIZATION NUMBER: RSAP-0601 REVISION: 0 '

NUCLEAR RECORDS MANAGEMENT PAGE 23 0F 23 ATTACHMENT 7.7 INTERIM RECORDS STORAGE REVIEW CHECKLIST INTERIM RECORDS STORAGE REVIEW CHECKLIST l4

1. ARE THE RECORDS FTORED ON APPItOVED CONTAINER WITH AT LEAST A ON* HOUR FIRE RATING ? YES _. NO _.,

2. IS ACCESS TO THE INTEMM RECollDS STORAGE YES NO CONTilOLLED 7

3. IS AN ACCESS LIST MAINTAINED IN THE IMMEDIATE YES NO -

AREA OFINTEMM llECORDS STORAGE 7 i

3

4. AllE ltECollDS REING HELD IN INTEMM RECORDS STORAGE

! FOR 120 DAYS OR LESS 7 YES _ NO _

S. IS AN INDEX MAINTAINED OF ALL llECollDS AND vf3 ltECORD PACXAGES IN INTIEM RECORDS STORAGE 7

• NO -

m O i

o &NW LOCATION OF INTERIM RECORDS STORAGE AREA:

REVIEWED SY :

- MC REPRESENTATIVE RELEASING ORGANIZATION :

i un-oon ATTACHMENT 7.7 PAGE 1 0F 1

- END f

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