ML20236P038
| ML20236P038 | |
| Person / Time | |
|---|---|
| Site: | Comanche Peak  |
| Issue date: | 02/06/1987 |
| From: | TEXAS UTILITIES ELECTRIC CO. (TU ELECTRIC) |
| To: | |
| Shared Package | |
| ML20236N530 | List:
|
| References | |
| DAP-14, NUDOCS 8708120197 | |
| Download: ML20236P038 (21) | |
Text
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TITLE DESIGN ADEQUACY PROGRAM RECORDe
-NUMBER DAP-14 Revision [ opored Date Reviewed Date Approved Date 0 F. Berthrong Ib7[6 '0/g/ [ y /op/?]~
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t TABLE OF CONTENTS Section Pace Cover Sheet ........................................ i Table of Contents .................................. 11 !
1.0 PURPOSE ....................................... 1 !
2.0 -SCOPE.......................................... 1 3.O DEFINITIONS'AND RESPONSIBILITIES .............. 2 4.0 INSTRUCTION ................................... 6 b 5.0 DOCUMENTATION ................................. 13 g i ATTACHMENTS A DOCUMENT EXCERPT COVER SHEET .................. A-1 B DOCUMENT USE CODING SHEET ..................... B-1 C EXAMPLE FILE INDEX FOR DAP DISCIPLINE FILE .... C-1 D EXAMPLE FILE CONTENT LOG ...................... D-1 ld E RECORD QUALITY REQUIREMENTS ................... E-1 ;
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l 'OMANCHE PEAK RESPONSE TEAM - DESIGN ADEQUACY PROCEDURE l
itmber: DAP-14 Titir DESIGN ADEQUACY PROGRAM Revision: 3 RECORDS 1
1.0 PURPOSE This procedure sets forth the basic requirements for the establishment, maintenance, and disposition of the CPSES Design Adequacy Program Records.
2.0 SCOPE The CPRT Program Director will be responsible for establishing and maintaining the CPRT Program Central Files to be located in the CPRT Program offices on the CPSES
. site. These files are the program master files and will ultimately contain all of the permanent records of the CPRT.
During the course of completing Discipline Specific Action Plans (DSAP) , files are required to be maintained by the DAP review team conducting the investigation. These files consist of ' records required to be turned over to the CPRT Program Director, and other files maintained for historical or reference purposes. At the time the Results Report is submitted to the Senior Review Team (SRT), the files g
containing records will be turned over to the CPRT Program Director for permanent control and retention. Other filen maintained for historical, reference, or other purposes are not records, and will not necessarily be turned over.
TN-85-6262/14 Page 1 of 14
COMANCHE PEAK RESPONSE TEAM - DESIGN ADEQUACY PROCEDURE Number.: DAP-14
Title:
DESIGN ADEQUACY PROGRAM Revision: 3
.[.s b} RECORDS The specific scope of this procedure includes the defini-tion of the types of DAP files that are to be maintained, their content, their control, and the process for transfer of information. ld '
3.0 DEFINITIONS AND RESPONSIBILITIES 3.1 Definitions 3.1.1 CPRT Central Files The CPRT Central Files are under the control of the CPRT Program Director, and will eventually serve as documentation of CPRT activities and conclusions.
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p 3.1.2 DAP General File and Discipline Files
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The two main files maintained by the DAP Program are the DAP General File and the Discipline Files.
The DAP General File contains information generically relevant to the Design Adequacy Program. Such documenta.
tion includes generic correspondence and generic source and reference material as well as all training and qualifica-tions records required by DAP-15. This file is routinely accessed and augmented during the course of the review.
The Discipline Files contain the completed work of the DAP disciplines and relevant source documentation reviewed by the DAP.
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COMANCHE PEAK RESPONSE TEAM - DESIGN ADEQUACY PROCEDURE
,s Number: DAP-14 Ti'le: DESIGN ADEGUACY PROGRAM Revision: 3
/ ) RECORDS bl
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Togetner, these files are the " working files" within the ;
context of the CPRT Program Plan until transfer to the CPRT Central File. This context of " working files" is not the same as the DSAP Working Files defined la the following section. Working Files as used in the remainder of this procedure shall refer to the DSAP Working Files as defined in the following section.
The DAP General File and the Discipline Files may contain documento that are records, as well as documents that are not records, as permitted by g this procedure.
Documents created by the DAP and required to be in the files to be turned over to the CPRT Central File shall be considered records.
3.1.3 DSAP Working Files 7 The Working Files for each Discipline Specific Action Plan
() contain in process documentation relevant to the specific DSAP.
Such documentation includes source and reference material relevant to the DSAP, DSAP specific correspon-dence, eind preliminary documents generated by the DSAP (e.g., engineering evaluations, calculations, checklists, inspection reports, safety significance evaluations, etc.)
These files are routinely accessed and augmented during the review process. DAP documentation when completed in accoruance with applicable DAP precedures is filed in the Discipline Files. For example, approved criteria lists and checklist forms are placed in the appropriate Discipline File.
A copy of such completed documentation may also be retained in the DSAP Working File. DSAP Working Files are not records.
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COMANCHE PEAK RESPONSE TEAM - DESIGN ADEQUACY PROCEDURE
(' Number: DAP-II4
Title:
DESlCN ADEGUACY PROGRAM Revision: 3 RECORDS C/
3.1.4 Records Records are documents that meet the ' requirements of Attachment E to this procedure and have one or more of the following characteristics:
o Required by this procedure or another procedure to be retaine'l as a record.
DAP h
o Required by the CPRT Program Plan or the PAGs issued by the SRT to be in the files to be turned over to the CPRT Central File.
o Any document designated by the Review Team Leader or DAP QA Manager as a record, o All documents in any subfile of the lowest level if the subfile contains any records.
73 3.2 Responsibilities e 1 j L/ i l
3.2.1 Review Team Leader I The Review Team Leader is responsible for the following: {
i o Lnsuring that DAP records are centrolled and l' organized in accordance with CPRT requirements.
o The quality and integrity of the DAP General File and Discipline Files until they are turned over g to the CTRT Program Director.
o Coordinating with the CPRT Program Director to arrange for an independent review of the Disci-pline Files in advance of submittal of the results report to the SRT. ,
I o Ensuring that the revision of each controlled DAP document in the Discipline Files is appropriate.
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- i COMANCHE PEAK RESPONSE TEAM - DESIGN ADEOUACY PROCEDURE Number: DAP-14
Title:
DESIGN ADEQUACY PROGRAM Revision: 3 RECORDS 3.2.2 DAP Manager The DAP Manager oversees the development, implementation and maintenance of the DAP records system. He controls the DAP General File and the Discipline Files.
3.3 Discipline Coordinators The Discipline Coordinators are responsible for the quality and integrity of the Working Files pertaining to their respective disciplines. During the preparation of the Results Report for a given Action Plan, the Discipline Coordinators ensure that the Discipline Files conform to the requirements of this procedure.
They shall ensure that completed DAP-produced documents are provided to the DAP Manager for inclusion in the Discipline Files and that appropriate source and reference material is forwarded to the DAP Manager for inclusion in the files in a timely manner.
They shall designate personnel to be responsible for file g maintenance. B 3.4 Reviewers Each reviewer is responsible for the identification, collection, and retention of documents used in the progress of his investigation. At the conclusion of review efforts, the reviewers must ensure that all documents used to directly support the'results or conclusions of DAP Action Plans are available for transfer to the Discipline . Files.
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1 COMANCHE PEAK RESPONSE TEAM - DESIGN ADEQUACY PROCEDURE l Number: DAP-14
Title:
DESIGN ADEQUACY PROGRAM Revision: 3 (7, RECORDS QJ Each reviewer is responsible for reviewing the documents he used during the investigation and identifying the purpose served by each document using the procedures presented herein.
4.0 INSTRUCTIONS 4.1 DSAP Workina Files The DSAP Working Files contain work in progress, and as documents are completed they are transferred to the ld Discipline Files under the control of the DAP Manager. The turned-over information will include all material upon which the conclusions of the individual Action Plan Results Reports are based, but will not incorporate irrelevant
,_ information. The Discipline Coordinator or reviewer may ld retain a copy of documents transferred to the Discipline Files.
A test of these criteria is that each conclusion in the Results Reports must be based upon information con-tained within the respective Discipline File, and equally ld important, that all documents within the Discipline File have a specific relationship with the activity involved with completing the respective Action Plan.
Bach Discipline Coordinates is responsible for ensuring that appropriate DSAP Working Files are maintained for the scope of work for which they are responsible. These files will be maintained at the location where the work is being done, or as the Discipline coordinator may direct. The lk Discipline Coordinator shall designate personnel who are responsible for file maintenance. If the work on a given DSAP is being done concurrently at more than one location, TN-85-6262/14 Page 6 of 14 b(3 l
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COMANCHE PEAK RESPONSE TEAM - DESIGN ADEQUACY PROCEDURE Number: DAP-14
Title:
DESIGN ADEQUACY PROGRAM Revision: 3 RECORDS separate files may be maintained. The separate files need not be complete in themselves. Rather, together they form the complete DSAP Working File during the performance of the work. These files will be merged into one Discipline File at the time the Results Report for the DSAP is being prepared.
Section 4.2 of this procedure presents requirements for the organization of the Discipline Files. Although Section 4.2 is required for Discipline Files, compliance is not required for work in progress (DSAP Working Files) . The :
Discipline Coordinator may use Section 4.2 as guidance, or may authorize variances with this guidance, but shall l ensure that the filing system is ultimately compatible w/th the DAP file system as defined by the DAP Manager. As information is produced or collected during the execution
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of an Action Plan, documents will be appropriately filed in the Working Files.
i In conjunction with the preparation of a given Action Plan Results Report, the cognizant Discipline Coordinator (or i designee) shall work with the DAP Manager (or his designee) l to conform the DSAP Working File with the requirements of I this procedure. It is the Discipline coordinator's responsibility to ensure that the Discipline File contains the required material and is organized in such a manner that the relationship between the information conta!ned in the file and the conclusions in the Results Report is I clear.
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, COMANCHE PEAK RESPONSE TEAM - DESIGN ADEQUACY PROCEDURE Number: DAP-14
Title:
DESIGN ADEGUACY PROGRAM Revision: 3 RECORDS
-4.2 DAP Ceneral File and Discipline Files The following guidance applies to the development of the DAP General File and the Discipline Files. The DAP General File shall contain the following minimum requirements and will be located in Berkeley except as noted below:
o Personnel qualifications and training records for personnel as required by the Program Plan and DAP Procedurdas. (These are to be located in Bethesda, MD. under the control of the DAP Training Coordinator).
o Resumes and objectivity statements for personnel as required by the Program Plan and DAP Preced-ures (maintained as records with the qualifica- ld l
tions and training records).
o DAP Procedures o
All revisions of the DAP Collective Evaluation
.O report submitted to the SRT for review and any comments received from the SRT o DIRs and Issues Records as required by DAP S (maintained in Bethesda, MD under the control of the Programmatic / Generic Implications Discipline Coordinator).
o DAP Letters, Action Memos, and Contact Log Sheets o Records and other documentation resulting from audits of the DAP and identified corrective lk l actions as specified in DAP 16 and DAP 17 '
o other documentation determined by the DAP Manager to be generally applicable to the Design Adequacy Program o The DAP Manager may direct that other information be retained in the DAP General File until completion of the DAP Collective Evaluation.
Information not required to support the conclu-sions of the Collective Evaluation shall be eliminated from the DAP General File prior to TN-85-6262/14 Page 8 of 14 O
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COMANCHE PEAK RESPONSE TEAM - DESIGN ADEQUACY PROCEDURE Number: DAP-14
Title:
DESIGN ADEQUACY PROGRAM Revision: 3
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/" RECORDS transfer to the CPRT Program Director.
Each Discipline File shall contain the following documents (as applicable):
o The respective Action Plan including all approved revisions.
o Discipline Instructions used in the implementa-tion of the DSAP o check lists, inspection reports, results of records reviews, and other documentation of the results of the implementation of procedures o Calculations and evaluations, including evalua-tions of root cause, generic implications, and safety significance i o All revisions of Action Plan Results Reports submitted to the SRT for review and any comments received from the SRT o Specific references used in performing DAP calculations, analyses, evaluations, and other activities related to the completion of the Action Plan and preparation of .the Results Report.
To reduce unnecessary bulk in the Discipline Files, codes and Standarde published text books ' and journals, and controlled documents from the CPSES Document Control Center should be minimized. However, if CPSES controlled docu-h '
ments have been marked up to document or to assist in the DAP review and the markup forms part of the basis for DAP conclusions, such markups should be maintained as part of l the Discipline File. Additionally, the " Primary Refer-
! ences" for each "C" checklist shall be retained (see Attachment C to DAP-4). Where reference material is retained, it is preferable that the retained material include the specific appropriate document identification,
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l COMANCHE PEAK RESPONSE TEAM - CESIGN ADEQUACY PROCEDURE Number: DAP-14
Title:
DESIGN ADdQUACY PROGRAM Revision: 3
,q RECORDS b
revision, actual section, and/or page(s) . If this is not practical, then the retained material should be clearly marked with source, date, and revision number. Attachment A provides a guide to be used for identifying these document excerpts. The Discipline Coordinator may retain this documentation in any file (or files) he deems appro-priate. The documentation may be attached to appropriate checklists or held in separate files.
Each document or group of documents within a completed Discipline File (i.e., at the time of approval by the SRT) must be identified as to how it was used in the evaluation.
If the applicability of the document to the DSAP Results Report would be unclear to an outside observer, then a cover sheet similar to Attachment B should be used for this purpose. It is not necessary that each document have a h separate cover sheet. Rather, it is suggested that the documents be packaged together by category of use and covered by a single sheet. If the cognizant reviewer is not able to identify how a given document was used in the evaluation, the document shall not be placed in the Discipline File. An exception is that CPRT documents (e.g., Action Plans, CPRT Procedures) do not require a cover sheet since their purpose and use are explicitly stated. The DAP Manager may approve other exceptions. The Action Plan number and the section number therein shall be noted on the coding sheet. One or more of the listed items should be marked as applicable; the "other" category may be d used to describe other uses.
Discipline coordinators may request special exemption from the requirements of this Section 4.2 where unusual condi-TN-85-6262/14 Page 10 of 14 V
COMANCHE PEAK RESPONSE TEAM - DESIGN ADEGUACY PROCEDURE !
Number: DAP- 14
Title:
DESIGN ADEGUACY PROGRAM Revision: 3 RECORDS I O tions exist (e.g., project documentation on microfilm, i
unusually large or bulky documents) . The request shall be l in written form and sent to the DAP Manager. The DAP Manager may grant such special exemptions and may specify b
any special handling cir filing requirements as he deems
- appropriate. The DAP Manager's response shall be in written form.
4.3 "'ransfer of DAP Discioline Files and DAP General File to Procram Central File l
Prior to the submittal of a DSAP Results Report to the SRT l for final approval, the appropriate Discipline File shall be submitted to the CPRT Program Director when approved by the Review Team Leader. The CPRT Program Director is responsible for a review of the files to ascertain that the files comply with CPRT requirements. This review will be completed and any noted discrepancies corrected or recon-ciled with the Review 2eam Leader prior to final SRT approval of the respective Action Plan Results Report.
The following specifies the requirements that Discipline Files must meet in order to be considered satisfactory:
o The files will be organized in accordance with the guidance provided by Section 5.0 of this procedure.
o Within each subfile, the documents will be categorized by the function they served.
Attachment B (or an alternate approved by the DAP Manager) shall be used to identify how each document or group of documents was used in completing the Action Plan except as otherwise allowed by this procedure.
o Each conclusion should be supported by documents TN-85-6262/14 Page 11 of 14
4 COMANCHE PEAK RESPONSE TEAM - DESIGN ADEQUACY PROCEDURE Number: DAP-14
Title:
DESIGN ADEOUACY PROGRAM Revision: 3 s
RECORDS contained in the files. This is particularly true for conclusions of set (e.g., a condition is acceptable because the results, as documented in the Discipline Files, fall within defined bounds, as documented in the Discipline Files).
Conclusions regarding future action required may not have supporting documentation. However, in those cases, the rationale behind a conclusion should be contained in the Results Report.
o The revision numbers of controlled documents or excerpts therefrom shall be identified and an indication given as to whether it was the current revision as of the time the Results Report was completed. If a superseded revision of a i controlled document is contained in the files, the reason for its use should be given.
After an Action Plan Results Report has been accepted by the SRT, the respective Discipline Files shall be formally accepted by the CPRT Program Director for retention and I
-(~ distribution as appropriate.
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Prior to submittal of the DAP Collective Evaluation to the SRT for final approval, the DAP File shall be submitted to the CPRT Program Director when authorized by the Review l Team Leader. The CPRT Program Director will conduct a review of the DAP File that is similar to the review of the Discipline Files.
i 4.4 DAP Historical File '
To minimize unnecessary file bulk, the CPRT Program Plan requires that only information required to substantiate and g support the conclusions of the Results Reports or Collec-tive Evaluation Report be, turned over to the CPRT.
Acquired reference material that is not necessary to support DAP Reports conclusions (e.g., a document acquired TN-85-6262/14 O Page 12 of 14
COMANCHE PEAK RESPONSE TEAM - DESIGN ADEQUACY PROCEDURE Number: DAP-14
Title:
DESIGN ADEQUACY PROGRAM Revision: 3 p RECORDS V
via an RFI which under DAP review was determined to be ,
inconsequential to the results or conclusions of the review) not be considered a will record, but may be retained by DAP as a historical file or as reference h
information.
5.0 DOCUMENTATION The DAP Manager shall develop a file index for the DAP General File and Discipline Files. The DAP General File contains information pertaining to the overall DAP Program correspondence and other generic information. Contractual information shall not be placed in any DAP file except where necessary to meet other DAP requirements, such as those in DA'P 18. d The file index should be organized so that each file has a primary file number and optional subfile identifiers.
Discipline Files shall have a file prefix, identical to the respective action plan number. Each subfile number may be designated as a records-containing file or as a non-records file. A file not otherwise designated shall be treated as a records-containing file. If a subfile contains any records, the entire subfile is to be treated as a records-containing file. Examples of Discipline File primary and subfile numbers organized into a file index are shown in Attachment C. Each primary or subfile shown on the file index contains a file content log. Attachment D is an example file content log. The file content log contains space for a sequential number (starting with 1) for each file /subfile, the applicable revision and date, and a brief ld description of the item. Where applicable, drawing numbers, TN-85-6262/14 Page 13 of 14
4 COMANCHE PEAK RESPONSE TEAM - DESIGN ADEQUACY PROCEDURE Number: DAP-14
Title:
DESIGN ADEGUACY PROGRAM Revision: 3
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, RECORDS Q
inspection report numbers, etc., should be used in the file content log to adequately identify the item. The file number and content log sequential number are to be placed on the first page of each document contained in the files.
All DAP Records which are created by DAP after August 1, 1986, shall meet the Record Quality Requirements of Attachment E at the time the document / record is approved.
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TN-85-6262/14 Page 14 of 14
ATTACHMENT A l
-j DOCUMENT EXCERPT COVER SHEET l
t The attached is an excerpt from the following document:
Title:
)
Document ~ Number: l l Revision:
Date of revision:
Source.of document (DCC, CPRT Library, etc.): 1 Date obtained from source:
The ' above is the latest revision of the controlled IA document.
The above is not the most recent revision of the controlled document. However, it is the appropriate- '
revision for analyzing the particular CPSES feature (s) for which it was used.
Pages or sheet numbers contained in the excerpt:
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/3 ATTACHMENT B G
DOCUMENT USE CODING SHEET l ACTION PLAN NUMBER: Applicable Section:
The attached document (s) were used in completing the above Action Plan in the following way:
Provided engineering or construction details used in the formulation of inspection plans.
Examples: Controlled drawings, specifications, or procedures Served as randomly selected samples used to determine the adequacy of the design, construction or conformance to a procedure.
Examples: Construction records, as-built drawings, design documents I
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Provided the basis against which the design or construction was tested.
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Examples: Design criteria (FSAR), design specifications, desian drawings, design or construction procedures, codes or standards (ASTM, ACl, IEEE, etc.)
Document the completion of on inspection or test conducted in conformance with the Action Plan.
p Examples: CPRT QA/QC inspection reports, independent testing contractor t test records Document calculations performed as port of the Action Plan to check or verify the adequacy of the design or to check existing CPSES calculations.
Examples: Calculations performed by DAP personnel Used to establish the population from which rondom samples were selected.
Examples: Lists of documents or CPSES elements (conduits, concrete place-ments, pipe hongers, etc.) which comprise the population.
Document the communication omong the participants in the action plan.
Examples: Letters, memorando, telephone notes, meeting notes Summarize the results of the inspections and tests conducted in conformance with the Discipline Specific Action Plan.
Examples: Lists that correlate data from several sources Provide as-built information analyzed for conformance with design documents.
Examples:
As-built drawings or sketches developed by the CPSES project team, photographs or video tapes Other:
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TN-85-6262/14 B-l
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. ATTACHMENT C EXAMPLE FILE.INDEX FOR DAP DISCIPLINE FILE
-File No. Sub-File No. Description VIII.A.1 (Res'erved)
VIII.A.2 l}
Discipline' Instructions VIII.A.3' External / Internal Issues - DIRs VIII.A.4 Criteria List / Checklists VIII.A.5 Procedures / Assessments VIII.A.5a EBASco VIII.A.5b Impell VIII.A.5c TUGCo VIII.A.5d Gibbs & Hill VIII.A.6 Special Studies / Testing VIII.A.6a EBASCo
\O VIII.A.6b VIII.A.6c Impell kNCo VIII.A.6d CCL VIII.A.6e Gibbs &' Hill VIII.A.7 Implementation VIII.A.7a EBASco VIII.A.7b Impell VIII.A.7c TUGCo VIII.A.8 Summary Evaluation VIII.A.9 Miscellaneous VIII.A.10 Correspondence VIII.A.11 Source Documents
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.TN-85-6262/14 C-1
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v) l ATTACHMENT D EXAMPLE FILE CONTENT LOG FILE CONTENT LOC PREFIX: FILE: SUBFILE: '
Log !
Number Date Rev. Description ld
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' ATTACHMENT E
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RECORD QUALITY REQUIREMENTS
- 1.
The Record shall be an original document, or a copy, which when reproduced, will produce a legible copy.
2.
Any additione, corrections, comments or other changes to original records shall be properly noted in a manner that A provides traceability to the individual who made the change m and the date when it occurred.
- 3. No white-out, correction tape, or pencil shall be used.
- 4. Ink colors, other than black or red, shall not be used.
- 5. No highlighted shall be used.
- 6. The record package shall be properly bound (e.g., stapled ,.
attached to a file folder, placed in a binder, etc.)
7.
Record package contents shall be identifiable as a complete package (e.g., total page count identified on the package).
- 8. All required signatures shall be on the record.
'9.
If any annotations or changes are made to Project documents g, X(~}
that are retained in the DAP files, the individual changes '
or the cover changes sheet of the document shall indicate that such were made.
- Effective August 1, 1986.
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