ML20237J715
| ML20237J715 | |
| Person / Time | |
|---|---|
| Site: | Fort Saint Vrain  |
| Issue date: | 05/01/1987 |
| From: | PUBLIC SERVICE CO. OF COLORADO |
| To: | |
| Shared Package | |
| ML20237J664 | List: |
| References | |
| Q-18, NUDOCS 8708180302 | |
| Download: ML20237J715 (14) | |
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( o. n 33 Public FORT ST. VRAIN NUCLEAR GENERATING STATION fg Service
- PUBUC SERVICE COMPANY OF COLORADO .
1 TITLE: OA MONITORING AND AUDIT PROGRAM RESPONSIBLE .
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.-, .. Q-18 i Issue 12 Public FORT ST. VRAIN NUCLEAR GENERATING STATION Page 2 of 14-
$9tYlCO3 PUBUC SERVICE COMPANY OF COLORADO TABLE OF CONTENTS Pace .
l 1.0 PURPOSE ......................... 3 I 2.0 APPLICABILITY .. . ................... 3 l 3.0 GENERAL REQUIREMENTS ................... 3 l 4.0 PROCEDURE ........................ 4 .
l 4.1 QA Audit and Monitoring Activities ......... 4 l 4.2 Monitoring Program ................. 4 l 4.3 Audit Program ................... 5 l 4.4 Certification of Auditors ............. 7 l 4.5 Decertification Documentation ........... 7 l 4.6 Audit Records ................... 8 l
5.0 REFERENCES
........................ 8 l 6.0 ATTACHMENTS . .. . ................... 8 4 l Q-18A " Auditor Qualification Requirements" ........ 10 '
l Q-18B " Record of Lead Auditor Qualifications" ...... 13 l Q-18C " Annual Review of Auditor / Lead Auditor l Qualification Form" ................ 14 l
l 7.0 COMMITMENTS . . . .. ................... 9 O
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FORM (D)372 22 3643
Q-18 Public FORT ST. VRAIN NUCLEAR GENERATING STATION 3 f 14 SOTVlCO' PU2WC SERVICE COMPANY OF COLORADO 1.0 PURPOSE
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This procedure describes the Quality Assurance monitoring and audit practices employed by the Quality Assurance Division to verify and document conformance of activities to the requirements of the Quality Assurance Program.
2.0 APPLICABILITY This procedure applies to all activities subject to requirements of the Quality Assurance Program.
3.0 GENERAL REQUIREMENTS .
Practices employed are required to assure that:
a) A comprehensive system of planned periodic audits are employed to verify conformance of activities, procedures and instructions affecting quality to applicable requirements and to determine the effectiveness of the Quality Assurance Program, b) Audits are performed to pre-established procedures and .
checklists by trained personnel with no direct responsibility for the areas being audited.
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c) *#*See Commitment 7.1"#"
Auditors and Lead Auditors meet the requirements of ANSI N45.2.23 as described in Attachment Q-18A.
d) Audit results are documented and the results are reviewed by management responsible for the area (s) audited.
e) Any adverse audit findings are documented in accordance with APM Q-16 and are reviewed and investigated by management of the audited area to determine and schedule appropriate corrective action.
f) Follow-up actions art conducted to verify implementation of any required corrective actions.
g) Organizations subject to QA auditing and monitoring provide required access to facilities, personnel ar;d records.
FORM (D)372.:2 360
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0-18 'l "I Public. FORT ST. VRAIN NUCLEAR GENERATING STATION Pa 4 f 14 SCTVICO3 PUIUC CERVICE COMPANY CF COLORADD l 1
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4.0 PROCEDURE i 4.1 OA AUDITING AND MONITORING ACTIVITIES 4.1.1 The QA Operations Manager (QAOM) has overall responsibility.for scheduling and performing of .
sufficient formal audits to verify that the Fort i St. Vrain Quality Assurance Program is effectively i serving its intended purpose, and for assuring that the system of formal audits is supplemented by ,
monitoring actions.
4.1.2 The QA Services Manager (QASM) has primary responsibility for scheduling and performing supplier / contractor audits to evaluate and verify the capability and adequacy of supplier / contractor quality assurance programs to provide required materials and services. Requirements unique to these vendor evaluation program audits are delineated in MPRM-11, " Supplier Qualification Procedure".
4.2 MONITORING PROGRAM -
Continuing observations are utilized to verify conformance of on going operations, or work in process,,,to,_quali,ty ,-
program requ.irements. - - -
4.2.1 Monitoring activities are performed utilizing pre planned instructions. and checklists as described in the Quality' Assurance Monitoring Manual (QAMM-1).
4.2.2 Monitoring is performed by personnel who meet qualifications for auditors described in Attachment Q-18A. Auditors-in-trainirg may assist in the performance of monitoring activities.
4.2.3 Conditions adverse to quality noted during monitoring activities which are not fully documented and resolved during the monitoring
_ l actions are documented in accordance with the requirements of APM Q-16.
4.2.4 Follow-up actions, to verify effective implementation of previous corrective actions may be conducted, at the determination of QA management, in conjunction with monitoring activities as described in QAMM-1.
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FORM (c)T72 22 3643
,, Q-18 i I ,b Public FORT ST. VRAIN NUCLEAR GENERATING STATION e5 f 14 W Sorvicoo PU;UC CERVICE COMPANY OF COL"JRADD i
4.3 AUDIT PROGRAM 1
Formal FSV Project audits are performed by the Nuclear l Facility Safety Committee (NFSC), as required by Technical '
Specification AC 7.1.3, and by QA as required by 10CFR50 Appendix B, Criterion 18. Guidelines for the scheduling, preparation, performance and close-out of these audits are delinated in QAAP-1, " Guidelines for Quality Assurance and 4 Nuclear Facility Safety Committee Audits". .
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4.3.1 The QAOM is responsible for preparation and maintenance of an audit schedule that assures -
j coverage (including NFSC audits) of areas ar.d activities affecting quality at least once ever/
two years.
4.3.2 The audit system is periodically reviewed and revised as necessary to assure that audit coverage and the schedule reflect current activities.
4.3.3 The frequency and extent of audits is based on an '
area's importance-to safety, security, performance history and management changes or other changes .l which may affect quality program effectiveness.
4.3.4 The Manager, QA may require the performance of unscheduled or unannounced audits when, in his judgment, such action is justified.
4.3.5 Audits are performed by a Lead Auditor and auditors qualified as described per Attachment Q-18A using audit checklists or procedures developed prior to starting the audit. Auditors-in-training, personnel not yet qualified according to Q-18A, and l Technical Specialists may assist in the conduct of the audits. Persons having direct responsibility for an area or function are not eligible to serve as auditors for such areas or functions, nor may they be involved in selection of the audit team.
4.3.6 Lead auditors are responsible for planning each
_ audit. Audit plans are reviewed by the Supervisor, QA Auditing and QA Operations Manager, and approved by the Manager, Quality Assurance. ,
a) In order to assure the lead auditor is able to maintain the level of involvement required by ANSI N45.2.12, the lead auditor shall be {'
limited administrative 1y to performance of the lead auditor function on no more than two j r audits at the same time.
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. . Q-18 f Issue 12 Public FORT ST. VRAIN NUCLEAR GENERATING STATION Page 6 of 14 Scrylco* PUBUC SERVICE COMPANY OF COLORADO 4.3.7 The Supervisor, QA ' Auditing assures that l notification of an audit is sent to the affected l organization. Such notification includes the audit l purpose, scope, schedule and identifies the audit l team.
4.3.8 A pre-audit conference is conducted by the Lead Auditor with the QA Operations Manager, the Supervisor, QA Auditing and the affected managers, or designees to:
a) Explain the audit plan and sequence. .
b) Arrange for affected organization contacts, c) Discuss plans for the the post audit conference, based on the nature and scope of the audit.
4.3.9 During e conduct of an audit, any conditions identified requiring immediate action are promptly reported to affected managers.
4.3.10 Conditions adverse to quality identified, but not l corrected during the audit, are documented on in l accordance with the requirements of APM Q-16.
l Adverse conditions corrected during the audit are l documented as observations in the Audit Report.
4.3.11 Post audit conferences are conducted by the Lead Auditor with the QA Operations Manager, the Supervisor, QA Auditing and the affected >
organization managers or designees to review and, if required, clarify the results of the audit.
4.3.12 An audit report is prepared by the Lead Auditor, reviewed by the Supervisor, QA Auditing and the QA Operations Manager, and epproved by the Manager, QA. Copies of the report are distributed to the audited organization and the Vice President, Nuclear Operations within 30 days of the post-audit conference. .
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FORM (D)T72 22 3643
Q-18 I Public FORT ST. VRAIN NUCLEAR GENERATING STATION Pa 7 f 14 SOfVICOO PUILAC CERVICE COMPANY CF COLORAD3 1
4.4 CERTIFICATION OF AUDITORS The QAOM is responsible for providing or arranging for training required for qualification and certification of QA Auditors. Attachment 0-183 is employed to record qualification point accumulations required to permit certification. The QAOM is authorized to certify Lead Auditors and Auditors based on supporting evidence and judgment of the candidate's capability'to function as an Auditor or Lead Auditor. Certification records are maintained by the OAOM until transmitted to the Records Center. .
4.5 DECERTIFICATION DOCUMENTATION 4.5.1 The QAOM is responsible for reviewing the .
qualifications of each Lead Auditor to determine if I each is maintaining his proficiency.
a) Certification of this review is documented in the " Annual Review of Auditor / Lead Auditor Qualifications" (Attachment Q-18C).
b) Lead auditors shall maintain their proficiency through one or more of the following:
~~ 1) Fegular int acO ve participation in the audit process.
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- 2) Review and study of codes, standards, l procedures, instructions, and other !
documents related to quality assurance programs and program auditing.
- 3) Participation in training programs related to auditing functions.
c) Based on the review, the QAOM may extend the qualification of the Lead Auditor, require i retraining, or require requalification.
d) Lead Auditors who fail to maintain their proficiency for a period of two years or more shall require requalification, l
U-FORM (o)772 22 YA3
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Q-18 I Public - FORT ST. VRAIN NUCLEAR GENERATING STATION fa 8 f 14 Scrvlcoo PU2UC SERVICE C3MPANY GF COLCRADS
- 1) Requalification shall include retraining .
and reexamination per ANSI N45.2.23 -
l 1978, Paragraphs 2.3.3 and 2.3.5 !
respectively, and participation as an Auditor in at least one nuclear quality
, assurance audit.
4.6 AUDIT RECORDS The QAOM is responsible for assuring adequacy and 1 completeness of audit and monitoring records. )
Records are maintained by the QAOM until transmitted to the Records Center.
5.0 REFERENCES
5.1 FSAR -
Appendix B, " Quality Assurance Program for Plant Operation 5.2 ANSI N 45.2 -
1971, " Quality Assurance Program Requirements for Nuclear Power Plants" 5.3 ANSI N 45.2.12 -
1974, " Requirements for Auditing of Quality Assurance Programs for Nuclear Power Plants" 5.4 ANSI N 45.2.23 - 1978, " Qualification of Quality Assurance Program Audit Personnel for Nuclear Power Plants" 5.5 APM Q-7, " Control of Procured Materials, Equipment, and Services" 5.6 APM Q-16, " Corrective Action System" 5.7 QAMM-1, " Quality Assurance Monitoring Manual" 5.8 QAAP-1, " Guidelines for Quality Assurance and Nuclear Facility Safety Committee Audits" 5.9 MPRM-11. " Supplier Qualification Procedure"
_ 6.0 ATTACHMENTS 6.1 Q-18A, " Auditor Qualification Requirements" 7
6.2 Q-188, " Record of Lead Auditor Qualifications" 6.3 Q-18C, " Annual Review of Auditor / Lead Auditor Qualification Form" g ..
i FoRh4fol372 22 3643
Q-18 4 Issue 12 Public FORT ST. VRAIN NUCLEAR GENERATING STATION Page 9 of 14 l $OlVlCGC PULUC CERVICE COMPANY OF COLORAD3 7.0 COMMITMENTS The step (s) and section(s). listed below may not be deleted without issuance of comparable controls. The procedure itself, if initiated as a result of commitment corrective action, may not be deleted without issuance of comparable controls.
7.1 Step 3.0(c) is a result of commitments P-82042 and G-82008.
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FORM (D)Tf2 22 3643
Q-18
,j Attach. Q-18A Public FORT ST. VRAIN NUCLEAR GENERATING STATION Issue 12 SOTVIC30 PU UC CERVICE COMPANY CF COLORADO Page 10 of 14 AUDITOR QUALIFICATION REQUIREMENTS 1.0 Qualifications for Auditors 1.1 Auditors must possess experience or training consistent with the scope, complexity or special nature of the activities to be audited, demonstrated by past audit ,
l experience, quality assurance monitoring activities, or .
special training; or shall be given appropriate indoctrination training or orientation for specific audits to be performed.
1.2 Auditors shall be competent in the' performance of audit functions and shall have a working knowledge and understanding of ANSI N45.2, and 10CFR50, Appendix B.
Competence may be developed by one or more of the following: -
1.2.1 Orientation to ensure a working knowledge and .I understanding of ANSI N45.2, N45.2.12, and the applicable procedures for implementing the audits
, to be performed. . -
1.2.2 Training programs to provide general and specialized capability in audit performance.
General training includes: fundamentals,
. < objectives, characteristics, organization, performance and results of quality auditing.
Specialized training includes: methods of ;
examining, questioning, evaluating and documenting i specific audit items, and methods of closing out )
audit findings.
1.2.3 On-the-job training, experience, guidance, and coaching under the supervision of a qualified and certified Lead Auditor. This includes: planning, performing, reporting, and follow-up action
. involved in the conduct of audits,and monitoring activities.
1.2.4 Participation in two nuclear audits.
2.0 OualificationofaLeadAdditor 2.1 In addition to the qualifications set forth by 1.0 above, l documented records of a Lead Auditor shall exhibit the following:
i FORM (ol372 22 3643
Public' FORT ST. VRAIN NUCLEAR GENERATING STATION . u 2 SCTVICDU PU:UC CERVICE COMPANY OF col 4P.AD3 Page 11 of 14 2.1.1 Evidence that the auditor has sufficient
. experience, education and training qualifications to accumulate a minimum of ten points based on the following:
a) Education (4 Points Max.)
- 1) Associate degree (score 1 point), OR,
- 2) associate degree in engineering, physical ,
sciences, mathematics, or quality assurance (score 2 points), OR,
- 3) bachelor degree (score 2 points), OR,
- 4) bachelor degree in engineering, physical sciences, mathematics, or quality assurar.ce (score 3 points).
- 5) Score one additional point for a master degree in engineering, physical sciences, ..
business management, or quality 1 assurance.
b) Experience (9 Points Max.) -
- 1) Score one point for each full year of -
technical experience in engineering, manufacturing, construction , operations or maintenance with a maximum of five points of this type.
If two or more years of this experience have been in:
- 1. the nuclear field, score one additional point, OR,
- 11. quality assurance, score two ,
additional points, OR, !
111. auditing, score three additional points,01 nuclear quality assurance, iv. score three additional points, OR, L v. nuclear quality assurance auditing, score four additional points.
4 FORM (Dl372 22 3643
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-, . Attach. Q-18A Public FORT ST. VRAIN NUCLEAR GENERATING STATION lssue 12 SCTVICD* PUIUC CERVICE CTsMPANY CF COLORADD Page 12 of 14 k
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c) Professional Accomplishments (2 Points Max.) p/'
- 1. Upon verification of certification of competency in engineering, science or quality assurance specialties issued and approved by a State Agency, or National Professional or Technical Society, score 2 points.
d) Management (2 Points Max.) ,
- 1. A maximum of two points may be awarded by '
the employer based on candidate's work performance. Examples of factors to consider include; leadership, sound judgment, maturity, analytical ability, tenacity and QA training courses.
2.1.2 Evidence that the auditor has participated in a minimum of five nuclear quality assurance audits within the last three years, one audit of which ,
must have been performed within the year preceding his selection as an auditor.
2:I:3' The' prospective Lecd Auditor shall pass an examination which shall evaluate his comprehension of and ability to apply all the necessary skills of a Lead Auditor.
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0 FORM to)372 22 3643
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t PMPublic FORT ST. VRAIN NUCLEAR GENERATING STATION Issue Attach.
12 Q-ISB 4 6)'SOfVICD*
PUIUC CERVICE CCMPANY CF COLCRADO. Page 13 of 14 i
MRT ST, WAIN NUCWR GENERAMG STAMN Public1
$9fVIC9= - Pusuc SERVICE COMPANY OF COLORADO
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AUDITOR / LEAD AUDITOR QUAUFICATION i 1
QUAUFICATION POINT REQUIREMENTS g,,,,,,
anuCAviON . 4 CRED TS max.
C 2 YEARS COLLEGE - ( 1 2 pts. ) .
O COLLEGE DEGREE (2 3 pts. I i
C ADVANCED DEGREE (1 add 6tenelpt.) .
exPenteNcs s CRED Ts uAx.
TECHNICAL 10-5 pas. I and NUCLEAR INDUSTRY f 0 1 pt. ), or tl1UAUTY A8SURANCE i0 2pm.l.er AUDfTING ( 0 1 pt. I PROFESS 80NAL ACCOMPL8SHMENT 2 CREDITS max. , (
- t. P A
- 2. SOCIETY MANAGEMENT 2 CREDITS MAX. -
SMPLAIN: *.
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TOTAL CREDITS AUDIT COMMUNICATION SKILLS EVALUATED BY: INAME fr TITLE) ,
1
', . AUDIT TRAINING COURSES I CDURSE TITLE OR TOPsC DATE 1:
2.
AUDIT PARTICIPATION LOCATION A U D4T DATE 1
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THIS INDIVIDUAL IS CERTIFIED AS: O AUDITOR O LEAD ADF.TDM CERTIFIED BY (SaQNATWmEJ e Da T E)
ANNUAL REVIEW
-*- seaasentume ionTF sparse sserenAtumea askAATVmas icArta isar.watunsa soare P0A08 64P 372.M M l
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FORM (D)372 22 384
, Q-18 Attach. Q-ISC Public FORT ST. VRAIN NUCLEAR GENERATING STATION Issue 12 SOfVICOO PU UC SERVICE COMPANY CF COLCRADp Page 14 Of 14 Public FORT ST. VRAIN NUCLEAR GENERATING STATION 0 Service,. NSUC SERM COMPAM OF COLORAM ANNUAL REVIEW OF AUDITOR / LEAD AUDITOR QUAUFICATIONS l FOR PERIOD FROM 70 s.aas6 (Tsume s.aast 49rwnew QUAUFICATION POINT REQUIREMEftTS i l CREDfTS EDUCATION '. - - ' - * * * - - 1~- .c < -
- 4. L4Cnsatsesamma.
2 YEARS COLLEGE (f .2 ps.1 COLLEGE DEGREE C. 3am.) \
ADVANCED DEGREE If addrrenstpr.) ,
EXPERIENCE t * , . e d * > m .:*/+ - f. n e. 5e ex ~ . . ' . c ' - , '. -..s.waW9 Csesses ARam.
TECHNICAL IO 5 pm.) and NUCLEAR INDUSTRY ID. I pt.1, or OUAUTY ASSURANCE (0 2ps.1, or
'AUDmNG IO f pt.)
PROFFMaf1NAL&ACCOflSPUSHARENT *. -
- . 42 Creadmas Raam.
7-
- 1. P.L
- 2. SOCIETY ASAlgAGE REEIUT, /* ar c6 MW. . r er 4 . r . ' .r -
- v .-- . <c 4 iWW2E.resises95am:
EXPLAIN ..,
,, TOTAL CREDrt$ i m wr - =ua..cc m. ., ja..n m 7 6u ,.j ur-- ga ,, t nam.ic ar-s_nz ats"%.71.mv a._wm if 1 l
- 1. 7.
- 2. 8. .
1 - 9.
- 4. 10. _
L 11.
L 12.
g wr . .- _ __- m_- v. - .g i a.]e r. s i s wa s teu r.>.,: a on c i et .li p :in tra21,c _ .3.1 x- f-; e _j
- 4
...j
- 1. 7.
- 2. L - - - -
- 3. 9.
- 4. 10.
S. 11.
L 12.
O TRAINING RECORDS REVIEWED D AUDrT RECORD REVIEWED '- - ~-
, O WORK HISTORY REVIEWED O EDUCATION RECORD REVIEWED BASED ON ASSE"SSMENT OF THE ABOVE AREAS, THE MOFICIENCY OF AS AN AUDITOR / LEAD AUDITOR HAS / HAS NOT BEEN MAINTAINED.
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FOP.M (D)772.*2 364 1
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