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Rev 1 to Vol 1, Summary & Conclusions, to Final Rept of Independent Review Nine Mile 2 Related NRC Const Assessment Team Insps & SALP Rept & Niagara Mohawk Identified Deficiencies.
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VOLUMEIFINALREPORTOFANINDEPENDENTREVIEWOFNINEMILE2RELATEDNRCCATINSPECTIONSANDSALPREPORTANDNIAGARAMOHAWKIDENTIFIEDDEFICIENCIESSUMMARYANDCONCLUSIONSREVISION1PreparedForNIAGARAMOHAWKPOWERCORPORATION300ErieBoulevardWestSyracuse,NewYork13202March5,1985ManagementAnalysisCompanyProjectNumber:MAC-80-F138NiagaraMohawkPowerCorporationPurchaseOrderNumber:180938503ii043385p3p7PDRADOCK050004ip'PDR 1~t5 10023h0'OREWORDVolumesI,IIandIIIofthisreportweredistributedsimultaneouslytotheNuclearRegulatoryCommissionandtoNiagaraMohawkPowerCorporationonDecember26,1980.VolumeIcontainedtheExecutiveSummaryandtheSummaryandConclusionsfortheentirereport.DetailsofeachassessmentwerecontainedinVolumeIIandidentificationofeachdocumentassessed,theresultoftheassessmentandassignedresponsibilityforcorrectiveactionareshowninmatricesinVolumeIII.TheExecutiveSummaryandSummaryandConclusionsreportedcertaindatainadifferentmannerthanhadbeenpresentedorallytotheNRCandNMPC.WhilebothmethodswereconsistentwiththeresultsshowninVolumesIIandIII,theSummaryexaggeratedthepercentdeficientpreviouslyreportedforPhasesI,IIandIII.Inthesethreephases,thenumberofitemspreviouslyidentifiedbytheNRCandNMPCexceedsthenumberofdocumentsinwhichthedeficiencieswereidentified.InPhaseIVthenumberofdeficientitemsandthenumberofdocumentsareessentiallyonaone-for-onebasis.TheoriginalversionofVolumeIevaluatedallfourphasesonadocumentbasis.IfonlyoneofseveralitemscoveredbyaspecificdocumentwerefounddeficientbytheAssessmerltTeam'nimplementedcorrectiveaction,theentiredocumentwasjudgedunsatisfactory.Forexample,PhaseIconsistedof60documentscontaining365items.Basedon13of60documentsbeingdeficienttosomedegree,thepercentunsatisfactorywas22percent.Basedon38itemsof365beingdeficientthepercentunsatisfactoryis10.1percent.WhentheinformationwasfurnishedtotheNRCinameetingNovemberIO,1980andintheinterimreports,thepercentunsatisfactorywasfurnishedonthislatterbasis.Throughouttheassessment,theteammaderecommendationsintendedtoenhancetheeffectivenessofcorrectiveactiononfutureoccurrencesofsimilarconditions.Inallcaseswhererecommendationsweremade,thecommittedcorrectiveactionhadbeenimplementedandwassatisfactoryforthespecificdeficiencyidentified.Insomeinstances,reviewersofVolumeIhadtheperceptionthatthecategorization"SatisfactorywithRecommendations"equatedinsomemannerto"Unsatisfactory".Thisperceptionisincorrect.

10023h0'ntheoriginalversionofthisvolume,theresponsibilityforcorrectiveactionforPhasesI,IIandIIIwasassignedtoNiagaraMohawkeventhoughtheresponsibilityfortakingcorrectiveactionwasthatofoneofthemajorcontractors.ThisrevisionofVolumeIassignstheresponsibilityforcorrectiveactiontotheorganizationresponsibleforimplementingit.Whentheobservedconditionwasjudgedtobeunsatisfactory,aCorrectiveActionRequest(CAR)wasoriginatedbytheteam.Therewere77CARsand6ITTInspectionReportswritten,buttheseappliedtol32differentdeficiencies.ItwasnotcleartosomereviewersthataCARcouldapplytomorethanonedeficiencyandthusappearrepetitivelyinthereportagainstmorethanonedeficiency,morethanonecriterionormorethanoneofthefourphases.TheassignmentofCARstoindividualqualityassurancecriteriahasbeenreviewed.Somehavebeendeletedwheretheassessmentwasconcludedtobeinappropriate.ThetotalnumbersofCARsandIRsremainunchanged.ThereportincludedParetoanalysesrelatingtothedeficienciesintheoriginaldocumentandthoseidentifiedbytheAssessmentTeamintheirinspectionofhardwareandreviewofdocuments.Thepurposeoftheseanalyseswastoisolatetheprincipalcausesofdefi-ciencybyresponsibleorganizationandtoidentifythoseareaswherecorrectiveactioncouldbringaboutthegreatestimprovement.Themannerofdisplayingthisinformationcontributedtoconfusion,becauseinordertoprovidealargerandthereforemoremean-ingfulsample,itemsthatweredispositioned"SatisfactorywithRecommendations"and"Unsatisfactory"werecombinedtogethersolelyforthepurposeofanalysis.Thiswasanalternativetoanalyzingtheentirepopulationforeachcontractor.WordchangeshavebeenmadetomaketheanalysisofPhasesI,IIandIIIconsistentwithotherrevisionsinthereportandtoclarifytheintentofsuchcombination.Inaddition,forfurtherclarif-ication,quantitieshavebeenrestatednumericallyratherthanasapercentageofthetotalnumberofdeficiencies.Thisprovidesamorereadilyunderstoodviewoftheresults.Finally,theAssessmentTeamevaluatedcertainbutnotalloftheoverallaspectsofthequalityassuranceprogramastothedegreeofbeingsatisfactory.Suchevaluationwasbeyondthescopeoftheassignedtask,butmoreimportantlyitisnotconsideredthat suchevaluationscanbegenericallyappliedtoNMPCandthefiveprincipalsitecontrac-tors.Suchevaluationsoccurredinonly12of18areasevaluatedinSection0.0ofVolumeIandhavenowbeendeleted.Revisedareasthroughoutareidentifiedbyalineintherighthandmargin.Insummary,thepurposesoftherevisiontoVolumeIareasfollows:~PresentsummarizeddatainthesamemanneraspresentedinchartsshowntheNRCinameetingNovember10,1980andconsistentwiththemannershownininterimreports.~Assigntheresponsibilityforcorrectiveactiontotheorganizationsrequiredtoimplementit.~ClarifytheacceptabilityofcorrectiveactionsforwhichtheAssessmentTeammaderecommendations.~ClarifythatCorrectiveActionRequestsmay,andoftendo,applytomorethanonedeficiency,qualityassurancecriterion,orphaseoftheassessment.~Provideanoverallstatementontheadequacyofthecorrectiveactioneffort.~EliminateconfusionthatreviewersoftheoriginalversionofVolumeI,mayhaveexperienced.

10023h0'XECUTIVESUMMARYTheNuclearRegulatoryCommission(NRC)directedNiagaraMohawkPowerCorporation(NMPC)tohaveanindependentassessmentofcorrectiveactionimplementationandade-quacyperformed.ManagementAnalysisCompany(MAC)wascommissionedbyNMPCtoperformthisindependentassessmentofcorrectiveandpreventiveactionsrelatedtodeficienciesidentifiedbytheConstructionAppraisalTeam(CAT)report,themostrecentSystematicAssessmentofLicenseePerformance(SALP)report,NMPCanditsfivemajorsitecontractorsduringtheperiod3anuary1,1981toMarch31,1980.Theindependentassessmentwasdividedintofourphases.Interimreportswereissuedforthefirstthreephases.Thisreportincludesthefinalresultsofthefirstthreephasesandtheresultsofthefourthphase.ManyoftherecommendationsmadeintheinterimreportshavesincebeenimplementedbyNMPC.Thisreportdoesnotassesstheeffectivenessofsuchimplementationorofchangesinorganization,staffing,andprogrammadesinceMarch31,1980.Theresultsoftheassessmentshowthat96.1percentoftheitemsforwhichcorrectiveactioncommitmentsmadebyNMPCanditscontractorsoverthisperiodwereadequatelyimplemented.In9.7percentofthesecases,theMACIndependentAssessmentTeam(AssessmentTeam)maderecommendationstoenhancetheeffectivenessofcorrectiveaction.In3.9percentofthecases,thecommittedcorrectiveactionwaseithernotimplementedornotimplementedadequately.ThePhaseIInterimReportcovered38of60NRC-identifiedCATitems,forwhichtheAssessmentTeamissued6CorrectiveActionRequests(CARs).Sixty-sixCATitemswereoriginated,but6wereeithernon-safety-relatedorcombinedwithotherCATitemsreducingtheevaluatednumberto60.Theremaining22itemshavesincebeenassessed,andresultedintheissuanceof6additionalCARs.ThePhaseIIInterimReportcovered33of36NRCviolationsidentifiedintheNRCSALPreport,and15of61ConstructionDeficiencyReports(CDRs).OneCARwasissued,38NRCSALPitemswereoriginated,but2wereforthedeficienciesalreadyaddressedinCATitems,thusreducingthenumberto36.TwoSALPitemsandthreeCDRitemshave 10023h0sincebeenevaluatedbytheAssessmentTeam.NoadditionalCARswereissued.ThreeSALPitemsand06CDRitemsarestillunresolvedandrequireclosurebyNMPC,socorrectiveactioncouldnotbeconfirmed.ThePhaseIIIInterimReportcovered169of196NMPCauditfindings,forwhichfourCARswereissued.TwohundredsixteenNMPCAuditItemswereoriginated,but19wereeithernon-safety-related,coveredinanotherphaseorwereNineMile1items.Oftheremaining27items,7remainopenandrequireNMPCclosure,and20areevaluatedhere.NoadditionalCARswereoriginated.TherewasnointerimreportforPhaseIV.Itcovered2,600deficiencydocumentsforthefivemajorsitecontractors.Theevaluationshowed2,550correctiveactioncommitmentstohavebeensatisfactorilyresolved.OnehundredfiftyofthesewerejudgedSatisfactorywithadditionalactionrecommendedtoenhancecorrectiveactioneffectiveness.In90cases,thecorrectiveactionhadnotbeenimplementedadequatelyandCARswereorigi-nated.Whiletheoverallresultsoftheassessmentshowedacceptabilityin96.3percentofthecases,indicatingahighdegreeofreliabilityinimplementingcommittedcorrectiveactions,somedeficiencieswereidentifiedbytheAssessmentTeam.Acceptablecorrectiveactionhasbeencategorizedas"Satisfactory"and"SatisfactorywithRecommendations".Inbothcases,thecorrectiveactionwasimplementedandwaseffectiveforthespecificdeficiency.Analysisshowedthattheprimaryareasofdeficiencyrelatedto8ofthe18Criteriaof10CFR50,AppendixB,and5concernsrelatedtohardwaredeficiencies.Theseareasarediscussedfurtherinthefollowingparagraphs.ProrammaticDeficienciesProgrammaticdeficienciesrelatedto8ofthe18Criteriaof10CFR50,AppendixB,havebeenidentifiedasrequiringimprovement.Seventy-sevenCorrectiveActionRequests(CAR)wereoriginatedtoidentifyconditionsjudgedtobeunsatisfactoryduringtheassessments.ACARmayapplytomorethanonecriterion,deficiencyorphaseoftheassessment.

10023h0DesignControlBothNiVlPCandStoneandWebsterEngineeringCorporation(SWEC)havemadeimprove-mentsinthedesigncontrolsystem,includinginstitutingacomputerizedsystemforpostingdesignchanges,reducingthenumberofdrawingstationsandprovidingfasterdistributionofchanges.However,theassessmentpointedoutareasthatstillneedimprovement.Somedrawingsarestillnotbeingreviewedaccordingtoprocedures,designchangesarenotalwayspostedagainsteachaffecteddrawingandthenumberofchangesindicateinadequatereviewofproposedchanges.TheAssessmentTeaminitiated3CARsforthisCriterion:80.000280.006780.0072Instructions,ProceduresandDrawingsLackofappropriateproceduresandimproperproceduralimplementationhavebeenindicatedastherootcauseofmanyofthedeficiencies.Improvementshouldbemadebyincludingacceptancecriteriaandinspectionattributesininspectionplansandproce-dures.TheAssessmentTeaminitiated2CARsforthisCriterion:80.011080.0116ControlofPurchasedMaterialsSourceinspectionplanningwhichwillrequirewitnesstestingandverificationofobjec-tiveevidencehasbeencommittedtobySWECQualityAssurance(QA),buthasnotyetbeenimplemented.NMPChascommittedtoparticipate(selectively)insourceinspection.TheAssessmentTeaminitiated2CARsforthisCriterion:80.013280.0160SpecialProcessesSomeofthedeficienciesassociatedwiththerequirementsofthisCriterionhavebeencorrected.TheAssessmentTeamissuedaCARbecauseofimproperlymaintainedwelderqualificationrecords,anddatatransferredfromonequalificationrecordtoanotherwithoutcross-referenceorcertificationsignature.ReactorControls,Incorporated(RCI) 10023hOhasresolvedthisproblem.However,bothITTGrinnell(ITT)andRCIhavevisualinspectionandpenetranttestingproblemsinvolvingpiping.DeviationReports(DRs)havebeenclosedpriortocompletionofradiographyanddiscontinuitieswerelaterdisclosedrequiringanotherDRtobeissued.TheAssessmentTeaminitiated0CARsforthisCriterion:80.005080.011080.016180.0150InspectionInspectionproblemswereidentifiedthroughouteveryaspectofthisassessment.Race-wayinstallationinspectionswerenotbeingperformedinatimelymanner.Inspectionplansandprocedurescontaineddeficienciesintheacceptancecriteria.NoinspectionattributesorcriteriahadbeenprovidedforKellemgrips,separationbarriersorprotru-sionsintothecabletray.Mechanicalinspectionchecklistsforpipingdidnotreflectthelatestdesignchanges.TherewerealsoseveralinstancesinwhichfieldQualityControl(QC)inspectorsprepareddeficiencyreportsbasedonreferencedimensionsratherthanrequireddimensions.TheAssessmentTeaminitiated7CARsforthisCriterion:80.005580.006680.006980.007080.007780.010580.0138NonconformanceControlNMPC'sandSWEC'ssystemsfornonconformancecontrolhavebeenimprovedsomewhatthroughtheestablishmentofanimprovedtrainingprogramwhichencompassesmorethanjustQAandQCpersonnel.Thiswillimprovethequalityawarenessofallsiteperson-neLHowever,EngineeringandDesignCoordinationReports(ERDCRs)arestillusedtodocumentnonconformingconditions.ThetrackingsystemforNonconformanceandDispositionReports(NRDs)isineffectiveandthereisnomechanismfortrackingdispositionorimplementationofcorrectiveactionbyacontractor.TheAssessmentTeaminitiated15CARsforthisCriterion:I80.007080.009580.011080.015980.007580.010780.011580.016580.008980.010S80.010580.017280.010180.011180.0153 10023h0CorrectiveActionBothNMPCandSWEChaveproblemswiththecorrectiveactionprocess,bothintermsofdelaysinimplementationandverificationofcorrectiveaction.Responsestocorrec-tiveactionshavebeenslow.Verificationtoensurethatpreviouslyinstalleditemsmeetupdatedcriteriaislacking.TheuseofType"A"andType"C"InspectionReports(IRs)hashamperedthecorrectiveactionprocessbecauseType"A"donotnormallyincludetheactiontakenorjustificationtoclose,andType"C"willprecludetrending.Someimprovementhasbeenwitnessedintheformofrevisedproceduresandanupdatedtrendingprogram.TheAssessmentTeaminitiated19CARsforthisCriterion:80.000980.006380.010280.011980.010180.005080.007180.010580.013680.015280.005280.008880.011780.0137S0.0150S0.005880.009180.011880.0100QualityAssuranceRecordsNMPCandSWEChavebothaddressedtheproblemofdocumentcontrolandQArecordsandhaveestablishedataskforcetoreviewthisarea.However,problemsstillpersistconcerningaccessibilityandretrievabilityofalldocumentsincludingQArecords.Relateddocumentsarenotalwayscrossreferenced.ThefacilitiesforhousingmanyoftheactiveQArecordsareinadequate.One-hourfire-safecabinetsarebeingusedforpermanentrecords.Onlyaminimumnumber'ofturnoverpackageshavebeentransmittedtoNMPC.TheAssessmentTeaminitiated5CARsforthisCriterion:80.000780.005680.012080.015180.0100HardwareDeQcienciesHardware-relateddeficiencieshavebeenidentifiedinfiveareasofconcern,asdiscussedinthefollowingsections.WeldingSignificantprogresshasbeenmadeincorrectingNRC-identifieddeficienciesintheareaofweldrepairing,weldmaterialcontrolandweldingqualifications.However,theresultsofthisassessmenthaveemphasizedthatweldingqualitywasamajorproblemthroughouttheperiodassessed.Theprojectneedstoreducethenumberofundersizeweldsandimproveinitiationandmaintenanceofwelddatacardsandotherdocumentation.vIII 10023hO'ipingMostofthepipingproblemsatNMP-2canbeattributedtoITTandRCI.ITTisnotinspectingforattributessuchasconfiguration,locationandinterferenceswhichmakeitdifficulttoevaluatetheoverallconditionofthepipingprogram.Awalkdownprocedurehasbeendevelopedtoassurethatpipingattributesareinspected,butinsomecaseschecklistsforpipinginstallationsdonotcontainreferencetothelatestdesigndocu-ments.Thenewprocedurerequiresprovisionforconfigurationinspection.Thisareaneedsadditionalimprovement.PipeHangersandSupportNMPCdidnotfullyaddresstheNRCconcernregardingITTpipesupportandrestraintdeficienciesnotbeingidentifiedduringConstructionAcceptanceInspections.ITTinspectionsofpipesupportsandrestraintshavealsonotbeeneffectiveinassuringthathardwareconformstodesignrequirements.NMPCandSWEChaveinstitutedactionstoimproveITToverallperformanceinthisarea.Theeffectivenessoftheiractionsshouldbemonitoredandrevisedasnecessary.MaterialsStorageandControlSomeimprovementhasbeenmadeincorrectingNRC-identifieddeficienciesintheareaofmaterialstraceabilityandhousekeeping,buttheprimaryconcernofplantandlaydownareastorageisstillaproblem.RepeatedinspectionsoftheseareasbytheAssessmentTeamhaveindicatedthattheproblemsofintermixingofdissimilaritems,intermixingofacceptableandrejectedmaterials,storageofsafety-relatedmaterialsatalevellowerthanrequired,lackofdunnageforpackagingsensitiveitemsandprotectionfromdamageanddeteriorationtosafety-relatedequipmentcontinue.Personnelinvolvedshouldbeinformedofthenecessaryrequirementsanddisciplineestablishedandenforcedtoassurecompliance.PowerGenerationControlComplex(PGCC)TheseparationcriteriaasitrelatestothePGCCcontinuestobeaproblem.NMPCQAhasnotprovidedassurancethatthiscriteriahasbeensatisfied.ManyGEFieldDesignInstructions(FDls)andFieldDeviationDesignReports(FDDRs)remainopen.Separation 10023h0attributesarenotalwaysaccuratelyrecordedonIRs.QCcontinuestoidentifydisparitiesincableseparationsassomethingwhichcanbedonelaterbyenteringan(L)ontheIRfortrackingpurposesandsubsequentreinspection.Thisisbetterthantheformermethodofidentifyingmissedcriteriaas"later"withoutatrackingdevicetoaccomplishreinspection,butisstillinadequate.TheAssessmentTeamdeterminedthatanumberofCARsrelatedtohardwareaswellastoqualitycriteria.AnumberoftheCARsrelatedtohardwareonly.Hardware-relatedCARsarethosewhichidentifiedaconditionthatmade,orcouldmake,thehardwarenonconformingorindeterminatetoexistingspecifiedrequirementsiftheconditionhadnotbeenidentified.ThefollowinglistincludestheseCARsconsideredtobehardwarerelated.I80.000280.000380.000880.000980.0050.80.0052'80.0050S0.005580.005680.005780.005880.006280.006380.006080.006680.006980.007080.007180.007280.007380.007080.007580.008980.009080.009280.009080.010580.010780.010880.010980.011080.0115S0.011680.011780.011880.011980.013580.013780.013880.013980.010080.010580.015180.015080.015680.015780.015980.016080.0167S0.016880.016980.017180.0173I 10023hO'OLUMEITABLEOFCONTENTSSection~PaeOREWORD~~~~~~~~~~~~~~~~~~e~~~~~~~~~~~~~~~~~~~~~~~~~~FEXECUTIVESUMMARYiv1.0RODUCTION~~~~~~~~~~~~~~~~~~~~e~~~~~~~~~~~~~~~~~~~~~INT1.1Scope~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~1.2ProspectApproach1~3Overview2.0IAOrganizationofReportSUMMARYOFASSESSMENTRESULTS1-72-12.1NRCOrderItems2.1.1QualityAssuranceProgram2.1.2SiteAuditingProgram2-12-12-22.1.3Cor'rectiveActionSystem.....................2-02.1AProcurementQualityAssurance2.1.5DocumentandDesignChangeControl2.1e6RadiographicFilmQuality2.1.7ConcreteExpansionAnchors2.1.8PowerGenerationControlComplex2-72-72-92-112-122.2DisciplineAssessmentItems2.2.1Civil/Structural~~~~~~~~~~~~~~~~~~~~~~~~~~~2-132-132~2e2Electricale~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~2-102.2.3Welding/NDEl2.2AMechanical2.2.5Materials/Receiving2.3ProgrammaticItems~~~~~~~~~~~~~~~~~~~~e~~~~~~2-152-182-202-212.3.1rainingT2-212.3.2Communication2-222.3.3Inspection2-23-x1-10023h0'OLUMEISection2.0TABLEOFCONTENTS(Continued)PhaseIVSamplingAssessments20.1SamplingPlan2.0.2PhaseIVHardwareSamplingAssessmentAnalysis2.0.3PhaseIVProgrammaticSamplingAssessmentAnalysis~Pae2-202-252-262-283.0ANALYSISOFDEFICIENCYDOCUMENTS3-13.1Introduction~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~3.2NMPCAnalysis3.3SWECProgrammatic3.0SWECHardware3~5ITTProgrammatic3.6ITTHardware3-13-53-73-83-93-110.03.7JCIProgrammatic3.83CIHardware3.9RCIProgrammatic.10RCIHardware3CONCLUSIONSANDRECOMMENDATIONS0.1NRCOrderItemAssessment3-123-103-153-170-10.1.10.1.20.1.3QualityAssuranceProgramSiteAuditingProgramsCorrectiveActionSystem0-10-20-20.10DocumentControl0-30.1.50.1.6DesignChangeControlProcurementQualityAssurance~~~~~~~~~~~~~~~00-Xiit VOLUMEITABLEOFCONTENTS(Continued)Section0.1.70.1.80.1.9RadiographicFilmConcreteExpansionAnchorBoltsPowerGenerationControlComplex~~~~~~~~~~~,~~Pae0-50-60.2DisciplineAssessments0.2.1Civil/Structural-Concrete0.2.2Civil/Structural-ConcreteExpansionAnchors0.2.3Electrical/McC-PGCC0.2e0Electrical/IRC-SeismicCriteria0.2e5Welding/NDE-WeldQualityandAssociatedDocumentation~~~~~e~~~~~0.2.60.2.70.2.80.2.90.2.100.2.11Welding/NDE-WeldRepairsWelding/NDE-WeldMaterialControlWelding/NDE-WeldQualificationsWelding/NDE-WeldInspectionMechanical-PipingMechanical-PipeSupportsandRestraints~~~~~~~~~~0-90-90-100-100-110-11l0.2.12Mechanical-RCIProgramWeaknesses0.2.13Mechanical-Bolting0.2.10Materials/Receiving-BatteryRacks0.2.15Materials/Receiving-StorageandHousekeeping0.3ProgrammaticItems0.3.1Training0.3.2Communication0.3.3Inspection0.0PhaseIVSamplingAssessment-xni-~~~~~~~~e~~~~~~~~~~~0-120-120-130-130-150-I,6 10023h0'OLUMEITABLEOFCONTENTS(Continued)LISTOFFIGURES~F1mreTitleDeficiencyCodesBased18Criteria-10CFR50HardwareDeficiencyCodes~Pae.3-33 XLV-10023h

01.0INTRODUCTION

SCOPEAspartofitsordermodifyingtheconstructionpermitfortheNineMilePointUnit2(NMP-2)nuclearstation,theNuclearRegulatoryCommission(NRC)directedNiagaraMohawkPowerCorporation(NMPC)tohaveanindependentassessmentofcorrectiveandpreventiveactionsperformed.ThisassessmentwastoaddressdeficienciesidentifiedbyrecentNRCinspectionsandbyNMPCanditssitecontractorsbetweenJanuary1,1981,whenconstructionwasresumed,andMarch31,1980,whenarestructuredqualityassurance(QA)organizationwasinplace.ActualrestructuringbeganinJanuary1980.TheNRCspecificallydirectedNMPCtoaddressthecorrectiveactioncommit-mentsmadeinresponsetotheConstructionAppraisalTeam(CAT)reportofJanuary31,1980,themostrecentSystematicAssessmentofLicenseePerformance(SALP)report,deficienciesidentifiedbyNMPCasaresultofitsownsurveillanceandauditactivities,anddeficienciesidentifiedbythemajorsitecontractors:StoneandWebsterEngineeringCorporation(SWEC),ITTGrinnellIndustrialPiping,Incorporated(ITT),ReactorControls,Incorporated(RCI),GeneralElectric(GE),andJohnsonControls,Incorporated(JCI).ManagementAnalysisCompany(MAC)wascommissionedbyNMPCtoperformanindependentreviewofcorrectiveactioncommitmentsandimplementationsforprogramdeficienciesandnonconformancesfortheperiodJanuary1,1981throughMarch31,1980.Thepurposeofthisreviewwastodeterminewhethertheunderlyingorfundamentalcausesforthedeficiencieshadbeencorrectlyidentified,andwhethercorrectiveandpreventiveactionshaveadequatelyaddressedtheunderlyingandfundamentalcausesandresolvedthedeficiencies.12PROJECTAPPROACHAnalysisofthetaskdefinedbytheNRCmadeitevidentthattheworkcouldbedividedintofourphases:thefirsttwodirectedto.NRCfindingsandconcerns,thethirdtoNMPCsurveillanceandaudits,andthefourthtodeficienciesidentifiedbythemajorsitecontiactors.Muchoftheworkofthevariousphaseswasactuallyperformedinparallel.MACassembleda 10023h0teamofhighlyqualifiedpersonneltoperformtheassessmentfromitsownstaffandfromotherconsultingandengineeringorganizations.ThisIndependentAssessmentTeam(AssessmentTeam)wasmadeupofindividualswithnopreviousinvolvementatNMP-2.Eachteammemberhadtechnicalexpertiseinoneormoreofthefollowingdisciplines:~Civil/Structural~Electrical/InstrumentationandControls(IRC)~Welding/NondestructiveExamination(NDE)~Mechanical~MaterialandReceiving~SoftwareAsmanyas05professionalswereusedoveranapproximate6-monthperiod,withanaverageof36personsthroughouttheassessment.TheAssessmentTeamaveraged13yearsofnuclearexperienceandhadatotalof1,007yearsofaccumulatedprofessionalexperience.Teammembersreviewedatotalof2,900documentsandrelatedcorrectiveactioncommitments.Ofthetotal,1,920documentsrelatedtocorrectedphysicalcomponents,systemsorstructures,whichwereassessedforconformancetospecifiedrequirementsaswellasforcorrectionoftheidentifieddeficiencies.Deficienciesweresegregatedbydiscipline(e.g.,mechanical,electrical,civil/structural)andassignedthroughdisciplineleaderstoindividualteammembersforevaluation.TheAssessmentTeamevaluatedthecorrectiveandpreventiveactionsthatNMPCoritsappropriatecontractorconsideredadequatetoresolvethedeficiency.DeficienciesidentifiedbytheNRCCATinspection,SALPassessmentandbyNMPCauditandsurveillanceactivitieswere100percentevaluated.Becauseoftherelativelylargenumberofdeficienciesidentifiedbythesitecontractorsovertheperiodinquestion,astatisticalsamplingplanwasusedtoidentifythedeficienciestobeevaluated.Thedeficiencieswereidentifiedasprogram-maticorhardware-relatedandfurtherseparatedbydiscipline.

10023hO1-3Thedeficienciesineachspecificdisciplineidentifiedbyeachspecificcontractorconstitutedalot.EachlotwassampledatnormalsamplinglevelsinaccordancewithMIL-STD-105D,TablesI,IIAandVIIA,(withthemodifi-cationthatpopulationsunder100were100percentinspected)toachievea95percentconfidencelevelthat95percentofthelotwasofadequatequality.Ifthesampleconfirmedthattherequiredlevelofqualityhadbeenmaintained,thelotwasconsideredacceptableandnofurtherreinspectionwasrequired.Ifthesampledisclosedthattherequiredlevelofqualityhadnot'eenmaintained,thesamplesizewasincreasedtotightenedsampling.Iftightenedalsoshowedthatthedesiredqualitylevelhadnotbeenobtained,theAssessmentTeammaderecommendationsforimprovementwhicharecontainedinthisreport.TheAssessmentTeam'seffortconsistedofathoroughreviewofthestatedcorrectiveandpreventiveactionandstatedorimpliedrootcause;interviewswithresponsiblepersonnel;reviewofdesign,appropriateprocesses,acceptancecriteriaandmethods;evaluationofrelatedproceduresandotherdocumentation;andevaluationofpersonnelskillrequirementsandqualifications.TheAssessmentTeamperformed.sufficientreinspectionofaffectedhardwaretodeterminewhetherthecorrectiveactionhadbeenimplementedasstated,andwhetherithadbeenappropriatelyappliedonagenericbasissuchaswouldprecluderecurrenceofalikeproblemondifferentitemsofhardwareordocumentation.ReinspectioncoincidedwithareviewofQAdocumentsprovidingacceptancecriteria,e.g.,procedures,designdrawings,specifications,checklists,inspectioninstructionsusedinperformingtheoriginalqualityassessment,andthosedocumentspertainingtocorrectiveandpreventivemeasuresafterthedeficiencywasidentified.Requiredphysicalinspectionswereperformedbypersonnelqualifiedintheappropriatediscipline.Correctiveactionrelatingtoanydeficiencywasevaluatedas"Satisfactory","SatisfactorywithRecommendation",or"Unsatisfactory".A"Satisfactory"ratingindicatedthatthefundamentalcauseofthedeficiencyhadbeencorrectlyidentifiedandthatthecorrectiveandpreventiveactionhad 10023h4adequatelyaddressedthecauseandresolvedthedeficiency.Aratingof"SatisfactorywithRecommendation"indicatedthattheaction.hadadequatelyaddressedthespecificdeficiency,buttheAssessmentTeamfeltfurtheractionwouldassistinprecludingrecurrenceoftheproblem.Correctiveactionsratedas"Unsatisfactory"werethoseforwhichthecommittedcorrectiveandpreventivemeasureshadnotbeenimplemented,'rwasineffectiveinresolvingthedeficiency.Itemsrated"Unsatisfactory"wereidentifiedonanNMPCCorrectiveActionRequest(CAR)bytheAssessmentTeamandissuedtoNMPCfordisposition.ThoseCARsoriginatedbytheAssessmentTeamwhichwereclosedbyNMPCwerealsoreviewedforadequacyofcorrectiveaction.OVERVIEWTheAssessmentTeamevaluated2,900deficiencydocuments,totaling3,390items,anddeterminedbyreviewofdocumentsandbyphysicalinspectionofaccessiblehardwareitemswhethercorrectiveandpreventiveactionhadbeentakenwhichproperlyaddressedthestateddeficiencyandwasappropriatelyandeffectivelyappliedtoprecluderecurrence.Asthefollowingfigureshows,thisreviewdisclosedthatfor96.1percentoftheitemsevaluated,thecorrectiveactionwasappropriateandcorrectedthespecificdeficiency.ThisdisclosedahighdegreeofreliabilityonthepartofNMPCanditscontractorsinimplementingcorrectiveactionascommitted.Acceptablecorrectiveactionshavebeencategorizedas"Satisfactory"and"SatisfactorywithRecommendations".Inbothcases,thecommittedcorrectiveactionwasimplementedandwaseffectiveforthespecificdeficiency.In9.7percentoftheitemsevaluated,theAssessmentTeammaderecommendationstoimprovetheeffectivenessofthecorrectiveaction.Ig 10023h0'-5TOTALITEMASSESSMENTSSATISFACTORY(SAT),SATISFACTORYWITHRECOMMENDATION(S/R),ANDUNSATISFACTORY(UNSAT)ALLCONTRACTORSSAT(2,928)86.4%UNSAT(108)S/a(>>0)Theseassessmentswerefurthercategorizedbythephaseoftheprojectinwhichtherecordswereevaluated.ThiscategorizationisshownonTable1below.TABLE1TOTALITEMASSESSMENTSBYPRO3ECTPHASEPHASEI11IHIVTOTALNumberofItemsSatisfactoryUnsatisfactoryTOTALASSESSMENTS3281911852,5503,25837,10901323651921892>60037390PercentaeBreakdownSatisfactoryUnsatisfactory10.10.52.13A3989.999.597.996.696.1 10023hOTable2showsthedistributionoftheratedassessmentsamongtheresponsibleorganizations.TABLE2!TOTALDOCUMENTASSESSMENTSBYORGANIZATIONORGANIZATIONNMPCSW'ECITT3CIRCIGETOTALNumberofDocumentsSatisfactoryUnsatisfactoryTOTALASSESSMENTS511,200890012178572,832102369191108521,282930021197582,900PercentaeBreakdownSatisfactoryUnsatisfactory98.11.93.33.92.19.30.23.796.796.197.890.099.896.3Onthisbasis,96.3percentwereassessedasbeingSatisfactoryorSatisfactorywithRecommendationand3.7percentwereUnsatisfactory.Therewassomevariationintheresultsoftheindividualphases.PhaseIitemswerefoundtobeSatisfactoryorSatisfactorywithRecommendationin328of365itemsinstances,for89.9percentofthetotal.PhaseIIcorrectiveactionwasfoundtobeSatisfactoryorSatisfactorywithRecommendationin99.5percentofthetotal.PhaseIIIitemswereSatisfactoryorSatisfactorywithRecommendationin97.9percentofthetotalassessments,andPhaseIVitemswereSatisfactoryorSatisfactorywithRecommendationin96.6percentofthetotal.TheneedforsignificantimprovementinaddressingandimplementingeffectivecorrectiveactionwasidentifiedonlyforPhaseLThoseitemsratedSatisfactorywithRecommendationconstituted35.6percentofPhaseI,6.3percentofPhaseII,20.1percentofPhaseIII,and5.7percentofPhaseIV.Ingeneral,thisindicatesthatwhilecorrectiveactionwas 10023hO'-7consideredadequateforthespecificdeficiency,amorecomprehensiveactionwouldhavebeenmoreeffectiveinprecludingrecurrenceofthedeficiencyonthesameorasimilaritem.Inotherwords,whiletheneedforsignificantimprovementsinaddressingandimplementingcorrectiveactionappliedmainlytoPhaseI,theneedtosignificantlyenhancecorrectiveactionstoimproveoveralleffectivenessisevidentforPhasesI,IIandIII.~ThoseitemsratedUnsatisfactoryconstituted10.IpercentofPhaseI,0.5percentofPhaseII,2.lpercentofPhaseIIIand3.0percentofPhaseIV.Thisshowsthatcorrectiveactionimplementationexceeded95percentineachindividualphaseexceptPhaseI.Ingeneral,thisindicatesthatwhilecorrectiveactionwasnottotallyadequateforthesespecificdeficiencies,onlyinPhaseIwastheinadequacysignificant.Whiletheoverallresultsweregenerallysatisfactory,theAssessmentTeamidentifiedspecificareaswhichshouldbeimproved.Theseareasandtheorganizationstowhichtheyapplybecomemoreevidentwhenfurtheranalysesaremadetodeterminethecausesofthe3.9percentjudgedUnsatisfactoryandthe9.7percentwherefurtheractionwasrecommendedoftheitems.CombiningdataforParetoanalysisofdeficiencydocumentswherecorrectiveactionwasjudged"SatisfactorywithRecommendations"and"Unsatisfactory"providesasamplethatidentifiesareaswhereactioninpreventingrecurrenceofdeficiencieswouldbemostbeneficial.ThisvolumeprovidescondensationsofrecommendationsmaderelativetoindividualdeficienciesinVolumeII.SatisfyingtheindividualrecommendationsinVolumeIIwillsatisfytherecommendationsmadeinthisvolume.ORGANIZATIONOFREPORTThisreportisdividedintothreevolumes.VolumeIpresentstheoverallresultsoftheassessmentandanalyses,conclusions,andrecommendationsforfurtheractionandpossibleimprovement.

10023hOVolumeIIcontainstheassessmentsofthosecorrectiveandpreventiveactionsrelatingtospecificdeficiencieswhichwerejudgedbytheAssessmentTeamtobeUnsatisfactoryorSatisfactorywithRecommendation.OwingtothelargenumberofactionsratedSatisfactory,detailedassessmentsarenotincludedinthisreport.ObjectiveevidencesupportingSatisfactoryevaluationsisavailableintheAssessmentTeam'sfiles.VolumeIIIcontainsthematricesoftheassesseditemsforPhasesI,II,IIIandIV.Eachmatrixlistsinnumericalorderthecompletionstatus,theMACdispositionofeachitem,typeofdeficiencyandinvestigativemethod.InterimReportswerepublishedbytheAssessmentTeamattheconclusionofPhasesI,IIandIII.EachoftheInterimReportsrecordedtheresultsofassessmentsofcorrectiveactionthatwerecompleteatthescheduledtimeforthereport.ThisreportincludestheupdatedresultsoftheInterimReportsforPhasesI,IIandIII,andtheresultsofthePhaseIVassessment.

10023hO'-12.0SUMMARYOFASSESSMENTRESULTSThefollowingsectionssummarizetheresultsoftheMACAssessmentTeam'sevaluation.GeneralNRCconcernsstatedintheCATandSALPreportsaread-dressed,aswellasspecificdeficienciesforwhichtheteamfoundtheimple-mentationofcorrectiveandpreventiveactionstobelessthansatisfactory.2.1NRCORDERITEMSTheNRC,initsCATandSALPreportsandOrder,identifiedsignificantpro-grammaticproblemswithNMPC'sQAprogram,specificallyinsiteauditingprograms,thecorrectiveactionsystem,ProcurementQualityAssurance(PQA),documentcontrol,designchangecontrolandtimelinessofinspectionandcor-rectionactivities.TheNRC'sOrderalsoidentifiedareasofconcerninvolvinghardware,specificallyradiographicfilm,concreteexpansionanchors,andcableinstallationinthePowerGenerationControlComplex(PGCC).TheseareaswerespecificallyaddressedinNMPC'sresponseto.theOrderdatedMay10,1980.TheyareaddressedinthisreporttotheextentthattheAssessmentTeam'sevaluationsubstantiatedorresolvedthem.2.1.1litAssuranceProamITheNRCSALPreportcitedaweaknesswithintheNMPC/SWEC/ITTQApro-gram.TheAssessmentTeamreviewedandevaluatedtheQAprogramsofsitecontractorsbymeansofinterviewsandprogram/procedureoverview.TheNMPCsiteQAprogramhasbeenstrengthened.QualityAssuranceProce-dure(QAP)19,00,"QualityAssuranceDepartmentatNineMilePointPP2",wasissuedMarch22,1980,todescribethesiteorganizationanddefineresponsibil-ities.Thesiteorganizationchartdescribestheresponsibilitiesofeachofthefourunitswhichmakeupthesiteorganization.Additionalemphasishasbeenplacedontheauditandsurveillanceprograms.SWECqualityprogramshavebeenupgraded,partlyinresponsetotheCATandSALPfindingsandpartlyasacontinuationofongoingqualityimprovementprograms.Additionalemphasishasbeenplacedonauditingandsurveillanceofconstructionactivities.Specialtaskgroupshavebeenestablishedtoinvestigate 2-210023h4problemareas.TheQualityControl(QC)staffhasbeenincreasedbyapproxi-mately20percent.Procedureshavebeenrevisedtoprovidebettercontrolofqualityactivities.ITThasincreasedthesitequalitystafftoprovidebettercoverageofconstruc-tionactivities.TheDirectorofQualityAssurance/QualityControl(QA/QC)wasassignedtheresponsibilityfordevelopingtrendreportstoidentifyproblemareasandprovideameasureofprogress.Workisunderwaytoutilizeacompu-terizedsystemforpreparingtrendreports.Thequalitydocumentationefforthasbeenupgradedandreorganized.ItnowisdirectedbyaManagerwhoreportsdirectlytotheDirector,QA/QC.ApprovalhasbeenrequestedforadditionalQAEngineers.Proceduresgoverningprojectactivitieshavebeenreviewedand,whereindi-cated,upgradedtodirectmoreattentiontoqualityandtoassurethecompletedfacilitywillconformtoestablishedrequirements.ThemeasuresnotedaboveshouldimprovequalityperformanceintheareasofconcernnotedintheSALPreport.Someproblemareaspersist,andadditionalimprovementscanbeexpectedasthelongerrangeprogramimprovementsbecomeeffective.Forexample,theresultsoftheindependentassessmentconfirmthatqualityprogramweaknessesexistedintheareasidentifiedbytheNRC.Whileimple-mentationoftheactionsnotedabovewereconfirmedbytheAssessmentTeam,itistooearlytomeasuretheeffectivenessofsuchchanges.Inaddition,theAssessmentTeammadespecificrecommendationsthat,togetherwithcontinuedemphasisonsurveillanceandaudits,shouldenhanceprogrameffectiveness.2.1.2SiteAuditinProramTheCATreportstatedthattheSWECauditingprogramwasnotsufficientanddidnoteffectivelyidentifyandresolvemajorconstructionproblems.TheAssessmentTeam'sreviewoftheSWECauditingprogramproceduresrevealedgeneraldirectivesforcompliancewithANSIN05.2.12andspecificinstructionsregardingauditformatandformsutilization.Theproceduresappearade-quateandshouldresultinaneffectiveauditsystem,ifproperlyimplemented.

10023hO'-3ActionstakentoimprovetheSWECauditprogramincludedinitiationofaprojectprocedurewhichaddressestimelyclose-outofauditobservations;increasedauditfrequencyperthe1980auditschedule;andsupplementingtheauditstaffwithtechnicalspecialistsfromoutsidethequalityorganization.Thepreventiveactionplannedisappropriate.TheAssessmentTeam,initsreviewofSWEC'sAuditFindings,notedaconsid-erablelackofobjectiveevidencethattheactionstakentoresolvethefindingswerecompleted.ExamplesincludePre-surveyASMEIIIAudit1983,C-0andSiteAudit20,1981.AdditionalSWECreporteddeficiencies,NonconformanceandDispositionReports(NRDs),andInspectionReports(IRs),havealsobeenclosedwithoutsufficientevidencethatcorrectiveactionwasverified.Therewasnoenforcedtimelimitforreplyorconclusion.FieldQualityControl(FQC)inspectorsdidnotidentifynonconformancesadequatelywhichresultedinexcessivetimespentresearchingproblemresolutions.SignificantdeficienciesintheNMPCauditprogramwereaddressedintheCATreport.TheAssessmentTeamverifiedthattheNMPCapproachtositeauditshassincebeenevaluatedandpositiveactionhasbeentakentoemphasizehard-wareinsubsequentaudits.ThisactionhasbeeninitiatedthroughdevelopmentandimplementationofnewQAprocedures.The150"openaudititems"identi-fiedbytheNRChavesincebeenclosedandreportedthroughthenewNMPCcomputerizedtrackingandtrendingsystem,andNMPChasdiscontinuedtheuseof"openaudititems".AnumberofNMPC'saudititemswereclosedwithoutverificationthatrequiredactionswereaccomplishedanddocumented.EightNMPCaudititemsfailedtoidentifyobjectiveevidencetosupportauditclosure.ManyNMPCaudititemsfailedtoidentifyadequatecorrectiveactionandactionstopreventrecurrenceofauditdeficiencies.TheNRCalsoexpressedaconcernthatinthecaseofNMPCandITTsomeauditobservationsshouldhavebeenwrittenasnonconformances,andthatthereisnotamechanisminplacetoreviewauditobservationsforsignificanceandrep'orta-bility.NMPCrevisedtheirprogramtoincludeprovisionsforreviewingauditdeficienciesforsignificance.ThisconcernwasaddressedinCATItem 2-010023h403D-83.TheAssessmentTeam'sreviewrevealedthatthelicensingproceduresassociatedwithreportingandcorrectionofdeficienciesunder10CFR50.55(e)andlOCFR,Part21,havenowbeenimplemented.ITTissuedaletterindicatingthattheManagementAuditReportwouldincludeastatementthatthe10CFR50.55(e)reviewhasbeenaccomplished.InthecaseofITT,theAssess-mentTeamrecommendsthattimelyreviewforreportabilityandcommitmentsforactionstopreventrecurrencebeaddressedbyITTinprocedurestoassurecontinuedcompliance.Auditortrainingonreportabledeficienciesshouldbereevaluated,andanyitemslackingobjectiveevidenceoflOCFR50.55(e)reviewshouldberereviewedanddocumented.ResponsetimehasbeeninordinatelylongforvendorandcontractorAuditFindingswhichresultedinAuditReportsnotbeingclosedinatimelymanner.Inoneinstance,thisresultedininadvertentuseofanunapprovedsupplier.Additionally,NMPChasacceptedcontractors'esponsestoauditfindingswith-outalwayshavingmadeacomprehensivereviewofsupportingdocumentation.TheAssessmentTeamidentifiedatleasttenNMPCaudititemsthatwerenotclosedinatimelymannerinaccordancewithproceduralrequirements.ForSWEC'sNRDs,therewereseveralinstancesofdelaysofupto70daysfromthetimethenonconformanceswerefirstdiscovereduntilthenonconformancedocumentwasprepared.SomeexamplesareSWEC'sNRDs5332,5026,5145,6903,and0801.AnexcessiveamountofdelaywasalsonotedintherevisingofConstructionManagementProcedures(CMPs).InassessingSWECSiteAudit23,oneCMPrevisionrequiredsevenmonths,anothertenmonths.Theprogramshouldbereviewedforefficiencyandtimeliness.2.1.3CorrectiveActionSstemTheNRCstatedinitsCATreportthat"correctiveactionsystemswerede-ficientwithregardtothecorrectionofnonconformancesidentifiedandtheassociateddocumentation".TheNRC'sconcernsregardingtheadequacyofNMPC'sverificationofcorrectiveactionfocusedondocumentation,timeliness,andtheeffectivenessofsurveillanceandverificationactivities.

I0023hO'-5DocumentationSomeEngineeringandDesignCoordinationReports(ERDCRs)wereusedtodocumentnonconformingconditions,asnotedinCATItem9-83.TheAssess-mentTeamfoundbyreviewoftrainingrecordsthattrainingofsiteofficepersonnel,CherryHillPQApersonnelandselectedkeypersonnelintheproperuseofthesehasbeenaccomplished.Engineeringchangesof,acceptancecriteriaarenowresolvedforCATitemdeficiencies,butFQCverificationshavenotbeenperformedtoensurethatpreviouslyinstalleditemswouldmeettherevisedcriteria.FQCverificationofpreviouslyinstalleditemsisplannedbutnotasyetimplemented.SWECissuedProjectProcedure(PP)20,SupplementNumber820-67onMarch30,l980toprovideadditionalconstructionguidancerelativetosituationsinwhichadesignchangeisissuedafteraninstallationhasbeencompletedandinspected.TheAssessmentTeamrecommendsthatallpre-viouslyissueddesigndocuments,HcDCRsandEngineeringChangeNotices(ECNs),thatidentifiednonconformingconditionsbereviewedforpotentialreportabilityunderlOCFR50.55(e)andlOCFR,Part21.TheSALPreportalsonotedproblemsinthedocumentationofcorrectiveaction.TheNRCnotedthatthedocumentationpacketshouldcontainacopyoftheinitialsurveyreportwiththeassignedconcernnumber;actionthatwasinitiatedtocorrect;lOCFR50.55(e)interimreport,ifapplicable;verifiedcor-rectiveactiontaken;finallOCFR50.55(e)report,ifapplicable,togetherwiththeNRCfinalIRwiththelineitemnoticeofclosure;andthatsuchdocumenta-tionshouldbemandatory.TheAssessmentTeamdeterminedthatalldocumen-tationpackagesprocessedoflatehavebeenverycomplete,andtheappropriatedegreeofdocumentationisnowrequired.Therefore,thisisnolongerconsid-eredaconcern.TheNRCalsoexpressedconcernthattheuseofType"C"IRsprecludetrending,andallowtraining,meetingsandmemostobeusedtocorrect'thedeficiencyratherthanpreparinganNhD.TheAssessmentTeamsubstantiatedtheiVRCconcern,andrecommendsthatType"C"IRsbeutilizedasaprogrammaticsurveillancedocumentonly.AnycorrectiveactionforhardwaredeficienciesrequiredbyaType"C"IRshouldbedispositionedusingaNRD.Itisrecom-mendedthatfurtherfollow-uponthisconcernbeinitiatedbyNMPC.CAR 2-610023hO80.0166wasissuedby'heAssessmentTeamonthetimelyclosureofSWEC'sType"C~!ftRsSWECType"A"IRsdonotnormallyindicatetheactiontakenand/orthejustifi-cationtoclosethedeficiency.Thisresultsinlittlesupportingdocumentationtoverifywhatactionsweretakentoresolvetheproblem.ThisdeficiencycontributedtoCAR80.0116regardingreworkedanchorbolts.TimelinessExcessivecontractordelaysinimplementingcommittedcorrective/preventiveactionwerenotedintheCATAssessment.AnexampleofthisisCATItem31-83.TheSALPreportalsonoteddelaysofuptoeightmonthsininitiating,resolvinganddispositioningdeficiencies.ExamplesincludeNRCItem81-13-01EandCDR81-02.TheAssessmentTeamnotedsomeinadequaciesinthetrackingsystemforNRDsrelatedtoexpeditiousclosureofopenNdcDs.ThepresentsystemforwardsacopyofthedispositionedNODtothecontractorforhisaction.Thereisnomechanismfor.trackingwhatthecontractorisdoingtoimplementthedisposi-tionandclosetheNRD.NRD-0952,forexample,hasremainedopenformorethanayearwiththecontractortakingnoactiontomakethenecessaryrepairs.TheNADlogshouldbemonitoredperiodicallyandstatusupdatesprovidedsothatNdcDscanbeclosedoutmoreexpeditiously.NRD-2928isanexampleofanNRDthathasbeensupersedednumeroustimesbecauseofchangesinconditiondetails.AneffortshouldbemadebySWEC'sFQCtoprovidecompleteinforma-tionsuchaswithsketchesidentifyingtheas-builtsituation.Theengineershouldthenconfirmthesituationsothatacompletedispositioncanbeprovidedtoresolvetheentirediscrepancy.VerificationofCorrectiveActionTheNRCnotedthatreinspectionactivitiesbycontractorsandverificationsbyNMPC'sQAhavenotbeentotallyeffective.ExamplesofthisconditionwerefoundbytheAssessmentTeaminCATItem25-83,"RCIUndersizedWelds";

10023hO'-7CATItem01-83,"WeldFillerControl";andCATItem21-83,"CivesUndersizedWelds",whichresultedintheissuanceofCARs80.0003,80.0105and80.0057.2.1.0ProcurementalitAssuranceTheiVRC'sconcernthatmaterialinspectedatthesourcepriortoreleasebySWEC-PQChasoftenbeeninnoncompliancew'ithprocurementdocumentswasassessedbyCATItem7-83.TheAssessmentTeamverifiedthatcorrectiveactionaddressedthecommitmenttorevisesourceinspectionplanningtorequirewitnesstestingandverificationofobjectiveevidence.ThepreventiveactionplansrequireforNMPCtoparticipateinsourceinspection(selectively).Theactiontaken,inadditiontoimplementationoftherecommendationsinSection0.0,shouldresolvethisconcern.TheNRCalsonotedthatalthoughtheinspectionplanforCivesSteelrequired100percentvisualexaminationinaccordancewithAWSD.l.l,beamswerefoundwithinsufficientweldmaterial.ThishasbeenaddressedinCATItem21-83.TheAssessmentTeamootedllunsatisfactoryweldsthatwereidentifiedandreportedonNdcDs,butwerethendispositioned"acceptasis".TpeAssessmentTeamhasrecommendedthat.theentirelot(notjustthosethatwereconsideredunsatisfactory)bereinspectedanddispositionsmadebyEngi-neeringtoensurethatbeamswithunsatisfactoryweldsarenotbeingusedelsewhereintheproject.2.1.5DocumentandDesinChaneControlDocumentControlThemajorNRCconcernspertainingtodocumentcontrolwere:(1)drawingswerenotbeingreviewedaccordingtoprocedures,and(2)iVMPCandSWECdidnothaveadequatecontroloverthedesignchangesystem.TheAssessmentTeamverifiedthatiVMPChasinstitutedanumberofchangesinitsdocumentcontrolsystem.Ithasestablishedacomputerizedsystemforpostingdesignchangesandreducedthenumberofdrawingstationstoaidinmorepromptdistributionofchanges.Inaddition,iVMPCestablishedataskforcetoreviewtheproblemandareviewprocessfornewdrawings.TheAssessmentTeamrecommendsthatallNMPCpermanentplantrecordsbe 2-810023hOindexed,protected,consolidatedandretrievableinaccordancewithANSIN05.2.9.Atpresent,recordsaredifficulttoaccess,astheyarekeptinseveraldifferentlocationsandindexingforretrievabilityisnotuniform.DespiteimprovementsandcontinuedattentionbyNMPCandSWEC,documentcontrolcontinuestopresentproblems.Improvementshavebeenandarebeingmadebutproblemareasstillpersist.Relateddocumentsdonotcross-referenceeachotherforeaseoftracking.TheITTprogram(s)foridentifying,voiding,superseding,invalidatingandclosingdeficiencydocumentsshouldbereevalu-ated.Inonecase,fourdifferentDRs,oneNRDandoneIRweregeneratedtoidentifyandprocessthesameproblemwhich,inthefinalanalysis,wasnotanonconformance.Averificationofdeficiencyshouldbeinitiatedoneachnonconformingconditionidentifiedinordertopreventthistypeofsituation.Thebasisforclosureofvoidedorsupersedednonconformancedocumentsshouldalsobelistedonapplicableforms.Frequentlyinsufficientorincorrectreferenceinformationanddispositiondirectionsareprovidedoncorrectiveactiondocuments,Forexample,ITTNRP-077wassubmittedtoSWECfordisposition;however,SWECreturnedsametoITTunansweredbecauseofinsufficientinformation.SWECrequestedITTtoreevaluateandprovidesupportingdataandresubmit.Thisactionneveroccurred,andtheNRDwassubsequentlyclosedbyoriginatingotherNRDs.ThereappearstobeaprogrammaticdeficiencyinITT'sNODprogram.InthespecificcaseofITT'sNRDIG-1750,theNRDwassubsequentlyrevisedfromCATIItoCATIwhentheclose-outsignaturewasappliedwithoutobtainingnewsignaturesfromthosewhopreviouslyapprovedthedisposition.Theproceduresshouldberevisedtocorrectthisproblem.ITTprocedureFQCIO.I-O,Revision15,doesnotrequiretheNODformtobefullycompletedwhenanewYidcDisissuedunlesstheNODhasbeenprocessedbyDocumentControl.ThisdeficiencyallowsNRDstobesupersededorrevisedbysubsequentNRDswithoutprovidingapapertrailtofollowtheproblem.Theprocedureshouldbeamended.

100231K'-9DesignChangeControlTheNRC'sCATreportidentifiedproblemsinthedocumentchangecontrolprogramindicatingthat"craftsandinspectorsmaynotbeusingthelatestdesigndocumentsintheperformanceoftheirwork".Italsocitedthe"highrateofdesignchangeinitiationandtheinabilitytomaintainandreviseconstructiondrawingsinatimelymannertoreflectsuchchanges".DuringtheAssessmentTeam'sreviewofdrawings,itwasnotedthatrecentchangestosomedrawingsusegenericandnon-specificterminologyinthedrawingrevisionblock.Anexampleis"(F-8,G-8)asperlatestdesigndocu-ments".Severalexamplesofthiswerenoted.Thispracticemakesitvirtuallyimpossibletoidentifywhetherallappropriatechangeshavebeenincorporated.SWECshouldberequiredtobemoreexplicitinidentificationofchangestodrawings.TheNRC'sconcernthatQCinspectionhadnotbeengiveninspectionattributestoassurethatequipment(batteryrack)installationsareconsistentwithseismicqualificationrequirementswasaddressedinCATItem2-83.ThiswasnotsubstantiatedbytheAssessmentTeam.Theinspectorproperlyinspectedtothedrawing,whichspecified"steel"bolts.Thisspecificationisconsistentwithseismicqualifications.TheAssessmentTeamconcurswithNMPC'sconclusion.TheNRC'sconcernthatinadequateproceduralcontrolexistsfortrackingallaspectsofequipmentandtheirdesignchangeswithseismicqualificationrequirementswasaddressedinCATItem2-83.NMPC'sactionsweretoidentifyandreviewexistingassembliesandconnectionsforconsistencywithseismicqualifications,andtoestablishtrackingcontrolsfordesignchangeswithseismicqualificationrequirementsinSWEC'sPP90.TheAssessmentTeamverifiedthattheseactionswereappropriateandthattheyhadbeenimplemented.2.1.6RadioahicFilmaliInitsCATreport,theNRCfoundiVMPC'sprogramforreviewandacceptanceofradiographswasdeficient.TheAssessmentTeamsubstantiatedthiscon-cern.Itfoundthattheoverallqualityoftheradiographicfilmanditshandlingwaspoor.Originalfilmwasnotavailableforthoseweldmentsthatwere L0023h0repaired,makingitimpossibletodeterminewhatareawasactuallyrepaired,oriffullcoverageoftherepairareawasobtained:Inthemajorityofcases,no"readersheet"fortheoriginalweldwasavailablewhenrepairswererequired.Theconditionofthefilmwassuchthattherewasconcernwhetherthefilmwouldremainlegibleforthedurationoftherequiredretention.Finally,therewerediscontinuitiesonsomeradiographicfilrqthatwerenotnotedontheRadiographicExamination(RT)readersheet.TheNRCnotedthatSWECIRsidentifyingradiographicproblemswerenotbeingdispositionedinatimelymanner,correctiveactionappearedinadequate,andSWEChadfailedtocontrolandmonitorthesiteradiographicactivitiesofITT.TheAssessmentTeamreviewedtheproblemandthecorrectiveactionthathadibeentaken.NMPCconducteda100percentreviewofITT'sradiographswhichhadbeenacceptedandfiledinthevaultasof3anuary1980.DeficienciesdiscoveredbyNMPCduringthereviewwerenotedonNMPC'sSurveillanceReports(SRs).AsaresultofNMPCSRs,SWECgeneratedseveralType"C"IRstotrackNMPC-identifieddeficienciesandinitiatecorrective.action.The.majorityoftheseType"C"IRs.werestillopenasofNovember1980.SWECisnowintheprocessofconductinga100percentreviewofallITTradiographs.ProblemswithradiographyprocessingandcontrolhavealsobeenidentifiedbySWEC,ITTandRCI.SurveillanceactivitiesbyNMPCandSWECarecontinuingandprogressisbeingachieved.Themajorconcernisthatnonconformancereportsarecontinuallybeinggeneratedandtheactionplanisbecomingfrag-mentedandunwieldy.ItisrecommendedthatamatrixbegeneratedforthisCATItemtoidentifytheconcernandprogresstakentoaddress/resolvetheproblem.AfilmreviewwasperformedbyNMPCinresponsetoNRCBulletin82-01and82-01,Revision1,Supplement1,whichrequired100percentreviewofshopradiographsforqualityclass1and2pipingwithwallthicknesslessthan1/2-inch.DuringNMPC'sfilmreview,enhancementproblemswerediscoveredwithregardtotwospecificradiographers.ThereviewwasconductedatboththeishopandatNMP-2.Theoriginalscopewasexpandedtoincludeallfieldradio-graphstakenwithinthetimeframethattheradiographersinquestionper-i 10023hO2-11formedworkatNMP-2.Whereverpossible,allradiographssuspectedofenhancementwerere-radiographed.Insomecasesweldswerecutoutand,inothercases,weldshadbeendeletedduetodesignchanges.However,correctiveactionwasperformedinallcases.TheAssessmentTeamreviewedallrelateddocumentationpertainingtotheenhancementproblemandalsoperformedareviewofradiographs(approx-imately150).Thisreviewconcurredthattheenhancementproblemwasinfactisolatedtothetworadiographersinquestion.Theenhancementconditionisnolongeraproblem,andtheotherradiographicproblemsalsoappeartobeintheprocessofresolution.Basedontheactiontakentodateandtheactionsinprogress,theAssessmentTeambelievesthatradiographyperformedon-sitewillmeetthequalityrequirements.\2.1.7ConcreteExsionAnchorsInitsCATreportandintheOrder,theNRCstatedthatconcreteexpansion~anchorswerenot.adequatelyset.Thiswasbasedonanobservedlossoftensionpreload,ofanERDCR'srequestfor"slippage"criteria,andstrengthdifferencesbetweentheconcreteusedinthepre-qualificationtestandthatusedinthefield.Basedonthetensiontestsperformed,SWEChasconcludedthattheboltshavebeenproperlyset.TheAssessmentTeamreviewedtherelevantdocumen-tationandconcursinthisdetermination.TheNRCalsonotedthattherewasnoinspectionattributetoassurenutsarenot"bottomingout"onthethreadsoftheconcreteexpansionanchorbolts.TheAssessmentTeamverifiedthatrevision0toSpecificationS203Cincludedanattributefor'bottomingout".Installationproceduresfor"drilled-inconcretetypeexpansionanchors"havebeenrevisedtoincludethisinspectionattribute.

10023h4PowerGenerationControlComlexTheNRC'sOrderobservedcableseparationviolationsincablesinPGCCduct-waysandcableswhichenterPGCCcontrolboards.TheAssessmentTeamfoundthatconcernsareactivelybeingaddressedbyNMPC,SWECandGEbydevelopingandimplementingsubdivisionalseparationinstructionsformodifyingtheclasslEdivisionpanelsandterminationcabinetsinvolvedinpreviouslyacceptedshoporvendorwiring.ThestatusofthisworkaccomplishedtodatewasstilluncleartotheAssess-mentTeam.ManyFieldDesignInstructions(FDls)andFieldDeviationDesignReports(FDDRs)remaintobeclosedout.Work,rcworkandrepairstillmustbeperformedthroughoutthePGCCcomplexforthereductionoreliminationofallseparationcriteriaconcerns.ItappearsthatNMPCisnotproceedingforcefullytogetGEandSWECtoresolvetheseparationcriteriaproblem.TherearenumerouschangedocumentstoresolvetheproblemsrelatedtoGEequipment,toauthorizethework,andtoverifythecompletionofwork.Aconcertedeffortmustbemadetoclose-outthedocumentationbycompletingtheprescribedwork.Specificexamplesofthisconcernarediscussedbelow.Theunderfloorracewaycovershavenotbeeninstalledforproperseparation.Attentionshouldbegiventoinstallingthecoversassoonaspossibleinthesequenceofevents.Installationofthecoversatalaterdatemaybeasignifi-cantproblem.SeparationattributesarenotalwaysaccuratelyrecordedonIRs,astheAssess-mentTeamverifiedforCATItems3-83and8-83.TheIRsweremarkedas"later"or"NR"whendivisionalseparationcriteriawerenotmet,ratherthanbeingdocumentedasnonconformances.Theuseof"NR",whichisimproper,occurredonceandisconsideredanisolatedcase.Inspectionplansnolongerallowdivisionalseparationtobeinspectedlater,buthavebeenmodifiedtoallowtheuseofan"L"(later)attributeforseparationbarrierswhichwillbetrackedbycomputerforsubsequentinspection.Powercableseparationcriteriawerenotbeingmetandwerenotbeingidenti-fiedonQAinspectionrecordsaccordingtoCATItem8-83.Theconcernwasinreferencetotheinspectionsmadeofpartialcablepulls.iVMPC'scorrective 10023h02-l3actionwastoreviseInspectionPlanN20E061AFI025torequirethatpartialcablepullsbeinspectedbackthroughthelastracewaysectionortotheextentnecessarytoassurethatthecablemetspecificationrequirements.TheAssessmentTeamverifiedandconcurredwiththeappropriatenessofthisaction.2.2DISCIPLINEASSESSMENTITEMS2.2.lCivil/StructuralGenerally,concretingactivitieswerefoundbytheNRCtobeinaccordancewiththespecificationsandapplicablerequirements,exceptforreinforcingsteelspacingviolationsinoneplacement,inadequaciesintheinspectionplanforconcretesurfacedefects,andacceptancecriteriaforunitweighttests.TheNRC'sconcernthatreinforcingsteelviolationswerenotidentifiedbySWEC'sQCInspection,andthattheretrainingsessiontopreventrecurrencewasconductedimproperlywasconfinedspecificallytooneconcreteplace-ment.Toalleviatetheconcerns,thepreplacementIRwasmarked"Unsat"andthereinforcingsteelviolationswerecorrectedpriortoconcreteplacement.Impropertrainingwas'correctedbyconductingasecondtrainingsessionrelativetoreinforcingsteelplacement.ThistrainingwasconductedbytheSWECDisciplineInspectionSupervisor.TheAssessmentTeamverifiedtheresolutionoftheconcerns.TheNRC'sconcernregardinginadequateinspectioncriteriaforconcretesur-faceinspectionswhichledtotheinstallationofplatesandequipmentoncon-cretesurfacesthathavenotbeeninspectedhasbeenresolved.AreviewofselectedSurveillanceInspectionReports(SIRs)bytheAssessmentTeamdis-closedthattherewerenosurface-mountedplateswhichcoveredvoidsorhoneycombareas.DocumentationidentifyingtheresolutionoftheconcretesurfaceinspectionconcernandtheAssessmentTeam'sconcurrencehasbeenprovidedunderCATItem.38-83.TheNRC'sconcernrelativetoadequateacceptancecriteriausedforconcreteunitweighttestshasbeenresolved.SWECEngineeringreviewedallconcreteunitweightreportsforconcreteplacementstoverifythatshielding 2-IOi0023h4requirementswereadequate,whichtheAssessmentTeamdeterminedwasanacceptableresolution.Inaddition,anewattributehasbeenaddedtotheInspectionPlanforSpecificationS203HrequiringthatSWECEngineeringwillbenotifiediftheunitweightofconcretefallsbelow138poundspercubicfoot.ResolutionofthisconcernandtheAssessmentTeam'sconcurrencehasbeendocumentedforCATItem36-83.TheNRCcitedthelackofevidenceofrepairorretestingforoneconcretetruckmixer(truck/125)whichhadfailedmixeruniformitytesting.TheAssess-mentTeam'sreviewofconcretecompressivestrengthtestreportsforaone-monthperiodafterthefailedmixeruniformitytestsubstantiatedtheacceptabilityoftheconcretethatwasusedoutofmixertruck825.AnewattributehasbeenaddedtotheSWECQAInspectionPlanforSpecificationS203Arequiringthataletterbesenttothecontractorinforminghimthatatruckwithadeficientmixercannotbeuseduntiltheunsatisfactoryconditioniscorrected.TheAssessmentTeamverifiedandconcurredwiththisresolution.2.2.2ElectricalDeficienciesinelectricalandinstrumentationconstructionidentifiedbyCATincluded(l)useofindeterminatematerialsinseismicboltingapplications,(2)lackofdocumentationforinspectionattributes,and(3)inadequateuseofprocedurescontainingappropriateacceptancecriteria.0SeismicBoltingTheNRC'sconcernthattheMotorControlCenter(MCC)seismicqualificationisnotapprovedbythevendorandthatmaterialsubstitutionsarebeingmadeon-sitewithoutthevendor'sknowledgewasaddressedinCATItem2-83.TheAssessmentTeamreviewedSWEC'sevaluationoftheNRCconcernandagreeswithitsdetermination.SWECreviewsandacceptsvendordesignsandseismicqualificationreports.SWEC,notthevendor,isresponsibleforassuringthaton-siteitemsdonotviolateseismicqualifications.Inthiscase,therewasnomaterialsubstitutionandnoviolationofseismicqualifications.CATItem2-83addressedtheNRC'sconcernthatthereisnoassurancethatthesiteas-builtMCC(materialsubstitution)isconsideredfortheseismicreport.

10023hV2-15NMPC'sactionwastoobtainarevisedvendordrawing(to,beapprovedbySWEC),andtoperformaninspectiontoverifythatcorrectboltinghadbeenused.Theseactionsweresubsequentlyfoundunnecessary,sincetheseismicanalysisshowedthattheboltsthatwerespecifiedandusedwereacceptable.Thefactthatthevendorhadusedaspecificgradeofboltinhisseismictestingwasirrelevant.TheAssessmentTeamreviewedandconcurredinthisdetermi-nation.AcceptanceCriteriaTheNRC'sconcernwithcableinstallationwhichisnotinconformancewiththeFinalSafetyAnalysisReport(FSAR)orInstituteofElectricalandElectronicEngineers(IEEE)380hasbeenaddressedinCATItem3-83.GEhastakenexceptiontotheFSARcommitmenttoRegulatoryGuide1.75,"PhysicalInde-pendenceofElectricalSystems",whichendorsesIEEEStandard384,"Trial-UseStandardCriteriaforSeparationofClasslEEquipmentandCircuits",and,insodoing,hassubmittedtotheNRCacomparisonoftheGENMP-2designtothecriteriacontainedinRegulatoryGuide1.75andIEEE380.Asofthisdate,noresponsehasbeenforthcomingfromtheNRC.TheAssessmentTeamdeter-minedthat'subjecttoNRC'sacceptanceofGE'sposition',thestatedconcernisresolved...3~/ProblemsintheWelding/NDEareaidentifiedbytheNRCinvolved1)thequalityofradiographicfilm,and2)thequalityofweldsandassociateddocumentation.ThefirstconcernwasaddressedaboveinSection2.1.7,RadiographicFilmQuality.Thesecondconcern,addressedinthissection,coversweldquality,weldingrepairs,weldmaterialcontrol,welderqualifications,andweldinspec-tion.TheNRCidentifiedalargenumberofundersizedshopweldsforsupportsbyCivesSteelinCATItem21-83.Basedonvisualinspection,15to20percentwererejectable.TheMDusedtocloseoutthedeficiencysampledonlyasmallnumberofwelds.TheAssessmentTeamrecommendsthatallsupportweldsbyCivesSteelbedispositionedbyEngineeringwhichshouldalleviatethisconcernupon'implementation.

10023h0Anumberofproblemshasbeennotedregardingwelddocumentation,includingillegiblewelder'sstencils,bypassedholdpointsonwelddatasheets,incompleteWeldMaterialRequisitions(WMRs),andConstructionCompletenessCheck-lists.Whilesomecorrectiveactionhasbeentaken,moreisnecessary.Forexample,FQCpeopleverifywelder'sstencilsandtrainingofFQCpersonnelwasinitiated,butstencilsareappliedbyweldersandtheyshouldbetrainedintheproperapplicationofthestencil.Thiswouldeliminatetheproblematitssource.Trainingisalsorequiredtoeliminatethebypassingofidentifiedholdpoints,acceleratetheorganizationofnonconformancewhenholdpointsarebypassedandinproperlyandfullycompletingWMRs,ConstructionCompletenessCheck-listsandlikedocuments.WeldRepairsTheAssessmentTeamfoundanumberofproblemswithweldrepairs,asdis-cussedinthefollowingparagraphs.Over-grindingisacommonoccurrencewhenattemptingtoremoveminordefects.Craftsshouldbeinstructednottochase(grind)defectstotheextentthatminimummaterialthicknessisvio-lated.DefectswhichcannotberemovedwithaminimumofgrindingshouldbedirectedtoEngineeingfordisposition.Allcontractorsexceedengineeringwelddesignsizewhenperformingweldrepairs.Duringreinspectionthisconditionexistedinapproximately75percentofreworkedwelds.Althoughnodistortionwasobserved,depositingmoremetalthanrequiredbydesigniscostlyintimeandmaterial.Craftsshouldbeinstructed/trainedtolimitweldsizetoEngineeringrequirements.instructionshouldbeapplicabletoinitialweld,repairandrework.ITTconsistentlyfailedtoidentifyweldrepairsaccordingtoSpecificationP30ICwhichstatesthat"eachattemptatrepairofasubjectweldwillbeidentifiedwithanRl,R2,etc.,asrequired".Onpiperestraintweldrepairs,theinterpretationofSpecificationP30lC,i.e.,replacementofweldnumbersonmajorrepairsanddeterminingwhenaweldshouldorshouldnotshowa"deleted"indicator,isinconsistent.At0 10023hO2-17SWEC'sQAprocedure,QS-9.3,specifiesthatWeldDataSheets/WeldRepairDataSheetsarenotrequiredforweldswhichdonotrequireNondestructiveExamination(NDE).Thisconditioncreateddifficultyinverifyingtheadequateclose-outofthesetypeIRs.Duetoalackofdocumentation,theAssessmentTeamhadnochoicebuttoacceptreworkofweldsbasedonvisualinspectionofcondition(ifaccessible)andinspector'ssignature.Thispracticeisalsoper-formedbyothercontractorson-site.TheAssessmentTeamdeterminedthistobeunsatisfactoryandCAR80.0110wasissued.WeldMaterialControlTheAssessmentTeamalsofoundanumberofproblemswithweldmaterialcontrol.3CIweldfillermaterialcontrolproceduresrequiretheforemanorweldertoplacetheweldnumberofthejointbeingweldedonthecarboncopyoftheWMR(QualityCategoryIonly).WhenreviewingWMRs,itisdifficulttodeterminewhereweldingwasactuallyperformedfromthesedocuments.ThecurrentRevision12ofQualityAssuranceStandard9.00hasdeletedtheabovesentencebutdidnotreplacetherequirement;therefore,theweldnumberplacementsectionisnotcoveredclearly.ThesurveillanceperformedbySWEConcontrolofweldfillermaterialisper-formedonceaweek,butthesurveillancedoesnotdistinguishbetweenCATIorCATIIwork.Therefore,manyoftheWMRsinspectedareforCATIIworkorweldertesting,etc.TheNRC'sconcernsrelativetoweldrodcontrolhavebeenaddressedinCATItemOl-83.Committedcorrectiveactionhasbeenconsid-eredinadequateandCAR80.0105hasbeeninitiated.Inaddition,minorerrorsarefrequentlymadewhencompletingWMRs.TheAssessmentTeamrecommendsaprogrammodificationtoprovidecleardefinitionofrespon-sibilitiesforqualityverification,increasedQCin-processinspectionandmoni-toring,andadditionaltrainingforcrafts.WelderQualificationsTheNRC'sconcernthat,welderqualificationsdonotmeetAmericanSocietyofMechanicalEngineers(ASME)CodeSectionIXineffectattimeofqualification 2-ISI0023h4wasaddressedinCATItem26-83.TheconditionofsomewelderqualificationrecordswasobservedbytheAssessmentTeamtobeunsatisfactoryandCAR80.0002wasgenerated.%'eldInspectionTheNRCcitedproblemsinvolvingITTinthevisualandpenetrantinspectionofpipingweldsinstainlesssteelsystems,andthevisualinspectionofweldsonpipesupports/restraints.Also,problemswiththevisualinspectionofpipingsupportweldsandthedocumentationforsomewelderqualificationswereidentifiedinactivitiesinvolvingRCI.TheAssessmentTeamfoundthatITThasonmanyoccasionsclosedDeviationReports(DRs)priortocompletionofradiography.Atalaterdate,radiographyisperformedandrejected,andanotherDRisgenerated.Thissequenceofeventsisduplicatednumeroustimes,untilanacceptableradiographisavailable.MostoftheDRsgenerateddonotreferencethepreviousDR.Insomecases,fiveorsixrepairshavebeenmadetoaweldmentforthesametypeofdiscontinuity.Inadditiontodifficultycreatedintrackingadefectiveweld,DRsdonotreceive.Engineeringdisposition.Excessiverepairstoweldjointscouldbedetrimentaltotheintegrityoftheweld.Inaddition,evaluationoftherootcauseofconditionscausingunacceptableradiographsisnotevident.TheAssessmentTeamrecommendsestablishingameansofidentifyingthecut-outorrepairstatusofaweld.Aspacefornotingtherootcauseshouldbeaddedtoformsusedtoreportweldingnonconformances.2.2.0MechanicalPipingTheNRCfoundinitsCATreportthatHeating,VentilatingandAirConditioningequipment(HVAC)andpipingrunsweregenerallyconstructedinaccordancewithapplicablerequirementsexceptintwoareas:ITTpipesupport/restraintdeficienciesnotidentifiedduringconstructionacceptanceinspections,anddeficienciesinRCI'spipingQA/QCprogram.TheNRCindicatedthatITT'sQCinspectionisnotinspectingforpipingattributessuchasconfiguration,locationLandinterferences.Thecorrectiveactionincludedafinalwalkdownprocedurethatisintendedtofurtherassuresuchpipingattributesareinspected.

I0023h02-l9However,noCATitemsassessedprovidedane'valuationoftheconfigurationinspectionsandresultantrework/repairversusconstructionprogress.CATItemI5-83evaluatedinspectionplanningandconstructionstatusbutdidnotincludeactivitiesspecifictoITT'sQCinspectionattributesoranevaluation.TheAssessmentTeam'sconclusionisthatiVMPCdidnotaddresstheissue.Theconcernsoftheissueremainunevaluated.PipingSupportsandRestraintsITT'sQCinspectionsofpipesupports/restraintshavenotbeentotallyeffectiveinassuringthathardwareconformtodesignrequirements.CATIteml0-83didpartiallyaddresstheconcernbutlimiteditselftosupport/restraintinspectionsforadequateclearance.Planningandstatusingactivitiesaffectingallcon-structionactivitieswereinitiated,butnothingspecificallyaddressedtheNRCconcern.CATItem53-83limiteditselftofilletweldsonsupports/restraintsandaddressedtheeffectivenessoftheseinspectionsonly.Theconcernoftheadequacyofpipesupport/restraintinspectionstoassurethathardwareconformtodesignrequirementsremainsunaddressedbyNMPC.RCIProgramWeaknessesTheCATreportalsoidentifiedRCIQA/QCprogramweaknessesindocumenta-tion,drawingdocumentcontrol,documentationofnonconformingconditionsandproceduraltimingofinspections.CATIteml7-83addressedseveralspecificnonconformancesidentifiedbytheNRCwhichhadalsobeenidentified'onRCINonconformanceReports(NCRs)priortotheNRCCATinspection.CATIteml8-83addressedRCIprogramweaknessesregardingtimeofinspection,establishmentofholdpointsandacceptancecriteria.CATIteml9-83addressedRCIQA/QCprogramweaknessesregarding(a)bypassingQAreviewandsubsequentactionthroughidentificationofnonconformingconditionsondocumentsotherthanthoseintendedtobeusedtoreportnonconformingconditions,and(b)failuretoaddressthecompleteproblemonreportednonconformities.CAR80.0050wasissuedtoreportRCI'sfailuretoissueNCRsandtofollowprocedures.CATItem20A-83addressedRCIQA/QCprogramweaknessesregardinglackofrequirementstoidentifyonSRs,datasheets,andinspectioncheckliststhose 2-20I0023h4changedocuments(ECNsorNCRs)ineffectatthetimeofinspection;CAR80.0I6Iresulted.Whileprocedureshavebeenrevisedtonowrequireidentifi-cationofECNsandNCRsineffectattimeofinspection,implementationofthisrequirementwasassessedasinadequate.CATItem20B-83addressedtheproblemofexcessivequantitiesofchangedocumentsoutstandingagainstdraw-ings.Althoughitwaslaterdeterminedthatadeficiencydidnotexist,theAssessmentTeam'sreviewofRCI'sdocumentcontrolrevealedcontinuingconcernswhichwarrantimprovement.iVMPCandSWECshouldmonitorRCI'simplementationofthedrawingcontrolsinitsprocedurestoensurethattheEngineeringChangeControlLogisusedeffectively.MechanicalBoltingTheiVRCciteddeficienciesinmechanicalequipmentboltingthatpertainedtoinadequateQCverificationofbolttorquingandinadequateQCinspectionrelativetomissingboltwashers.Thecorrectiveactionrequiredwasherstobeaddedtoanchorboltsandtheboltsretorqued.RequiredtorquevalueswereappliedtotheanchorboltsanddocumentedbySWECFQCduringinstallation.NMPCinstructedSWECt'odevelopasamplingplanforinspectionofallsafety-relatedinstalledequipmenttoverifythatanchorboltfastenersasinstalledareinconformancewithdesignrequirements.TheAssessmentTeamconcludedthatSWECfailedtoprovideeffectiveevidencethattheattributeslistforthesamplingplanwasapprovedbyNMPCpriortoimplementationoftheplan.AsaresultCAR80.0055wasissuedbytheAssessmentTeam.2.2.5'Materials/ReceivinTheCATreportfoundprojectstorageandmaintenanceprogramstobeaccep-table,butsomespecificdeficiencieswerenotedinmaterialtraceability,mate-rialcontrolandstorage,housekeeping,andsourceinspections.MaterialTraceabilityNRCconcernsregardingmaterialtraceabilityinthestructuralassemblyofelectricalequipmentwereaddressedbyCATItem2-83.Batteryrackswereassembledusingunmarkedmaterial;inadequaciesindrawingsandspecificationstwerenoted;andinspectionplansdidnotincludeinspectionboltingattributesfor 10023h02-21materialrequirements.TheAssessmentTeamdeterminedbyverificationofdocumentationandfieldinspectionthatallrelativeandrequiredcorrectiveactionhadbeentaken.Actionstopreventrecurrenceareadequateandareinplace.StorageandHousekeepingSeveralinstancesofinadequatehousekeepingandimproperstorageofmaterialsandequipmenthavebeenaddressedinCATItem06-83.Severalexamplesofimproperstorageandlackofprotectionfromdamageanddeteriorationtosafety-relatedequipmentintheplantandinlaydownareaswerenotedbytheAssessmentTeam.Actiontakentocorrecthousekeeping/storageconditionswasevaluatedanddeterminedtobeinadequateorineffective.Someimprove-menthasbeenevidencedinspecificareas;however,theoverallconditionhasnotsignificantlyimprovedandCAR80.0100hasbeenissuedbytheAssessmentTeam.Anoverallprogrammaticevaluationofthematerialsandreceivingoperationsresultedinobservationsofthefollowingunresolveddeficienciesinthehouse-keepingandmaterialstoragearea.~Dissimilarmaterialsstored/stackedtogether~Lackofdunnage~Storageatlowerlevelthanspecified,suchasDforB~Materialstoredinunassignedareas~Contractormaterialintermixed~-Useofrejectedhandlingslings~Scrap,surplus,rejectedandacceptedmaterialintermixed2.3PROGRAMMATICITEMS2.3.1~TraininAccordingtoboththeCATandSALPreports,SWEC'sandITT'strainingrecordsweredifficulttouse.SubsequentreviewsbytheAssessmentTeamnotedsimi-larproblemsfor3CIandComstock.Theprograms,ingeneral,includednolessonplans,littledetailastosubjectmatterandnopre-determinedlistof 2~22l0023hOrequiredattendees.Nowrittenexaminationnotesandnosignedattendancesheetswereavailable.Theproceduretitle,numberorrevisionoftheproceduretrainedtoareoftennotnotedonthetrainingrecords.Because3CI'strainingrequirementswerenotproceduralizedadequately,andnumerousinformaltrainingsessionsofrequirements,suchasrequiredreading,werenotrecordedandfiledwiththeindividuaVsQualification/CertificationRecord,itwasextremelydifficulttodetermineevenminimumcapability.Thequestionofadequateexperienceforcertificationcouldnotbeanswered.JCIshoulddocumentthebasisforcertificationbyincludingdetailsofexperienceandeducationalbackground.Thereisatendencytonotrequireadditionaltrainingorretrainingforisolatedcasedeficiencieswhentrainingwouldbeappropriatepreventiveaction.ExamplesincludeNRCitems82-l2-02and83-02-06.TheAssessmentTeamfoundevidencethatSWEC'strainingprogramhasimproved.Anewtrainingcoordinatorhasbeenemployed.TherehasbeensomeattempttohaveITTandComstockpersonneltrainundertheSWECprogrambutthereisnoevidencethatthishashappenedorthattheprogramsofITTandComstockareimproved.Inaddition,noattempthasbeenmadetoretraininisolatedcaseproblemsasapreventiveactionmeasure.0Ingeneral,theadequacyandqualityofthetrainingrecordsremainaconcern,butimprovementsplannedintheoveralltrainingprogramshouldresultinbetterrecords.2.3.2CommunicationTheAssessmentTeamnotedwhatappearstohavebeenacommunicationprob-lembetweenNMPCandGE.ThisresultedinaninterfaceproblemthataffectedGEdrawings,testinstructions,shipshortauthorizations,andworkorderpackages,andcauseddelaysinimplementingtherequiredcorrectiveaction.Proceduralmodificationshavebeenmade,butthesewilltaketimetoshowpositiveresults.Atthemoment,thisremainsanareaofconcern.

l0023h02-232.3.3~lnsectionCATIteml-83addressedtheNRC'sconcernthatracewayinstallationinspec-tionsarenotbeingperformedinatimelymanner.Asamplingof08recentracewayticketsshowedanaverageof70daysbetweencompletionandinspection.iVevertheless,theresolutionisconsideredsatisfactorysincetheAssessmentTeamhasalsoverifiedthatcablepullingisnottobeperformeduntiltheracewayhasbeenaccepted.TheNRC'sconcernthatinspectionplansandprocedurescontaindeficienciesrelativetoinspectioncriteriawasaddressedinCATItem6-83.NoinspectionattributesorcriteriahadbeenprovidedforKellemgrips,temporaryidentifica-tion,separationbarriersorprotrusionsintothe'cabletray,althoughtheseattributeshadbeenspecified.TheAssessmentTeamfoundthatiVMPCappro-priatelyrevisedtheinspectionplansandprocedurestoprovideforinspectionoftheseattributes,butdidnotmakeprovisionforverifyingtheinstallationofpermanentKellemgripspermittedtobeinstalledaftercablepulling.Arec-ommendationforcorrectingthishasbeenmadeunderCATItem6-83.CATIteml1-83identified.aprogrammaticdeficiencyregardingFQCpersonnelbeingunawareofproceduralrequirementsforPreliminaryInspectionVerifi-cation(PIV)inspectionorcompletingIRswithoutactuallyinspectingtheequip-ment.TheAssessmentTeamrecommendsthattraininginthisareabeexpandedtodisciplinesotherthancraftandelectrical,andshouldhaveamoreextensivecurriculum.TheCATreportalsonotedthatITTinspectionchecklistsforpipingdonotreflectthelatestdesigndocument.CorrectiveandpreventiveactionswereinitiatedtoassurethatITTinspectionchecklistswillreflectthelatestdesignand/ordesignchangedocument.TheAssessmentTeamconcludedthatcorrec-tiveactionhadnotbeencompletelyaddressed,andtherefore,CAR80-0058wasissued.Itssatisfactorycompletionwillresolvetheconcern.h 10023h0InspectionAttributesThelackofdocumentationonIRs(notidentifyingdrawingrevisionandtheERDCRtowhichtheitemwasinspected)wasaddressedinCATItem0-83.TheAssessmentTeamverifiedthatNMPChadrevisedappropriateprocedurestorequirerecordingofthespecificdocumentsused,andtoreviewpriorinspectionstoverifythatthelatestdocumentsatthetimeof'inspectionhadbeenused.Theprocedureshavebeenrevised,butthatthereviewsofpr'.orinspectionshadnotbeenperformed.CAR80.0058wasissuedbytheAssessmentTeam.TherewereseveralinstanceswhenfieldQCinspectorspreparedDRsbasedonreferencedimensionsondrawingsratherthanrequireddimensions.Referencedimensionswereconsidered"absolute",resultinginnonconformancedocumentsbeingprocessedwhichwereinvalid.PHASEIVSAMPLINGASSESSMENTSThe.AssessmentforPhaseIYwasbasedonasamplingofdeficienciesandnonconformancesreportedbythefivemajorcontractorsduringtheperiodbetween3anuaryI,l98landMarch31,l980.TheitemsweredividedamongtheAssessmentTeambyapplicabledisciplineand,withineachdiscipline,classifiedaseitherhardwareorprogrammatic-related.Thestatisticalmethodsforsampleselectionweredesignedtoprovide95percentconfidencethattheevaluatedelementsoftheentirepopulationhavelessthan5percentnoncompliance.ThisisconsistentwithpastNRCrecommendationsrelatedtoreinspectionsofsafety-relateditemsandwillproduceresultsatleastequivalenttothoseexpectedfroml00percentinspection.ThestatisticalsamplingmethodsusedduringthesampleselectionareinaccordancewithMIL-STD-105DTablesI,IIAandVIIA,probablythemostwidelyusedsamplingstandardappliedtoassesscompliancewithrequirements.TwelvecategoriesofdeficienciesinPhaseIYhadpopulationswhichallowedtherapplicationofthestatistical'samplingplan.

10023h42-25~Whenthesamplevalidatedthattherequiredlevelofqualityhadbeenmaintained,thelotwasconsideredacceptableandnofurthersamplingwasrequired.~Whenthesampledisclosedthattherequiredlevelofqualityhadnotbeenmaintained,theAssessmentTeamincreasedthesamplesizeandtightenedsamplingperestablishedtables.~Whentightenedsamplingdisclosedthatthedesiredqualitylevelhadbeenobtained,nofurthersamplingwasrequiredofthatlot.2.0.1SamlinPlanResultsThefollowingtablerepresentsthosecategoriesofdeficiencieswhosepopula-tionsweresuchthatthestatisticallyvalidsamplingplanwasapplicable.Thecategoriesshownbelowas"other"arethosepopulationsofdeficienciesclassifiedbytherespectivecontractorasnotpertainingtoaspecificdiscipline.Hardware:O~tt/DiscPopula-tionSWECNDE265SWECOther2,009SWECCivil1,166SWECMech505SWECElec1,098TotalQuantity5~amled128128133386NormalAcceptNumberResultsPassedNormalN/A3FailedTightenedPassedi4ormal5FailedTightened12FailedTightenedMACTightenedMACDefi-AcceptDefi-cienciesNumbercienciesN/AITTMechITTNDEITTOther3CIMech1,2061,387190127'81163102N/AN/APassedNormal8FailedTightened2FailedTightenedPassedNormal 2-26=10023h0Prorammatic:fTTMechITTOther3CIOther2130151001451075FailedTightene9FailedTightened1FailedTightened2.0.2PhaseIVHardwareSamlinAssessmentAnalsisSPECConclusionTheresultsoftheapplicationofthestatisticallyvalidsamplingplanstotheCivil/StructuralandElectricalpopulationsofdeficienciesprovidesjustificationforacceptanceofthelots.TheresultsoftheapplicationofthestatisticallyvalidsamplingplansforthedefinedpopulationsofdeficienciesfortheMechariicalandWelding/iNDEdisci-plinesandSWEChardware"other"providesjustificationforreinspectionoftheselots.Allthreelotsfailedtightenedsampling.RecommendationTheMechanicalandWelding/NDEitemsfailingtheoriginalnormalandtight-enedsampling'planshouldbeverifiedbyreviewofthestateddeficiency,theoriginalacceptance,criteria,.andthecommittedcorrectiveaction,andverifi-cationthroughrecordsorhardwarereinspectionasappropriateforcorrectiveactionimplementation.Forthehardware"other"category,theAssessmentTeamhasreviewedtheCARsleadingtothefailureofthesamplingplanandhasmadeajudgmentthatnoneofthedeficienciesreflectonthein-placequalityofhardware.Theyarethekindsofdeficienciesthatcanandshouldberesolvedduringdocumentreviewp'riortorecordsturnover.Onthisbasis,theAssessmentTeamrecom-mendsthatSWECandNMPCperformatechnicalreviewoftheidentifieddeficienciesandassessthepossibleimpactontheprojectifsuchweretorecurintheremainderofthepopulation.

10023h0'-27Mechanicalhardware"other"itemsrepresentapproximately50percentofthepopulationanditisestimatedonaworst-casebasis,approximatelyl,002itemswouldberequiredtobereinspectedona100percentbasis.TheAssessmentTeamrecommendsanormalsampleoftheremainingmechanicalhardware"other"itemsbetakenandifnohardware-affectingdeficienciesaredisclosed,theremainderoft'hispopulationbeaccepted.ConclusionTheresultsoftheapplicationofthestatisticallyvalidsamplingplanforthedefinedpopulationofdeficienciesfortheMechanicaldisciplineprovidesjustifi-cationforacceptanceofthelots.TheresultoftheapplicationofthestatisticallyvalidsamplingplantotheWelding/NDEandhardware"other"populationofdeficienciesprovidesjustifi-cationforreinspectionofthislot.Thesetwolotsfailedtightenedsampling.RecommendationThepopulationofITTHardwareWelding/NDEdeficiencieswas1,387.Atotalof281itemswasreviewed.Tenofthesewerefoundtobeunsatisfactorycaus-ingthesamplecategorytofailthetightenedsampleplan.TheAssessmentTeamhasreviewedthetenfailures,andhasfoundthattheyrepresenttheentiretimeperiodoftheassessment.Sevenofthetenfailuresrelatetohard-waredeficienciesthatinvolvethein-placequalityoftheitem.TheAssessmentTeamrecommendthatthecontractorbegiventheresponsibilityforreinspect-ingtheremainingl,l06documenteditems.Vponcompletionofthecontractorreinspectionsofthesepreviouslydocumenteddeficiencies,iVMPCshouldper-formastatisticalsamplingtoverifythecontractor'sactions.ITThardware"other"itemsfailingtheoriginalnormalandtightenedsamplingplanshouldbeverifiedbyreviewofthestateddeficiency,theoriginalaccep-tancecriteria,andthecommittedcorrectiveaction,andverificationthroughrecordsorhardwarereinspectionasappropriateforcorrectiveactionimple-mentation.

2-28l0023h43CIConclusionTheresultoftheapplicationofthestatisticallyvalidsamplingplantotheMechanicalpopulationofdeficienciesprovidesjustificationforacceptanceofthelot.2.0.3PhaseIVProammaticSamlinAssessmentAnalsisConclusionTheresultoftheapplicationofthestatisticallyvalidsamplingplantotheMechanicalandprogrammatic"other"populationofdeficienciesprovidesjustificationforreinspectionoftheselots.Thetwolotsfailedthetightenedsamplingplan.RecommendationItemsintheselotsfailingtheoriginalnormalandtightenedsamplingp1ansshouldbereverifiedbyreviewofthestateddeficiency,theoriginalacceptancecriteria,andthecommittedcorrectiveaction,andver'ificationthrough'recordsorhardwarereinspectionasappropriateforcorrectiveactionimplementation.OnehundredthirteenreinspectionsshouldbeperformedfortheremainingMechanicalpopulationand270reinspectionsshouldbeperformedfortheremaining"other"population.3CIConclusionTheresultoftheapplicationofthestatisticallyvalidsamplingplantotheprogrammatic"other"populationofdeficienciesprovidesjustificationforreinspectionofthelot.Thelotfailedthetightenedsamplingplan.

l0023hl'-29Recommendationitemsinthelotfailingtheoriginalnormalandtightenedsamplingplanshouldbereverifiedbyreviewofthestateddeficiency,theoriginalacceptancecri-teria,andthecommittedcorrectiveaction,andverificationthroughrecordsorhardwarereinspectionsasappropriateforcorrectiveactionimplementation.Threehundredtwenty-onereinspectionsshouldbeperformedfortheremainingpopulation.

IlIIIII 10023h03-13.0ANALYSISOFDEFICIENCYDOCUMENTS

3.1INTRODUCTION

Thissectionpresentsaquantitativeanalysisoftheresultsoftheevaluationofdeficiencydocuments,fortheprojectasawhole,andforeachresponsibleorganization(NMPC,SPEC,ITT,etc.)TheAssessmentTeamdevelopedaseriesofcodesforclassifyinghardwareandprogrammaticdeficienciesandtheircausesinordertoanalyzewhichofthosecausesoccurredmostfrequently.Programmaticdeficiencieswereidentifiedinaccordancewiththe18Criteriaof10CFR50,AppendixB.Hardwaredeficiencieswerecategorizedaccordingto51codesrelatingtoconstructionmaterials,componentsandprocesses.Twothousandninehundredfortyrecordswereassessed,resultingin0,300codeddeficiencies,includingthoseontheoriginaldeficiencydocumentandthoseresultingfromevaluationbytheAssessmentTeamastocorrectiveactionimplementation.These0,300codeddeficienciesincluded1,701programmaticdeficienciesand2,059hardwaredeficiencies.Onehundredfortywereidentifiedas"nodeficiency".Paretochartsweredevelopedandanalyzedinordertopinpointthoseareasinwhicheffortsatimprovementcouldbemademosteffectively.TheParetoprincipleholdsthatamajorityofthesignificantproblemshaverelativelyfewcauses.This-methodofanalysisgraphicallyidentifiesthesignificantareasrequiringcorrectionandalsodisplaysthosewheretheefforttobringaboutcorrectionmaybemorecostlythanthebenefitstobederived.TheParetoanalysiswasconductedforalldeficienciesevaluatedbytheAssessmentTeam,andforthose.deficienciesevaluatedbytheAssessmentTeamasSatisfactorywithRecommendation(S/R)orUnsatisfactory(UNSAT).ThepurposeincombiningthesetwosetsofdataissolelytoprovidealargeenoughsampleofthetotalpopulationtoprovidemoremeaningfuldataastotheunderlyingcausesofproblemsthanwouldhaveresultedfromanalyzingonlythosecategorizedasUnsatisfactory.Thiswasanalternativetoanalyzingtheentirepopulation.TheParetoanalysisprogramidentifiedthecause,whetherthedeficiencywasprogrammaticorhardware-related,theresponsibleorganizationandthephase 3-210023h0oftheprograminwhichthedeficiencywasevaluated.Oneormoredeficiencycodeswereassignedtoeachdeficiencytoreflectthecitedproblem,aswellasanydiscrepancyintheresolutionoftheidentifiedproblem.Thesedatawerethenenteredintoacomputerandsortedbyvariousmethodstoidentifysignifi-cantpopulationsofdeficiencycodesrelatedtoeachspecificorganization.ThefollowingcontractorsandvendorswerecodedasSWECresponsibilities:L.K.ComstockCivesSteelWalshConstructionCompanyNorthernReadyMixDamesandMooreMiscellaneoussuppliersElectricalStructural/SteelErectorCivilConcreteSupplierGeotechnicalServicesForallcontractors,deficienciesmaybecategorizedaseitherhardwareorprogrammaticoracombinationofbothandaresodisplayedintheParetocharts.Thesamerecordmayprovidebothhardwareandprogrammaticdeficiencies.Thetotal'codeddeficiencieswillbegenerallygreaterthanthenumberofdocumentsjudgedSatisfactorywithRecommendationorUnsatisfactory.TheprogrammaticcodeddeficienciesandthehardwarecodeddeficienciesforallorganizationsasidentifiedbytheoriginaldeficiencydocumentsareshownonFiguresAandB,respectively.FigureAindicatesthatdeficienciesagainstthefollowingCriteriaof10CFR50,AppendixB,accountedformorethan5percentofthetotaldeficiencies:Criteria17(QualityAssuranceRecords);5(Instructions,ProceduresandDrawings);10(Inspections);15(NonconformingMaterials,PartsorComponents);2(QualityAssuranceProgram);9(ControlofSpecialProcesses);16(CorrectiveAction);8(IdentificationandControlofMaterials,PartsandComponents);and3(DesignControl).Thesearethesignificantareasofprogrammaticdeficienciesfortheperiodcoveredbythisassessment.FigureBindicatesthatdeficienciesinexcessof5percentofthetotalexistagainstonly0of51hardwaredeficiencycodes:38(Welding);Ol(PipeandHanger/Supports);63(Material);and00(Piping/PipeSpools).

225ParetoAnalysisDistributionofProgrammaticDeficiencyCodes-AllContractorsPio080600O00I-0200l75.>OCOl150oQCl125~000->00<7550~~~~~0~~~~~~~~CRITKRfALOrganhationLOAPtogramOwlgnConttoti.PcocuremsntOocunt~Conttol5.Instcuctlons,PtooockewandOrawingsLOooLsnsntCcnttol1.ContrololpurctawdMstetlatrEydpmentendSarrtcesLldsntlllcatlonan4ControlotMatsltalarPatteendCocnponsntsContcolotSpectstPtocesswlLlnspectlonlLTwtConttolControlotMesswingan4TwtEydpmsntlLHandling,StorageandShlpplngli.lnspsctlon,Testen40perattngStatusl5.NonconlorcnlngMstetlats,PartsocComponentsl4.CorrecttwActtonlT.QARecordslLAudtts5%-25rr~~0175101529168361871131241114DeficiencyCodesBased18Criteria-10CFR50FigureA 24ParetoAnalysisDistributionofHardwareDeficiencyCodesAllContractors20<1SIS~~0400(34=zoo4O0I200~E00f4oOaftclency11ConcretePlacement12RoberPlacement13CadweldPlacement14S/S8oltlng15S/SWelding16EmbedPlacement17Coatings18Waterproofing19ConcreteMaterialTesting20ExpansionAnchors21Inspection22Soils23CableTray/ConduitInstallation24Conduit/TraySupports25CablePulling/Routing26CableTermlnatlon21ContlnultysndMeggerTesting28InstrumentatlonInstallation29InstrumentCable31CabloSeparation32.FireProtection33Housekeeping34TrayLoadingandIdentlflcstlon3SPenetrationInatallatfonandTestingEquipmentSetting/Installation31Equfpment(ExceptPumps,ValvesandHeatExchanges)38Welding(Performsnce)39QusllflcatlonsndSettingofExpansionAnchors40Plplng/PipeSpools41PlplngHangars/Supports42HydrostaticTestfng43HolstlngsndRlgglng44HVAC45Penetrstlons46RadlographlcTesting(RT)47UltrasonicTesting(UT)48LlquldPenetrantTesting0P)49VisualInspection(VT)50MagneticPartfcfeTesting(MT)51Welding(Procedure)52WewerQuallflcstlon53WeldMaterial54f4otAssignedSSValves56MTBZSlPreventiveMaintenance585/SFabrlcatlon/Erection59Pumps60HeatExchsngers61Handling/Storage62WeldDesign6'3Materials5%034414340372011151453214455541249302431434144IQ242534541413441751235742HardwareDeficiencyCodesFiureB l0023hO3-53.2PHASEI,IIANDIIIANALYSISPhaseI,IIandIIIprogrammatic/hardwaredeficienciesconsistedofmechanical,electrical/I@C,civil/structural,welding/NDE,material/receivingandsoftwaredeficienciesnotedbyNMPConcorrectiveactiondocumentsasprogrammaticorhardwarerelated.All296oftheNMPCprogrammatic/hard-waredocumentswereevaluatedbytheAssessmentTeam.Ofthese296deficiencydocuments,93.9percentwereratedbytheAssessmentTeamasSatisfactoryorSatisfactorywithRecommendations.Whentranslatedintodeficientitemsratherthandocuments,theresultsare90ApercentSatisfactoryandSatisfactorywithRecommendationsand5.6percentUnsatisfactory.tDLA10ClDOOVDCiesHO0R20o15DCI'0~100e5X0NMPCPARETOANALYSlSOFPROGRAMMATlCDERClENClES.FORS/R8cUNSAT1$1$$J10$11$4'I74121$1~1$2171$$1411ProgrammaticOeficiencyCodes 3-610023hOOutofthe33NMPCdocumentsevaluatedasSatisfactorywithRecommenda-tionorUnsatisfactory,therewere156coded,deficiencies.Thesewerecombinedforanalysis.Thedistributionofthemostsignificantcodeddeficienciesamongthevariouscriteriaareasfollows:CodedDeficiencies~Criterion16~Criterion15~Criterion2~Criterion5~Criterion3~Criterion18~Criterion17CorrectiveActionNonconformingMaterial,PartsorComponentsQualityAssuranceProgramInstructions,ProceduresandDrawingsDesignControlAuditsQualityAssuranceRecords3915Theprincipalrootcausesofthesedeficiencies,indescendingorderofimportance,are:~Notimplementedinapprovedprogram/procedures~'eficiencyintheapprovedprogram/procedures~LackoftimelinessInaddition,thefollowingrootcausesforapplicable:~Inadequateworkmanship~Inadequatematerialtraceability~'nadequatehandling/storage/protection~Inadequatereinspectionofdispositions~Inadequatedesigndetail~Inadequateacceptancecriteriahardwaredeficienciesarealso 10023h03-73.3SPECPROGRAMMATICOnehundredforty-onedocumentsdetailingcivil/structural,electrical/IdcC,welding/NDE,mechanicalandotherdeficienciesnotedbyS'SEConcorrectiveactiondocumentsasprogrammatic-relatedwereassessedbytheAssessmentTeam.Duetotherelativelysmallsizeofthepopulationsofthesepreviouslyidentifieddeficiencies,thesedisciplineswereassessedasagroup.SWECPARETOANALYSISOFPROGRAMMATICOEFICIENCIESCOOESFORS/R8cUNSATI5DVCCl0a~'00I%a040~300O~200F10Sattef44toty~ReCam~datfOtaCZUneathfaCbXy171551457151525451'I12ISI~17147541555515I5rogrcI7II71ctlcOaftciencyCodesTherewereatotalof120programmaticcodeddeficienciesagainst10S'IttECprogrammaticand90hardwaredocumentsassessedasSatisfactorywithRecommendationorUnsatisfactory.Thesedatahavebeencombinedforthepurposeofanalysis.Thequantitiesshownreflectthedistributionofthecodeddeficienciesamongthevariouscriteria.Thefollowingarethemostsignificantproblemareas:CodedDeficiencies~Criterion17~Criterion15~Criterion10~Criterion7QualityAssuranceRecordsNonconformingMaterials,PartsorComponentsInspectionControlofPurchasedMaterial,EquipmentandServices3320 3-810023h0~Criterion8~Criterion3IdentificationandControlofMaterials,PartsandComponentsDesignControlCodedDeficienciesTheprincipalrootcausesoftheseCriteriadeficiencies,indescendingorderofimportance,are:~Deficiencyintheapprovedprogram/procedures~Notimplementedinapprovedprograms/procedures3.0SWECHARDWARESWEChardwareconsistedofmechanical,electrical/IRC,civil/structural,welding/NDEandotherdeficienciesnotedbySWEConcorrectiveactiondocumentsashardware-related.Atotalof960SWEChardwaredocumentswereassessedbytheAssessmentTeam.Duetothelargesizeofthepopulationofthesepreviouslyidentifieddeficiencies,theywereassessedbytheapplicationofastatisticallyvalidsamplingplan.SWECPARErOANALYSlSOFHAROWAREOEFlClENClESFORS/R8cUNSATCltsClVClVCLi20o16Cl~12ClOSODgZSathtcctortj'ithKgitecomalwocctioesUnoctiahlctotySSCSSS4441SSSIS7SS40XlSI404$1110J50177SCCSSSS71S1~7017HcrdwareDeficiencyCodes4$SSSSWLeXC40SoSS4071LaxW 10023hO'-9Therewereatotalof110hardwaredeficienciescodedagainst90SWEChardwareand10programmaticdocumentsassessedasSatisfactorywithRecommendationorUnsatisfactory.Thesedatahavebeencombinedforthepurposeofanalysis.Thefollowingarethemostsignificantproblemareas.Thequantitiesshownrepresentthedistributionofthesecodeddeficienciesamongthevariouscodes;noneofthesecategoriesaccountedforasmuchas5percentofthetotalpopulationofassesseddocuments.CodedDeficiencies~Code63~Code53~Code38~Code25~Code00~Code55MaterialControlControlofVeldMaterialWeldingCablePullingHVACValves22161313Theprincipalrootcausesofthesedeficiencycodes,indescendingorderofimportance,are:~Inadequate/incompletedocumentationInadequateworkmanshipFailuretofollowproceduresVendorerrorInadequateconfigurationcontrolInadequatedispositiononnonconformingdocumentsInadequatereinspectionofdispositionednonconformingdocumentsITTPROGRAMMATICITTprogrammaticdeficienciesconsistedofcivil/structural,welding/NDE,mechanicalandotherdeficienciesnotedbyITToncorrectiveactiondocumentsasprogrammatic-related.Atotalof331ITTprogrammaticdocumentswereassessedbytheAssessmentTeam.

10023hODuetothelargesizeofthepopulationsofthemechanicalandotherclassifieddeficiencies,thesewereassessedbytheapplicationofthestatisticallyvalidsamplingplan.Civil/structuralandwelding/NDEwereassessedintheirentirety.m'ARETOANALYSISOFPROGRAMMATICOERCIENCIESFORS/R8cUNSATCI10VCClOClClO~OOIJOC-12Ict8OOe>4C)E0SatiefactonlwithEgRecontntendationeCZUneathfactofy1014142$1792441714141414249$7121711114PragrantrnaticOeficiencvCodesTherewereatotalof109programmaticcodeddeficienciesagainstff1ITTprogrammaticand57hardwaredocumentsassessedasSatisfactorywithRecommendationorUnsatisfactory.Thesedatawerecombinedforthepurposeofanalysis.Thefollowingarethemostsignificantproblemareas.Quantitiesshownreflectthedistributionofcodeddeficienciesamongthevariouscriteria.CodedDeficiencies~Criterion15~Criterion16~Criterion10NonconformingMaterials,PartsorComponentsCorrectiveActionInspection1916Thefollowingaccountedforlessthan5percentofallassesseddocumentsbutwerecontributory:,CodedDeficiencies~Criterion5Instructions,ProceduresandDrawings 10023hO3-11~,Criterion17~Criterion2~Criterion3~Criterion9QualityAssuranceRecordsQualityAssuranceProgramDesignControlSpecialProcessesCodedDeficiencies7TheprincipalrootcausesoftheCriteriadeficiencies,indescendingorderofimportance,are:~Notimplementedinapprovedprogram/procedures~Lackoftimeliness~Deficiencyinapprovedprogram/procedures346ITTHARDWAREITThardwareconsistedofwelding/NDE,mechanicalandotherdeficienciesnotedbyITToncorrectiveactiondocumentsashardware-related:Atotalof571ITThardwaredocumentswereassessedbytheAssessmentTeam.CVOOtIOO4)CI-20OQ0la50Oe40a~300CJ200IIlozm'ARETOANALYSlSOFHARDWAREDEFlCIENClESFORS/RdcUNSATScthfcctotywithKQRecommendotioncVnccticfccto1y544041445545152142405554C5054HardwareDeficieftcyCodes5440401142552055544555 3-1210023hODuetothelargesizeofthepopulationsofthesepreviouslyidentifieddeficiencies,thesewereassessedbytheapplicationofthestatisticallyvalidsamplingplantoeachoftheITT-definedpopulationbreakdowns.Therewereatotalof102hardwarecodeddeficienciesagainst57ITThardwareand01programmaticdocumentsassessedasSatisfactorywithRecommend-ationandUnsatisfactory.Thisdatahasbeencombinedforthepurposeofanalysis.Thefollowingarethemostsignificantproblemareas.Thedistributionofcodeddeficienciesamongthevariouscodesisasfollows:CodedDeficiencies~Code38~Code00~Code01~Code55WeldingPipingandPipeSpoolsPipingHangersandSupportsValves381710Theprincipalrootcausesofthesedeficiencycodesindescendingorderofimportance,are:~Inadequateworkmanship~Inadequatehandling/storage/protection~Failuretofollowprocedures~Inadequateconfigurationcontrol~Inadequatetimeliness~Inadequatedesigndetail3.7JCIPROGRAMMATIC3CIprogrammaticconsistedofcivil/structural,welding/NDE,electrical/INC,mechanicalandotherdeficienciesnotedbyJCIoncorrectiveactiondocu-mentsasprogrammatic-related.Atotalof1973CIprogrammaticdocumentswereassessedbytheAssessmentTeam.L 10023h43-13Duetothesizeofthepopulationofthesepreviouslyidentifieddeficiencies,theywereassessedbytheapplicationofthestatisticallyvalidsamplingplantoeachofthe3CI-definedpopulationbreakdowns.JCIPARTETOANALYSISOFPROGRAMMAilCDEFICIENCIESFORS/RdcUNSATClClOc~20o4O10OO0VC~3a'O>20Q~t04t114SotJotoctcuy~KgRocommoneatton4CZVnoottcfocbxy4t4410ProgrcmmatIcDeficiencyCadesAtotalofll3CIprogammaticcodeddeQaiencieswereidentified.against8,programmaticand5hardwaredocumentsassessedasSatisfactorywithRecommendationorUnsatisfactory.Thesecombineddatawereanalyzedtodeterminethemostsignificantproblemareas.However,apopulationofl2istoosmallforaccurateanalysis,andfurthermore,noneoftheareasrepresentsasmuchas2percentofthetotalpopulationofassesseddocuments.Thequantitiesshownrepresentthedistributionofthecodeddeficienciesagainstthevariouscriteria.I'odedDeficiencies~Criterion5~Criterion3~Criterionl5~Criterionl7InstructionProceduresandDrawingsIdentificationandControlofMaterial,PartsorComponentsNonconformingMaterial,PartsorComponentsQualityAssuranceRecords 10023hOTheprincipalrootcauseofthesecodeddeficienciesis:~Notimplementedinapprovedprogram/procedures3CIHARDWAREJCIhardwareconsistedofcivil/structural,welding/NDE,mechanicalandotherdeficienciesnotedbySWEConcorrectiveactiondocumentsashardware-related.Atotalof2223CIhardwaredocumentswerea=sessedbytheAssessmentTeam.Duetothesizeofthepopulationsinthemechanicaldiscipline,thepreviouslyidentifieddeficiencieswereassessedbytheapplicationofastatisticallyvalidsamplingplan.Inallotherdisciplines,100percentofthepopulationwasassessed.JCIPAREl'O'ANALYSISQFHARDWAREOERCIENCIESFORSR8cUNSAT0)ClVC'oZOVIC1~laOO00NjgVCI~30201ClEIto%41HardwareOeficiencyCodesSatiafoctorywithKgRacommanaationoVnootfafactmyAtotalofllhardware-codeddeficienciesrepresentingfive3CIhardwareandeightprogrammaticdocumentsassessedasSatisfactorywithRecommendationorUnsatisfactorywereidentified.Thesedatahavebeencombinedforthepurposeofanalysis.Noneofthesecodesrepresentasmuchas5percentofthe 10023h03-15totalpopulation.Thefollowinglistingrepresentsthedistributionofcodeddeficiencieswithinthevariouscodes:~Code38~Code28~Code15~Code53WeldingInstrumentationInstallationStructuralSteelWeldingWeldMaterialCodedDeficienciesTheestablishedrootcausesofthesedeficiencycodes,indescendingorderofimportance,are:InadequateworkmanshipFailuretofollowproceduresInadequatematerialtraceabilityIncompletedocumentationInadequateconfigurationcontrolInadequateidentification3.9RCIPROGRAMMATICRCIprogrammaticconsistedofwelding/NDE,mechanicalandotherdeficien-ciesnotedbyRCIoncorrectiveactiondocumentsasprogrammatic-related.Atotalof100RCIdocumentswereidentifiedasprogrammaticandwereevaluatedbytheAssessmentTeam.Onehundredpercentofthepopulationwasassessed.Therewere10RCIprogrammaticand17.hardwaredocumentsassessedasSatisfactorywithlRecommendationorUnsatisfactory,whichresultedin30programmaticcodeddeficiencies.Thesedatawerecombinedforthepurposeofanalysis.

10023hO2310RCIPARETOANALYSISOFPROGRAMMATICOEFICIENCIESFORS/RdcUNSATOScr~10VO000I0Rp~6O44,0Clls0o20ScthtcctorywithKgRocornrnon4ceonoUnset&cctory14,410141711144141101$21214ProgrammaticOeficiertcyCodeeAllofthesecodeddeficienciescouldbeclassifiedunder10CFR50,Appendix8,CriterionXVICorrectiveAction;however,forfurtheranalysisthesehavebeenclassifiedtoidentifythespecificareawherecorrectiveactionwasnotfullyaccomplishedinthefollowingtabulations.Noneoftheseareasaccountsformorethan3percentofthetotalpopulation.Thefollowingarethemostsignificantproblemareaswithinthetotalofcodeddeficiencies.CodedDeficiencies~Criterion9~Criterion15~Criterion16~Criterion10~Criterion1~Criterion18SpecialProcessesNonconformingMaterial,PartsorComponentsCorrectiveActionInspectionOrganizationAudits10I5 10023h03-17Theprincipalrootcausesofthesedeficiencies,indescendingorderofimportance,are:~Notimplementedinapprovedprogram/procedures~Deficiencyintheapprovedprogram/procedures3.10RCIHARDWARERCIhardwareconsistedofwelding/NDE,mechanicalandotherdeficienciesnotedbyRCIoncorrectiveactiondocumentsashardware-related.Atotalof78RCIhardwaredocumentswereassessedbytheAssessmentTeam.Onehundredpercentofthepopulationwasassessed.RCIPARETQANALYSISQfHAROWAREDEFICIENCIESFQRS/R8cUNSATCOC40OO4OO9)00lC0108Cl6OII2:sooo444I5414satfsfacbxywfthEZlRoaommonaatIonoUnoatfafocbxyJS44o34011HardwareDeficiencyCodesTherewereatotalof26hardwarecodeddeficienciesidentifiedfor17RCIhardwareand10programmaticdocumentsassessedasSatisfactorywithRecommendationorUnsatisfactory.Thesedatawerecombinedforthepurposeofanalysis.Thefollowingarethemostsignificantproblemareasidentified.Thequantitiesshownrepresentthedistributionofcodeddeficiencieswithinthevariouscodes.~-Code38~Code06WeldingRadiographicTestingCodedDeficiencies10 10023h0Otherareascontributingtothetotalare:CodedDeficiencies~Code00~Code53~Code55Piping/PipeSpoolsWeldMaterialValvesTheprincipalrootcausesofthesedeficiencies,indescendingorderofimportance,are:~Inadequateworkmanship~Inadequatematerialtraceability~Inadequatehandling/storage/protection~Incompletedocumentation~Inadequatecleanlinesscontrol 10023M'.0CONCLUSIONSANDRECOMMENDATIONSNRCORDERITEMASSESSMENT01.1AssuranceProramConclusionNMPCandallfivemajorcontractorsatNMP-2haveimprovedtheirQAPrograms.Organizationandfunctionaldelineationhasbeenaccomplished.ACARwasissuedforadeficiencyinthisareabuthassincebeenresolved.Thes'taffsofeachorganizationhavebeenincreasedintheappropriateareas.Proceduresdefiningresponsibilitiesandinterfaceshavebeenaccomplishedinmostcases.Proceduresgoverningprojectactivitieshavebeenupgraded.Theauditingfunctionhasimprovedthescopeofauditschedulestoincludemorehardwareactivities.Problems,however,stillpersist.ForCriterion7ofthe18CriteriatolOCFR50,AppendixB,thereisstillroomforimprovement.ItistheopinionoftheAssessmentTeamthatNMPChaseithercorrectedorhasanacceptableplanforcorrectingthedeficienciesnoted.Recommendations~Continuetoemphasizeauditsandsurveillanceasameansofidentifyingareasofnoncompliance,statusingQAprogramprogressandassuringprogrameffectiveness~Emphasizetheimportanceofdeterminingrootcauseasameansofavoidingrepetitionofpastproblems~Refinethecomputerizedtrendingprogrambyimprovingthedatabaseanddeficiencycodes;restrictinterpretationofproblemandcausecodestoasfewpeopleaspossibletoavoidadilutionofrepetitivenessthroughdifferencesininterpretation;considerassigningaCorrectiveActionCoordinatortoperformthesetasks~Continueuppermanagement'sinvolvementintheQAprogram;requiremonthlyreportson:TheperformanceandclosingofauditsandsurveillanceThestatusofthecorrectiveactionprogram(deficiencyreportingdocumentsopenedandclosed,chartsandgraphs) 0-210023h0Trendingresults~Continuetoupgradeproceduresandtrainingprogramstokeepupwiththestateoftheartandavoidrepetitionofadverseconditions0.1.2SiteAuditinProramsConclusionBothNMPCandSWEChaveevaluatedtheirauditprogramsandhavetakenpositiveactiontoimprovethem.NewandrevisedprocedureshavebeendevelopedwhichareincompliancewithANSIN05.2.12.AuditorsarebeingtrainedandcertifiedtoANSIN05.2.23.AuditprogramsareconcentratingonconstructionandhardwareproblemsandtheuseoftechnicallyqualifiedauditorsoutsidetheQAorganization.TheAssessmentTeamconcludedthattheauditprogramsofbothNMPCandSWECarevastlyimproved,andthereisstrongevidencethattheproperstepsarebeingtakentopreventrecurrenceofthosekindsofproblemscitedbytheNRC.Recommendations~EnforcethenewauditreportsrequirementsfortimelyclosureofauditfindingsandAssurethatallauditfindingsincorporatethedeterminationsofroot'causeandactiontopreventrecurrenceContinuetrainingofnewauditorsandretrainingofcertifiedauditorsinthelatest'auditingtechniquesandgoals~Betterdistinguishbetweenthesurveillanceprogramandtheauditprogram0.1.3CorrectiveActionSstemConclusionTherecontinuetobeproblemswiththecorrectiveactionsystemsofbothNMPCandSWEC,bothintermsofdelaysinimplementingcorrectiveactionandverificationofcorrectiveaction.ERDCRsareusedtorecordnonconfor-mances;thetrainingsystemforNdcDsisineffective;andthereisnomech-anismfortrackingcontractorimplementationofdispositions.Responsesto 10023h0'-3correctiveactioncontinuetobeslow.Verificationtoensurethatpreviouslyinstalleditemsmeetupdatedcriteriaislacking.TheuseofType"A"andType"C"IRshashamperedthecorrectiveactionverificationprocess.TheAssessmentTeamconcludedthatalthoughsomeimprovementhasbeenachievedintheformofrevisedproceduresandanupdatedtrendingprogram,!muchremainstobedone.Recommendations~EstablishaCorrectiveActionCoordinatortoinitiatetracking,trendingandreportingofcorrectiveactionprogress~Establishalogfordeficiencyreportingdocumentsasabasisforstatusingcorrectiveaction~Developasystemthatrequirespromptreplyandaction~DiscontinuetheuseofSWECType"C"IRsasanonconformancedocument0.1.0DocumentControlConclusionNMPCandSWEChavegonetogreatlengthstoaddresstheproblemsofdocu-mentcontrol,andhaveestablishedataskforcetoreviewtheexistingandupcomingproblemsofdocumentcontrol.However,theAssessmentTeamnotedcontinuedproblemswithaccessandretrievability.Relateddocumentswerenotcross-referencedforeaseoftracking.Thefacilitiesforhousingthemanydocumentsareinadequate,andonlyone-hourfiresafecabinetsarebeingusedforpermanentrecords.TheAssessmentTeamconcludedthatbothNMPCandSWEChaveasignificantdocumentcontrolproblemthatmustbeaddressedbeforethemonumentaltaskofsystemturnover.Recommendations~Preparenowfortheeventualityofdocumentturnoverbyprioritizingtheworkeffortandsimplifyingtheworkflow~Makesurethatallpermanentplantrecordsareindexed,protected,consolidatedandretrievableioaccordancewithANSIN05.2.9 10023h0~Providemorespaceandbetterequipmentforhousingtheworkingdocumentsandpermanentrecords~HireandtrainadditionalpersonnelforthedocumentcontroleffortDesiChaneControlConclusionNMPCandSWEChavetakenstepstoimprovethedesigncontrolsystem,suchasinstitutingacomputerizedsystemforpostingdesignchanges,reducingthenumberofdrawingstationsandattemptingtomakepromptdistributionofchanges.However,theAssessmentTeamidentifiedsituationsinwhichdrawingswerenotbeingreviewedaccordingtoprocedure,designchangeswerenotbeingpostedagainsteachaffecteddrawingandthenumberofchangesindicateinadequatedesignchangereview.IntheopinionoftheAssessmentTeam,bothNMPCandSWECaretobecommendedfortheirdedicationtoresolvingthedesignchangeproblem,andtheyhaveappropriatelyidentifiedstepsrequiredtoensuretheintegrityofthedesigndocuments.Recommendations~Improvethereviewcyclefordrawingchangesandtherebyreducethevolumeofchanges~Improveandincreasetrainingintheareaofchangecontroltoprecludeworkingtoinaccurateormissingprocedures~Continuetoreducethenumberofdrawingstations~Reducethetimeittakestoincorporateadesignchangeinordertoassurethatallpersonnelareworkingtothelatestrevision~Standardizetheterminologyusedinthedrawingrevisionblocktoavoidambiguity,andensurethatappropriatedesignchangeshavebeenincorporatedIProcurementliAssuranceTheNRC'sconcernsrelativetoCriterion7requirementsarewellfounded.Lackofattentiontospecificationrequirementsintheinspectionprocesswas 10023h0'videntandthecommitmenttoperform100percentreinspectionwasnotcar-riedthroughtotheInspectionPlanChecklist.SWEChasinstitutedatrainingprogramforPQAinspectorswhichseemstobeworking.TheAssessmentTeamcouldnotfindanyfurtherevidenceofmaterialbeingacceptedthatdidnotconformtoacceptancestandards.Additionally,sourceinspectionisnowrequiredforselectedCategoryIitems.TheAssessmentTeamconcludedthattheprogramandsystemforcontrollingprocurementatNMP-2asrequiredbyCriterion7isinplaceandworking.Theimplementationofcommitmentsshouldpreventrecurrence.Recommendations~ReinspectallCivessteelbeamstoensureunsatisfactoryweldsarenotbeingusedelsewhereontheproject~ContinuetoimprovethetrainingofPQA/QCpersonnelinCriterion7principlesandindustryrequirements~Avoidbypassingsourceinspectioninlieuofinspectionuponreceipt~AssurethatspecificationanddrawingrequirementsareincludedintheReceiptInspectionChecklist0.1.7RadiorhicFilmI'heAssessmentTeamperformedanextensivereviewofradiographicfilmpro-cessingandcontrolbySWEC,ITTandRCI.Theconditionofthefilmandhandlingpracticeswerepoor.Theoriginalfilmwasnotavailableforweldsrequiringrepair.NMPCconducteda100percentreviewofITTradiographsthatwereacceptedandfiledinthevault.DeficiencieswererecordedonSRsandconditionscorrected.TheAssessmentTeamconcludedthatradiographicfilmproblemsidentifiedbytheCATTeamanddocumentedontheorderhavebeencorrected,butthisoperationshouldbemonitoredthroughfrequentauditsandsurveillancestoensurethecontinuedintegrityoftheradiographicprocess.)

10023h0Recommendations~Providethecontrolsandequipmentnecessarytoprocessandstorenewandprocessedfilminanappropriatemanner~Continuetrainingradiographersandfilmhandlingpersonnelinproperhandlingpracticesforprocessedfilm~Performregularlyscheduledsurveillanceandinspectionoffilmprocessingandhandling,asanadjuncttotheauditingeffortsConcreteEonAnchorBoltsConclusionAreviewoftheactiontakenbySWECtosubstantiatetheadequacyofinstal-ledconcreteexpansionanchorboltswasconductedbytheAssessmentTeam.TheNRCexpressedconcernthatsomeconcreteanchorswerenotadequatelyset.SWECconcludedthattheboltsweresetproperly.TheAssessmentTeamagreeswiththisconclusion.RecommendationsContinuetoadheretothestrictrequirementsoftheconcreteexpansionanchorboltinstallationprocedures~ContinuesurveillanceoftheinstallationactivitiestoprovideassuranceoftadherencetodesignrequirementsPowerGenerationControlComlexConclusionTheAssessmentTeamhasreviewedtheNRCorderwhichnotesthePGCCdeficienciesrelatedtoseparationcriteriaandtheconcernthatNMPChasnotprovidedassurancethatthiscriteriahasbeensatisfied.Theyhavealsoevaluatedwhathasbeendonetocorrecttheadverseconditions.Atthispoint,itisstillunclearhowmuchcorrectiveactionhasbeenaccomplished.ManyFDIsandFDDRshavenotyetbeenclosedout,andprogressisslow.AconsiderableamountofworkinvolvesGEequipmentandthereseemstobeareluctancetopushGE.

10023hO0-7Recommendations~Makeaconcertedefforttocompletetheprescribedworksothatrelateddocumentationcanbeclosedout~Installseparationcoversforinstalledunderfloorracewaysasclosetoracewayinstallationaspossible~ReviseInspectionPlanN20E061AF1025torequirethatpartialcablepullsbeinspectedtotheextentnecessarytoassurethatinstalledcablemeetsspecificationrequirements0.2DISCIPLINEASSESSMENTSL2.1Civil/Structural-ConcreteConclusionWiththeexceptionofonereinforcingsteelspacingviolation,whichwasnotidentifiedbyQC,theconcretingactivitieswerefoundtobeSatisfactorybytheNRC.TheNRC'sconcernsregardingadequateinspectioncriteriaforconcretesurfacesandcriteriaforconcreteunitweighttestshavebeenresolved.Concretethathadbeenmixedwithatruckthatfailedmixeruninformitytestingwascertifiedasacceptablethroughreviewingcompressivestrengthtestreports.RecommendationsNone.4.2.2Civil/Structural-ConcreteExansionAnchorsThisNRCconcernisaddressedinSection0.1.8.4D.3Electrical/IRC-PGCCThisNRCconcernisaddressedinSection0.1.9.

0-8l0023hO0.2.0Electrical/IbrC-SeismicCriteriaConclusionTheNRC'sconcernregardingseismicboltingcriteriaasitappliestotheMotorControlCenter(MCC)wasgiventoSWECforcorrectiveaction.SWEC'sevaluationofthematerialsubstitutionpracticeswasreviewedbytheAssessmentTeamduringaCATItemevaluation.SWECdeterminedthattheyareresponsibleforassuringthatthesubstituteditemsdonotviolateseismicqualification.InspectionbyNMPCsubstantiatedthefactthattheboltsasspecifiedandasusedwereacceptable.TheAssessmentTeamdeterminedthroughareviewthattheboltswereacceptableandconcurredwithactionandconclusionsofthedeficiencyitemdisposition.RecommendationsNone.L2QVeldinNDE-VeldliandAssociatedDocumentationWeldqualityproblemshavebeendocumentedbytheNRCandbyinternalauditsofITT,CivesandRCIweldingoperations.Undersized,oversizedandnot-to-specificationweldswerenotedinseveralareas.TheNRCnotedthata'IlargenumberofCivesshopweldsforsupportswereundersizedand15to20percentwererejectable.RejectedweldswererecordedonNRDsanddispositioned"acceptasis"butonlyasamplingoftherejectedweldswereontheNRDs.TheAssessmentTeamconcludesthatweldingpracticesatNMP-2requireconsiderableattentionfromQAtoimproveweldqualityandimproveassociateddocumentation.Recommendations~Examinetherecurrenceofundersizedandoversizedweldsandtakepositivestepstoimprovetheintegrityofthisoperation~Performsourceexaminationtoprecludeoff-siteweldingarrivinginanonconformingcondition 10023hO0-9~Developimprovedproceduresforon-sitewelding;reviewandapproveproceduresusedforoff-sitewelding~ImprovewelddocumentationandoriginateandmaintainwelddatasheetsaspermanentrecordsL2.6VeldinNDE-VeldReirsAllcontractors'eficiencyreportingdocumentshaveindicatedexcessweldre-pairsforbothbuttandfilletwelds.Allcontractorsexceedengineeringwelddesignsize(approximately75percentofthetime).ITTfailedtoidentifyweldrepairsnotinaccordancewiththeapplicablespecifications.Over-grindinghasbeenacommonpracticeforremovingminordefects.Theseareallratherminorprogramdiscrepancieswhichcanbecorrectedwithadditionaltrainingandweldingprocedures.RecommendationsC~'ddressweldingperformancedatatodetermineandmonitorwelder'capability~DirectdefectsthatcannotberemovedwithminimumgrindingtoEngineeringfordisposition~InstructcrafttolimitweldsizeforrepairstospecifiedEngineeringrequirementsL2.7VeldinNDE-VeldMaterialControlConclusionThemostsignificantweldmaterialcontrolproblemwasthatofweldrodcontrol,whichresultedintheinitiationofaCARbytheAssessmentTeam.TheCARhasbeensatisfactorilyresolved.tt)Recommendations~IncreasethefrequencyofQCin-processinspectionandmonitoring~ReviewWMRsforcompletenesssothatminorerrorsarenotrepeated 0-1010023h00.2.8VeldinNDE-VeldinlificationsConclusionTheNRChadidentifiedacaseofwelderqualificationsnotmeetingASiMECodeSectionIXineffectatthetimeofqualification.TheAssessmentTeamdeterminedthatwelderqualificationrecordswereinadequateandissuedaCARforthecondition.TheCARhassubsequentlybeenresolvedsatisfactorilyandclosed.RecommendationNone.0.2.9VeldinNDE-VeldInstionTheradiographicfilmproblemshavebeendiscussedinSection0.1.7ofthisreport.TheNRChasindicatedthatITTandRCIhaveproblemsintheNDEarea.Theynotedthatbothofthese.contractarshadvisualandpenetrantin-spectionproblemsinvolvingpipingandpipesupports/restraints.Additionally,ITT,onmanyoccasions,hasclosedDRspriortocompletionofradiography.Insomecases,radiographyperformedlaterdisclosedunacceptabledisconti-nuities,necessitatinganotherDR.TheAssessmentTeamhasdeterminedthatmostoftheproblemsinvolvingNDEoperationshavebeenresolved.Recommendations~ReferenceaprecedingDRwhengeneratingafollow-onDRforthesameweldingproblem,topreventrepeatingrepairsforthesamediscontinuity~AssignEngineeringtodispositionDRswhentheintegrityoftheweldisinquestion~Establishthenumberoftimesagivenweldcanbereworkedpriortoremovingtheentireweld~EstablishameansbywhichthecutoutorrepairedsectionoftheweldcanreadilybeidentifiedforNDEpurposeslLi 10023h1.0.2.10Mechanical-PiinConclusionTheNRCidentifiedproblemswiththepipingQCprogramsofITTandRCI.ITTisnotinspectingforpipingattributessuchasconfiguration,locationandinterferences.Anotherproblemindicatedwasthatchecklistsforpipingdidnotreflectthelatestdesigndocuments.Correctiveactionincludedafinalwalkdownprocedureintendedtoassurethatpipingattributesareinspected,andinspectionchecklistswerechangedtoassurethatlatestdesignrevisionshavebeenincorporated.However,noattentionwasgiventoconfigurationinspectionorresultantreworkversusconstructionprogress.TheAssessmentTeamissuedaCARforunsatisfactoryconditionsinthisarea.Recommendations~Assurethatinspectionplansandprocedurescontaintheattributesofconfiguration,locationandinterferencestobeinspected~Assurethattheinspectionplansandproceduresdetermineacceptancecriteria~ReviseITTinspectioncheckliststoreflectthelaterdesignchangereferencesL2.11Mechanical-PiSurtsandRestraints'ConclusionNRC'smainareaofconcerninthepipingareawasthatITTpipesupport/restraintdeficienciesarenotbeingidentifiedduringconstructionacceptanceinspection.ITTinspectionsofpipesupports/restraintshavenotbeentotallyeffectiveinassuringthathardwareconformstodesignrequirements.NMPCdidnotspecificallyaddresstheNRCconcerninproposedcorrectiveaction;therefore,theresponseremainsincomplete.TheAssessmentTeamconcludedthatthequestionofadequacyofpipesupport/restraintinspectionstoassurehardwareconformitytodesignrequirementremainsunanswered.

0-1210023h0Recommendation~RevisetheactionplanforCATItems10-83and/orCATItem53-83toincludeanevaluationandimprovementstotheinspectionprocessforpipesupports/restraints,toassureconformitybetweendesignandhardware0.2.12Mechanical-RCIProramWeaknessesConclusionTheNRChasidentifiedQA/QCprogramweaknessesforRCIwithregardtodocumentanddesigncontrol,documentationofnonconformingconditionsandproceduraltimingofinspections.Specialcriticismwasleviedbecauseoffailuretoidentifysurveillancereports,datasheets,andinspectionchecklists,thosechangedocumentsineffectatthetimeofinspection.TheAssessmentTeamhasreviewedthecitedconditions,observedtheRCIQCprogressinovercomingthesedifficulties,andhasconcludedthatRCIisstronglyattemptingtoputtogetheraviableQCprogram,butmuchworkandtrainingmuststillbeaccomplished.\Recommendations~Monitor,inspectandauditRCI'simplementationofdrawingcontrolstoassurethatanengineeringchangelogisbeingmaintainedandusedeffectively~Establishholdpointsforinspection,establishacceptancecriteriaandperforminspectionsinatimelymanner~Documentnonconformancesondeficiencyreportingdocumentsratherthanthedocumentusedforinspection0.2.13Mechanical-BoltinConclusionNRCciteddeficienciesinmechanicalequipmentboltingpertainingtoinade-quateverificationofbolttorquingandmissingboltwashers,indicatinginadequateinspection.RequiredtorquevalueswereappliedtoanchorboltsinsubsequenttestsbySWECFQC.AsamplingplanwasdevelopedperNMPCinstruction.However,thesamplingplaninspectedboltsforjoining componentsratherthananchorbolts.Consequently,theAssessmentTeamhasissuedaCARwhichhasnotasyetbeenresolved.Recommendation~ReestablishasamplingplanforanchorboltsandclosetheAssessmentTeam-issuedCAR0.2.10Materials/Receivin-BatterRacksNRCwasconcernedaboutbatteryracksbeingassembledusingunmarkedmaterial,andwithinadequatedrawingsandspecifications.TheAssessmentTeamhasdeterminedthatthosedeficiencieshavebeencorrected.RecommendationsNone.L2.15Materials/Receivin-StoraeandHousekeeinSeveralexamplesofimproperstorageandlackofprotectionfromdamageanddeteriorationofsafety-relatedequipmentintheplantandlaydownareashavebeennotedbytheNRC.TheAssessmentTeamhasmadethreemonthlyreviewsoftheseconditionsforverificationpurposesandhasconcludedthattheconditionshavesomewhatimproved,butitwasnecessarytoissueaCARforprograminadequacies.TheconclusionisthatSV/ECneedstomakesignifi-cantimprovementsinthesystemandfacilities.Recommendations~Avoidstorageinlevelslowerthanspecified~Donotstorematerialsinunassignedareas~Donotmixdissimilarmaterials~Donotinterminglecontractors'aterials 10023hV~Donotinterminglescrap,surplus,rejectedandacceptablematerials~Maintainanadequatesupplyofdunnage03PROGRAMMATICITEMS0&.1~TfRillhlEachofthefivemajorcontractorstoNMP-2hasbeencitedforinadequatetrainingprograms.Thereisatendencytonotrequireadditionaltrainingwhenisolatedcasedeficienciesareidentified.TheAssessmentTeamhasreviewedthetrainingprogramofallfivecontractors.EvidenceindicatesthatprogresshasbeenmadeintheformofSWEC'sassignmentofanewtrainingcoordinatoralongwithavastlyimprovedscheduleandcurriculumdefinition.Recordsarestillsomewhatofaconcern,butitisthoughtthatprogressisbeingmadeincorrectingthisproblem.Recommendations~Improvethebring-upfileforrecertificationofcraftsmenandphysical/eyetestrequirements~Continuetoimprovethetrainingprogramforquality-affectedoperators~Involvemorethanjustlinepersonnelinthetrainingstructure~Addproblemsolvingpracticetothetrainingsessionstoincreaseinterestandeffectiveness0.3.2CommunicationConclusionTheAssessmentTeamdeterminedthattherewasadecidedcommuncationproblembetweenNMPCandGE,whichresultedinaninterfaceproblemaffectingGEdrawings,testinstructions,ship.shortauthorizationsandworkorderpackages.Theresultsweredelaysinimplementingrequiredcorrectiveaction.TheassignmentofawestcoastNMPCliaisonhashelpedconsiderably,alongwithproceduralmodifications.TheAssessmentTeamfeelsthisproblemhasbeenovercomeandconcludesthatitisasatisfactoryresolution.

10023hO.0-15RecommendationsNone.OD.3~InsectionConclusionAmajorportionoftheNRCconcernsaboutNMP-2operationsaretheresultofinadequateinspectionpracticesanddocumentation.TheNRCidentifiedproblemswithinspectionschedulingthatresultedinconstructiondelays.Insomecases,inspectionplansandproceduresdonotcontaininspectionattri-butesoracceptancecriteria.SomeFQCpersonnelareunawareofproceduralrequirements.MechanicalequipmentchecklistslackadequateQCverificationofconfiguration,locationandattachmentdetails.Somedonothavethelatestdesigndocumentationreferences.Holdpointsonwelddatasheetshavebeenbypassednumeroustimesbyallcontractors.ThereareseveralinstanceswhenfieldQCinspectorsprepareddeficiency.reportsbasedonreferenceddimen-sionsonthedrawing,ratherthantherequireddimensions.Alloftheseinspectionprogramdeficiencieshavebeenobserved,witnessedandreviewedbytheAssessmentTeam.Someprogresshasbeenmadeintheformofimprovedproceduresandapplicabletraining,butmuchmoreshouldbeaccomplished.lr)Recommendations~Ensurethatinspectionchecklistsreflectthelatestdesigndocuments~Assurethatinspectionsarescheduledandperformedinatimelymanner~Assurethatacceptancecriteriaandattributestobeinspectedareincludedininspectionplansandprocedures~Assurethatmechanicalequipmentchecklistscontainaplaceforverifica-tionofconfiguration,locationandattachmentdetails~Donotbypassholdpointsforweldingoperations~Assigninspectorsinthefield 10023hOPHASEIVSAMPLINGASSESSMENTConclusionsandRecommendationsrelativetothePhaseIYsamplingassessmentareincludedinSection2Aofthereport.

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