This Standard provides requirements and guidelines for the establishment and execution of quality assurance programs during siting, design, construction, operation and decommissioning of nuclear facilities. This Standard reflects industry experience and current understanding of the quality assurance requirements necessary to achieve safe, reliable, and efficient utilization of nuclear energy, and management and processing of radioactive materials. The Standard focuses on the achievement of results, emphasizes the role of the individual and line management in the achievement of quality, and fosters the application of these requirements in a manner consistent with the relative importance of the item or activity.

PDF Catalog

PDF Pages	PDF Title
4	CONTENTS
18	FOREWORD
20	CORRESPONDENCE WITH THE NQA COMMITTEE
22	ASME NQA COMMITTEE ROSTER
25	INTRODUCTION
26	ASME NQA-1–2019 SUMMARY OF CHANGES
28	PART I REQUIREMENTS FOR QUALITY ASSURANCE PROGRAMS FOR NUCLEAR FACILITIES (FROM FORMER NQA-1) INTRODUCTION 100 PURPOSE 200 APPLICABILITY 300 RESPONSIBILITY 400 TERMS AND DEFINITIONS
32	REQUIREMENT 1 Organization 100 GENERAL 200 STRUCTURE AND RESPONSIBILITY 201 General 202 Delegation of Work 300 INTERFACE CONTROL
33	REQUIREMENT 2 Quality Assurance Program 100 GENERAL 200 INDOCTRINATION AND TRAINING 201 Indoctrination 202 Training 300 QUALIFICATION REQUIREMENTS 301 Nondestructive Examination (NDE)
34	302 Inspection and Test 303 Lead Auditor 304 Auditors
35	305 Technical Specialists 400 RECORDS OF QUALIFICATION 401 Inspection and Test Personnel 402 Lead Auditor Personnel 500 RECORDS
36	REQUIREMENT 3 Design Control 100 GENERAL 200 DESIGN INPUT 300 DESIGN PROCESS 400 DESIGN ANALYSES 401 Use of Computer Programs 402 Documentation of Design Analyses
37	500 DESIGN VERIFICATION 501 Methods 600 CHANGE CONTROL
38	601 Configuration Management of Operating Facilities 700 INTERFACE CONTROL 800 SOFTWARE DESIGN CONTROL 900 DOCUMENTATION AND RECORDS
39	REQUIREMENT 4 Procurement Document Control 100 GENERAL 200 CONTENT OF THE PROCUREMENT DOCUMENTS 201 Scope of Work 202 Technical Requirements 203 Quality Assurance Program Requirements 204 Right of Access 205 Documentation Requirements 206 Nonconformances 207 Spare and Replacement Parts 300 PROCUREMENT DOCUMENT REVIEW 400 PROCUREMENT DOCUMENT CHANGES
40	REQUIREMENT 5 Instructions, Procedures, and Drawings 100 GENERAL
41	REQUIREMENT 6 Document Control 100 GENERAL 200 DOCUMENT CONTROL 300 DOCUMENT CHANGES 301 Major Changes 302 Minor Changes
42	REQUIREMENT 7 Control of Purchased Items and Services 100 GENERAL 200 SUPPLIER EVALUATION AND SELECTION 300 BID EVALUATION 400 CONTROL OF SUPPLIER-GENERATED DOCUMENTS 500 ACCEPTANCE OF ITEM OR SERVICE 501 General 502 Methods of Acceptance 503 Certificate of Conformance
43	504 Source Verification 505 Receiving Inspection 506 Postinstallation Testing 507 Acceptance of Services Only 600 CONTROL OF SUPPLIER NONCONFORMANCES 700 COMMERCIAL GRADE ITEMS AND SERVICES 800 RECORDS
45	REQUIREMENT 8 Identification and Control of Items 100 GENERAL 200 IDENTIFICATION METHODS 201 Item Identification 202 Physical Identification 300 SPECIFIC REQUIREMENTS 301 Identification and Traceability of Items 302 Limited Life Items 303 Maintaining Identification of Stored Items
46	REQUIREMENT 9 Control of Special Processes 100 GENERAL 200 PROCESS CONTROL 201 Special Processes 202 Acceptance Criteria 203 Special Requirements 300 RESPONSIBILITY 400 RECORDS
47	REQUIREMENT 10 Inspection 100 GENERAL 200 INSPECTION REQUIREMENTS 300 INSPECTION HOLD POINTS 400 INSPECTION PLANNING 401 Planning 402 Sampling 500 IN-PROCESS INSPECTION 600 FINAL INSPECTIONS 601 Resolution of Nonconformances 602 Inspection Requirements 603 Modifications, Repairs, or Replacements 604 Acceptance 700 INSPECTIONS DURING OPERATIONS 800 RECORDS
49	REQUIREMENT 11 Test Control 100 GENERAL 200 TEST REQUIREMENTS 300 TEST PROCEDURES (OTHER THAN FOR COMPUTER PROGRAMS) 400 COMPUTER PROGRAM TEST PROCEDURES 500 TEST RESULTS 600 TEST RECORDS 601 Test Records
50	602 Computer Program Test Records
51	REQUIREMENT 12 Control of Measuring and Test Equipment 100 GENERAL 200 SELECTION 300 CALIBRATION AND CONTROL 301 Calibration 302 Reference Standards 303 Control 304 Commercial Devices 400 RECORDS 401 General
52	402 Reports and Certificates
53	REQUIREMENT 13 Handling, Storage, and Shipping 100 GENERAL 200 SPECIAL REQUIREMENTS 300 PROCEDURES 400 TOOLS AND EQUIPMENT 500 OPERATORS 600 MARKING OR LABELING
54	REQUIREMENT 14 Inspection, Test, and Operating Status 100 GENERAL 200 AUTHORITY 300 STATUS INDICATION
55	REQUIREMENT 15 Control of Nonconforming Items 100 GENERAL 200 IDENTIFICATION 300 SEGREGATION 400 DISPOSITION 401 Control 402 Responsibility and Authority 403 Personnel 404 Disposition 405 Reexamination
56	REQUIREMENT 16 Corrective Action 100 GENERAL
57	REQUIREMENT 17 Quality Assurance Records 100 GENERAL 200 GENERATION OF RECORDS 300 AUTHENTICATION OF RECORDS 400 CLASSIFICATION 401 Lifetime Records 402 Nonpermanent Records 500 RECEIPT CONTROL OF RECORDS 600 STORAGE 601 General
58	602 Facility Types 603 Temporary Storage 700 RETENTION 800 MAINTENANCE OF RECORDS
59	REQUIREMENT 18 Audits 100 GENERAL 200 SCHEDULING 201 Internal Audits 201.1 Nuclear Facilities Prior to Placing the Facility Into Operation. 201.2 Nuclear Facilities After Placing the Facility Into Operation. 201.3 Suppliers and Other Nuclear Support Organizations. 202 External Audits 300 PREPARATION 301 Audit Plan 302 Personnel
60	303 Selection of Audit Team 400 PERFORMANCE 500 REPORTING 600 RESPONSE 700 FOLLOW-UP ACTION 800 RECORDS
61	PART II QUALITY ASSURANCE REQUIREMENTS FOR NUCLEAR FACILITY APPLICATIONS INTRODUCTION 100 PURPOSE 200 APPLICABILITY 300 RESPONSIBILITY 400 PLANNING AND PROCEDURES 401 Planning 402 Procedures
62	500 DEFINITIONS 600 MULTIUNIT FACILITY PROVISIONS 601 Planning and Preparation 602 Documentation 603 Installation 604 Inspection
63	SUBPART 2.1 Quality Assurance Requirements for Cleaning of Fluid Systems and Associated Components for Nuclear Facilities 100 GENERAL 101 Definitions
64	200 GENERAL REQUIREMENTS 201 Planning 202 Procedures and Instructions 203 Rectification of Unacceptable Cleanness
65	204 Control of Cleaning Solutions 300 CLEANNESS CRITERIA 301 Cleanness Classification 302 Cleanness Class Criteria
66	303 Hydraulic, Instrument Control, and Lubrication Lines and Systems 304 Cleaning and Flushing Fluid Quality Requirements
67	400 MANUFACTURING PHASE CLEANNESS Tables Table 302.5 Summary Table for Cleanness Classes Table 304.1 Water Requirements
68	500 CLEANNESS PRIOR TO INSTALLATION Table 304.4 Flushing Requirements for Hydraulic, Instrument Control, and Lubrication Systems
69	600 CLEANNESS DURING INSTALLATION 700 MAINTENANCE OF INSTALLATION CLEANNESS 800 PREOPERATIONAL CLEANING 801 Preparations
70	802 Flushing and Cleaning Methods 900 LAYUP AND POSTLAYUP CLEANING 1000 POSTOPERATIONAL REPAIRS AND MODIFICATIONS
71	1100 RECORDS
72	SUBPART 2.2 Quality Assurance Requirements for Packaging, Shipping, Receiving, Storage, and Handling of Items for Nuclear Facilities 100 GENERAL 101 Definitions 200 GENERAL REQUIREMENTS 201 Classification of Items
73	300 PACKAGING 301 General 302 Levels of Packaging
74	303 Cleaning
75	304 Methods of Preservation 305 Caps, Plugs, Tapes, and Adhesives
76	306 Barrier and Wrap Materials and Desiccants
77	307 Containers, Crating, and Skids 308 Cushioning, Blocking, Bracing, and Anchoring
78	309 Marking
79	400 SHIPPING 401 General 402 Transportation Requirements 403 Precautions During Loading and Transit 404 Identification and Markings 405 Nuclear Material Shipments
80	500 RECEIVING 501 General 502 Receiving Inspection Requirements
81	503 Disposition of Received Items 504 Status-Indicating System 505 Marking 506 Documentation 600 STORAGE 601 General 602 Storage Areas
82	603 Storage Methods 604 Control of Items in Storage
83	605 Removal of Items From Storage 606 Storage Records 700 HANDLING 800 RECORDS
84	SUBPART 2.3 Quality Assurance Requirements for Housekeeping at Nuclear Facilities 100 GENERAL 200 GENERAL REQUIREMENTS 201 Planning and Procedures 202 Classification of Cleanness 300 REQUIREMENTS 301 Control of Site Area
85	302 Control of Facilities 303 Material and Equipment 304 Construction Tools, Supplies, and Equipment 305 Surveillance and Inspections
86	400 RECORDS
87	SUBPART 2.5 Quality Assurance Requirements for Installation, Inspection, and Testing of Structural Concrete, Structural Steel, Soils, and Foundations for Nuclear Facilities 100 GENERAL 101 Definitions
88	200 GENERAL REQUIREMENTS 300 REQUIREMENTS 301 Planning and Procedures 302 Control of Measuring and Test Equipment 303 Laboratory Testing 400 PRECONSTRUCTION VERIFICATION 401 General 402 Materials Suitability 403 Construction Processes
89	500 INSPECTION OF SOILS AND EARTHWORK 501 General 502 Materials 503 Placing and Compacting Equipment 504 Preplacement Preparations 505 Soil Compaction 506 In-Process Tests on Compacted Fill
90	600 INSPECTION OF FOUNDATION PILE AND CAISSON CONSTRUCTION1 Applicable for nonreactor containment structures only. This section is not applicable to reactor containment structures because piles and caissons are typically not used for U.S. commercial nuclear reactor containment structures. 601 Piles Table 506 Required In-Process Tests for Compacted Fill
91	602 Caissons
92	603 Required Qualification Tests 700 INSPECTION OF CONCRETE CONSTRUCTION 701 General 702 Protection of Materials 703 Measuring, Mixing, and Transporting Equipment 704 Preplacement Preparations
93	705 Concrete Placement 706 Finishing and Repairs 707 Curing
94	708 Stress Transfer of Pretensioned Members 709 Post-Tensioning 710 Shipping and Handling of Precast Concrete Members 711 In-Process Tests on Concrete
95	712 Mechanical Splice Testing 713 Welded Reinforcing Bar Splices 714 Bending of Reinforcement 800 INSPECTION OF STEEL CONSTRUCTION 801 General 802 Supporting Structures 803 Assembly and Erection 804 High-Strength Bolting
96	805 Welding 900 DATA ANALYSIS AND EVALUATION 901 General 902 Concrete and Mechanical Splice Test Data Evaluation and Analysis
97	903 Steel Construction Test Data Evaluation and Analysis 904 Soils Test Data Evaluation and Analysis 1000 RECORDS
98	SUBPART 2.7 Quality Assurance Requirements for Computer Software for Nuclear Facility Applications 100 GENERAL 101 Software Engineering 102 Definitions
99	200 GENERAL REQUIREMENTS 201 Documentation and Records 202 Verification
100	203 Software Configuration Management 204 Problem Reporting and Corrective Action
101	300 SOFTWARE ACQUISITION 301 Procured Software and Software Services 302 Otherwise Acquired Software 400 SOFTWARE ENGINEERING METHOD 401 Planning 402 Software Requirements 403 Software Design
102	404 Software Design Implementation 405 Computer Program Testing
103	406 Operation 407 Maintenance 408 Retirement 500 STANDARDS, CONVENTIONS, AND OTHER WORK PRACTICES 600 SUPPORT SOFTWARE 601 Software Tools 602 System Software 700 REFERENCES
104	SUBPART 2.8 Quality Assurance Requirements for Installation, Inspection, and Testing of Mechanical Items for Nuclear Facilities 100 GENERAL 101 Definitions 200 GENERAL REQUIREMENTS 201 Planning and Procedures 202 Prerequisites
105	300 PREINSTALLATION VERIFICATION 301 General 302 Identification 303 Installation Process Control 304 Physical Condition 305 Installation Area Conditions
106	400 INSTALLATION INSPECTIONS 401 General 402 Process and Procedures Control 403 Inspection 404 Installation Checks
107	405 Care of Mechanical Items 500 SYSTEMS TURNOVER INSPECTION AND TESTS 501 General
108	502 Preoperational Testing 503 Cold Functional Tests 503.1 Reactor Coolant System Hydrostatic Tests. 503.2 Functional and Flow Testing.
109	504 Hot Functional Tests 600 DATA ANALYSIS AND EVALUATION 700 RECORDS
110	SUBPART 2.14 Quality Assurance Requirements for Commercial Grade Items and Services 100 GENERAL 101 Definitions1 United States (U.S.) nuclear facilities are regulated and licensed under the Code of Federal Regulation (CFR) based on the facility function or purpose. Regulations can vary based on the type of facility, applicable CFR, and regulatory agency. Regulation 10 CFR Part 21, Reporting of Defects and Noncompliance, establishes criteria for commercial grade item definition and dedication activities that are based on the facility types per 10 CFR Parts 30, 40, 50, 52, 60, 61, 63, 70, 71, and 72, unless specifically provided otherwise in the regulations. United States licensed facilities and other entities supporting the licensed facilities are required to comply with the appropriate regulations. It is the responsibility of the U.S. facility management to determine the applicability of this Subpart to meet the U.S. facility regulatory requirements, including all pertinent definitions.
111	200 CGI DEFINITION APPLICATIONS 300 UTILIZATION 400 TECHNICAL EVALUATION 401 General
112	402 Like-for-Like Items 403 Equivalent Items 500 CRITICAL CHARACTERISTICS 600 METHODS OF ACCEPTING COMMERCIAL GRADE ITEMS AND SERVICES 601 Dedication
113	602 Method 1: Special Test(s), Inspection(s), and/or Analyses 603 Method 2: Commercial Grade Survey of the Supplier
114	604 Method 3: Source Verification 605 Method 4: Acceptable Supplier Item or Service Performance Record
115	606 Supplier Deficiency Correction 700 COMMERCIAL GRADE SERVICES 800 DOCUMENTATION 900 REFERENCES
117	SUBPART 2.15 Quality Assurance Requirements for Hoisting, Rigging, and Transporting of Items for Nuclear Power Plants
118	SUBPART 2.17 Quality Assurance Requirements for Electronic Quality Assurance Records Systems 100 GENERAL 101 Definitions 200 GENERAL REQUIREMENTS 300 RECORD RECOVERY
119	301 Record Recovery Plan 400 ACCESS CONTROL AND RETRIEVAL 401 Access Control 402 Retrieval 500 DIGITAL AND PHYSICAL SECURITY 600 ELECTRONIC DATA INTEGRITY 700 DISPOSAL OF RECORDS 800 ACQUISITION, DEVELOPMENT, AND MAINTENANCE OF ELECTRONIC RECORDS SYSTEMS
120	SUBPART 2.18 Quality Assurance Requirements for Maintenance of Nuclear Facilities 100 GENERAL 200 GENERAL REQUIREMENTS 201 Responsibilities 202 Procedures
121	203 Cleanness Control 204 Environmental and Seismic Qualifications 205 Work Authorization 206 Equipment History 207 Verification of Maintenance Work 208 Updating of Maintenance Procedures From Vendor Technical Manuals and Industry Bulletins 300 PREVENTIVE MAINTENANCE 301 General 302 Plans and Procedures
122	400 CORRECTIVE MAINTENANCE 401 General 402 Identification, Reporting, and Documenting of Equipment or Systems Requiring Corrective Maintenance 403 Assessments and Evaluations 404 Implementing Corrective Maintenance 500 RECORDS
123	SUBPART 2.19 Quality Assurance Requirements for the Use of Supplier Accreditation for Calibration or Testing Services 100 GENERAL 200 REQUIREMENTS 201 Calibration Services 202 Testing Services
125	SUBPART 2.20 Quality Assurance Requirements for Subsurface Investigations for Nuclear Facilities 100 GENERAL 101 Definitions 200 GENERAL REQUIREMENTS 201 Planning 202 Procedures and Instructions
126	203 Results 204 Personnel Qualifications 300 VERIFICATION 301 General 302 Preinvestigation 303 Field Investigation
127	304 Laboratory Testing 305 Engineering Evaluation and Analysis 400 FIELD INVESTIGATION 401 General 402 Field Operations
128	403 Field Equipment 404 Surveying 405 Boring and Excavating 406 Sampling and Testing
129	407 Classification and Reporting 500 LABORATORY TESTING 501 General 502 Scope
130	503 Test Methods 504 Report of Laboratory Tests 600 ENGINEERING EVALUATION AND ANALYSIS 601 General 602 Analysis of Subsurface Conditions 603 Report of Evaluation and Analysis 700 RECORDS
131	SUBPART 2.22 Quality Assurance Requirements for Management Assessment and Quality Improvement for Compliance With 10 CFR 830 and Department of Energy (DOE) Order 414.1 for DOE Nuclear Facilities 100 GENERAL 101 Definitions
132	200 MANAGEMENT ASSESSMENT REQUIREMENTS 201 General 202 Assessment Planning and Scheduling 203 Assessment Process
133	204 Evaluation of Assessment Results 300 QUALITY IMPROVEMENT 301 General 302 Evaluation of Work 303 Quality Improvement Tools
134	304 Improvement Identification and Implementation 305 Improvement Evaluation 400 RECORDS 500 REFERENCES
135	SUBPART 2.25 Quality Assurance Requirements for High-Level Waste Custodians 100 GENERAL 101 Definitions 200 REQUIREMENTS 201 Organization: Interface Control 202 Program
136	203 Design Control 204 Procurement Document Control 205 Instructions, Procedures, and Drawings 206 Document Control
137	207 Control of Purchased Items and Services 208 Inspection
138	209 Test Control 210 Control of Measuring and Test Equipment (M&TE) 211 Control of Nonconforming Items 212 Corrective Action 213 Records
139	214 Audits 215 Scientific Investigations and Data Qualification
140	PART III GUIDANCE FOR IMPLEMENTING PARTS I AND II REQUIREMENTS INTRODUCTION 100 PURPOSE 200 APPLICABILITY
141	SUBPART 3.1 Guidance for Implementing Part I Requirements
142	SUBPART 3.1-1.1 Implementing Guidance for Part I, Requirement 1: Organization 100 GENERAL 200 ORGANIZATIONAL STRUCTURE 300 BASIC PRINCIPLES 301 Management Functions 302 Quality Achievement Functions
143	SUBPART 3.1-2.1 Implementing Guidance for Part I, Requirement 2: Quality Assurance Programs 100 GENERAL 200 PROGRAM FORMAT 300 PROGRAM DEVELOPMENT 301 Purpose and Scope 302 Timing
144	400 WORK REQUIREMENTS AND PERFORMANCE 401 Basis and Structure 402 Planning 500 WORK PROCESSES 501 Process Management 502 Graded Approach 600 TRAINING AND QUALIFICATION
145	700 ASSESSMENT OF PERFORMANCE
146	SUBPART 3.1-2.2 Implementing Guidance for Part I, Requirement 2: Quality Assurance Programs, Lead Auditor Qualification 100 GENERAL 200 EDUCATION AND EXPERIENCE 201 Education (4 Credits Maximum) 202 Experience (9 Credits Maximum) 203 Other Credentials of Professional Competence (2 Credits Maximum) 204 Rights of Management (2 Credits Maximum) 300 RECORDS
147	Figure 300 Sample Form for Record of Lead Auditor Qualification Figures Figure 300 Sample Form for Record of Lead Auditor Qualification
149	SUBPART 3.1-2.3 Implementing Guidance for Part I, Requirement 2: Quality Assurance Programs, Inspection and Test Personnel Qualification 100 GENERAL 200 FUNCTIONAL QUALIFICATIONS 201 Level I Personnel Capabilities 202 Level II Personnel Capabilities 203 Level III Personnel Capabilities 300 EDUCATION AND EXPERIENCE QUALIFICATIONS 301 Level I 302 Level II
150	303 Level III 400 USE OF INSPECTION AND TEST PERSONNEL
151	SUBPART 3.1-2.4 Implementing Guidance for Part I, Requirement 2: Quality Assurance Programs, Management Assessment of the QA Program Using Surveillance 100 GENERAL 200 PLANNING AND SCHEDULING 201 Planning 202 Scheduling 300 PREPARATION
152	400 PERFORMANCE 401 Notification 402 Conduct of Surveillance
153	500 REPORTING AND COMMUNICATION 600 RESOLUTION OF ISSUES 601 Response to Surveillance Reports 602 Follow-Up
154	SUBPART 3.1-3.1 Implementing Guidance for Part I, Requirement 3: Design Control 100 GENERAL 200 DESIGN INPUT
155	300 DESIGN PROCESS
156	400 DESIGN ANALYSIS 401 Use of Computer Programs
157	500 DESIGN VERIFICATION 600 CHANGE CONTROL
158	700 USE OF REVERSE-ENGINEERING TECHNIQUES Table 401.4 Scenarios for Use of Computer Programs in Design Analysis
159	800 INTERFACE CONTROL 900 DOCUMENTATION AND RECORDS 1000 REFERENCE
160	SUBPART 3.1-4.1 Implementing Guidance for Part I, Requirement 4: Procurement Document Control 100 GENERAL 200 PROCUREMENT DOCUMENT REVIEW 300 TYPICAL SCOPE OF PROCUREMENT EFFORT 301 Design, Construction, and Testing Phases 302 Operational Phase
161	400 CATEGORIZATION OF PROCUREMENT ACTIONS 500 GENERAL LOGIC CONSIDERATIONS 501 Importance of Malfunction or Failure of the Item to Plant Safety 502 Complexity or Uniqueness of the Item 503 Need for Special Controls and Surveillance Over Processes and Equipment 504 Degree to Which Functional Compliance Can Be Demonstrated by Inspection and Test 505 Quality History and Degree of Standardization of the Item
162	600 LOGIC CHART 700 METHODS OF SPECIFYING QUALITY ASSURANCE PROGRAM REQUIREMENTS 701 Example of Specifying the Overall Method
163	Figure 600 Logic Chart for Determining Appropriate Quality Requirements
164	702 Example of Specifying the Unique Order Method
165	SUBPART 3.1-7.1 Implementing Guidance for Part I, Requirement 7: Control of Purchased Items and Services 100 GENERAL 200 PROCUREMENT PLANNING 300 SUPPLIER SELECTION 301 Performance History 302 Quality Records
166	303 Facility Survey 400 BID EVALUATION 500 PURCHASER/SUPPLIER COMMUNICATIONS 600 CONTROL OF CHANGES IN ITEMS OR SERVICES 601 Bid Evaluation Changes 602 Control of Changes 603 In Process Control of Deviations 700 PRODUCT ACCEPTANCE 701 Source Verification
167	702 Receiving Inspection 703 Certificate of Conformance 704 Postinstallation Testing 705 Determining Authenticity
168	SUBPART 3.1-10.1 Implementing Guidance for Part I, Requirement 10: Inspection 100 GENERAL 200 INSPECTION AND PROCESS MONITORING 300 IN-SERVICE INSPECTION
169	SUBPART 3.1-15.1 Implementing Guidance for Part I, Requirement 15: Control of Nonconforming Items 100 GENERAL 200 IDENTIFICATION 201 Validation 202 Evaluation 300 SEGREGATION 400 DISPOSITION 401 Allowable Use and Documentation of Preapproved Reject or Rework Process
170	402 Disposition Control, Documentation, and Closure
171	Figure 100 Nonconforming Item Process Chart
172	SUBPART 3.1-16.1 Implementing Guidance for Part I, Requirement 16: Corrective Action 100 GENERAL 200 CORRECTIVE ACTION 300 BASIC CORRECTIVE ACTION ELEMENTS 301 Identification and Documentation 302 Classification
173	303 Report to Management 304 Cause Determination Figure 300 Corrective Action Process Chart
174	305 Corrective Action Plan 306 Verification of Implementation 307 Effectiveness Review 308 Closure 309 Trend Analysis 400 MANAGEMENT INVOLVEMENT 500 PROCESS CHART
175	SUBPART 3.1-16.2 Implementing Guidance for Part I, Requirement 16: Trend Analysis 100 GENERAL 200 DEFINITIONS 300 TRENDING PROGRAM
176	400 DATA COLLECTION 401 Program and Preparation for Effective Trending 402 Data Collection Sources and Methods 500 TREND ANALYSIS PROCESS 502 Trend Analysis Staff and Teams 503 Data Sorting and Categorization
177	504 Trend Significance Analysis 600 TREND REPORTING 601 Report Content 602 Reporting Frequency
178	700 RECORDS 800 REFERENCES AND RECOMMENDED READING
179	SUBPART 3.1-17.1 Implementing Guidance for Part I, Requirement 17: Quality Assurance Records 100 GENERAL 101 Generation of Records 102 Authentication of Records 103 Indexing 104 Corrected Information in Records 105 Storage
180	106 Preservation and Safekeeping 107 Facilities and Containers 108 Retrieval 109 Records Transfer to Owner or Purchaser 110 Record Destruction 200 LIST OF TYPICAL LIFETIME RECORDS 201 Design and Safety Basis Records 202 Procurement Records
181	203 Manufacturing Records 204 Installation Construction Records 205 Preoperational and Start-Up Test Records 206 Operation Records
182	207 Decommissioning and Destruction
183	SUBPART 3.1-17.2 Implementing Guidance for Part I, Requirement 17: Quality Assurance Records, Electronic Records 100 GENERAL 101 Definitions 200 AUTHENTICATION OF RECORDS 201 Electronic Signatures
184	300 GENERATION OF RECORDS 301 Electronic Records Systems 302 Conversion of Media 303 Indexing Records 400 RECEIPT CONTROL OF RECORDS
185	500 STORAGE 501 Environmental Considerations 502 Facility and System Access 503 Temporary Storage 504 Portable Electronic Media 600 ACCESS CONTROL AND RETRIEVAL
186	700 DISPOSAL OF RECORDS 701 Guidance Factors 800 MAINTENANCE OF RECORDS SYSTEM
187	900 SYSTEM INTEGRITY AND RECORD RECOVERY
188	SUBPART 3.1-18.1 Implementing Guidance for Part I, Requirement 18: Audits 100 GENERAL 200 AUDIT ADMINISTRATION 201 Purpose 202 Elements 203 Frequency of Audits 204 Shared External Audits
189	205 Supplemental Audits 206 Audit Equivalents 300 PREPARATION FOR AUDITING 301 Team Selection and Assignment
190	302 Planning the Audit 303 Audit Notification 400 AUDIT PERFORMANCE 401 Pre-Audit Conference 402 Methods
191	403 Audit Implementation 404 Post-Audit Conference 500 REPORTING 600 RESPONSE 700 FOLLOW-UP ACTION
192	SUBPART 3.1-18.2 Implementing Guidance on Classification and Handling Audit Issues 100 GENERAL 200 INTRODUCTION 300 CLASSIFICATION OF ISSUES 301 Finding 302 Observation 303 Opportunity for Improvement 304 Strength
193	400 RESPONSES TO ISSUES 401 Finding Responses 402 Observation Responses 403 Opportunities for Improvement 404 Strengths 500 FOLLOW-UP 501 Evaluate the Written Response 502 Monitor Corrective Actions 503 Reaudit
194	SUBPART 3.2 Guidance for Implementing Part II Requirements
195	SUBPART 3.2-2.1 Implementing Guidance for Part II, Requirement 2.1: Cleaning of Fluid Systems 100 GENERAL 200 APPLICABILITY 300 CLEANING RECOMMENDATIONS AND PRECAUTIONS 400 GUIDELINES FOR ASSIGNING CLEANNESS CLASSIFICATIONS 401 Normal Fluid Systems and Components 402 Hydraulic, Instrument Control, and Lubrication Lines and Systems
196	SUBPART 3.2-2.7.1 Implementing Guidance for Part II, Requirement 2.7: Quality Assurance Requirements for Computer Software for Nuclear Facility Applications INTRODUCTION 100 GENERAL 101 Software Engineering 101.1 101.2
197	101.3 101.4 101.5 101.6 101.7 102 Definitions 102.1 Software Characteristics. 102.2 Hardware Characteristics. 102.3 Firmware Characteristics.
198	200 GENERAL REQUIREMENTS 201 Documentation and Records 202 Verification 202.1 Reviews. 203 Software Configuration Management 203.1 Configuration Identification. 203.2 Configuration Change Control. 203.3 Configuration Status Control. 203.4 Configuration Audits.
199	204 Problem Reporting and Corrective Action 300 SOFTWARE ACQUISITION 301 Procured Software and Software Services 302 Otherwise Acquired Software 400 SOFTWARE ENGINEERING METHOD 401 Planning 402 Software Requirements 403 Software Design
200	404 Software Design Implementation 405 Computer Program Testing 405.1 Testing Process. 405.1.1 Unit Testing. 405.1.2 Integration Testing.
201	405.1.3 Regression Testing. 405.1.4 System Testing. 405.1.5 Factory Acceptance Testing. 405.1.6 Installation Testing. 405.1.7 Site Acceptance Testing. 405.2 Test Plans and Test Cases
202	405.3 Test Results and Test Reports. 406 Operation 406.1 Use of Software. 406.2 Access Control. 406.3 In-Use Testing.
203	406.4 User Documentation. 407 Maintenance 408 Retirement 500 STANDARDS, CONVENTIONS, AND OTHER WORK PRACTICES 600 SUPPORT SOFTWARE 601 Software Tools 602 System Software 700 REFERENCES
205	SUBPART 3.2-2.7.2 Implementation Guidance on the Requirements of NQA-1, Parts I and II for Software Used for Nuclear Facility Applications INTRODUCTION 100 GENERAL 101 Terms and Definitions 200 FLOWCHART APPROACH 201 Flowcharts
206	202 Legend
207	Figure 201-1 Software Engineering Figure 201-1 Software Engineering
212	Figure 201-2 Software Design Requirements Figure 201-2 Software Design Requirements
213	Figure 201-3 Software Configuration Management Figure 201-3 Software Configuration Management
214	Figure 201-4 Support Software and Tools Figure 201-4 Support Software and Tools
215	Figure 201-5 Problem Reporting and Corrective Action Figure 201-5 Problem Reporting and Corrective Action
216	Figure 201-6 Software Design Figure 201-6 Software Design
217	Figure 201-7 Software Reviews Figure 201-7 Software Reviews
218	Figure 201-8 Software Design Implementation Figure 201-8 Software Design Implementation
219	Figure 201-9 Computer Program Testing Figure 201-9 Computer Program Testing
222	Figure 201-10 Software Operation, Maintenance, and Retirement Figure 201-10 Software Operation, Maintenance, and Retirement
223	Figure 201-11 Software Acquisition Figure 201-11 Software Acquisition
225	Figure 201-12 Computer Program Use in Design Analysis Figure 201-12 Computer Program Use in Design Analysis
226	Figure 202-1 Legend for Flowcharts Figure 202-1 Legend for Flowcharts
227	SUBPART 3.2-2.14 Implementing Guidance for Part II, Requirement 2.14: Quality Assurance Requirements for Commercial Grade Items and Services, Commercial Grade Computer Programs, and Software Services 100 GENERAL 101 Definitions
228	200 DEFINITION APPLICATIONS 300 UTILIZATION 400 TECHNICAL EVALUATION 401 Technical Evaluation Considerations
229	402 Technical Evaluation Documentation Review 500 CRITICAL CHARACTERISTICS 501 Computer Program Critical Characteristics
230	502 Computer Program Acceptance Criteria 600 METHODS FOR ACCEPTING COMMERCIAL GRADE ITEMS AND SERVICES 601 Dedication 602 Method 1: Special Test(s), Inspection(s), and/or Analyses 602.1 Special Tests.
231	Table 501 Typical Critical Characteristics to Consider for Computer Programs Table 501 Typical Critical Characteristics to Consider for Computer Programs
235	602.2 Inspections. 602.3 Analyses. 603 Method 2: Commercial Grade Survey of the Supplier
236	604 Method 3: Source Verification 605 Method 4: Acceptable Supplier Item or Service Performance Record 700 COMMERCIAL GRADE SOFTWARE SERVICES 800 DOCUMENTATION 801 Computer Program Procurement Documents
237	802 Dedication Documentation 803 User Documentation 900 REFERENCES
238	SUBPART 3.2-2.15 Implementing Guidance for Part II, Requirement 2.15: Hoisting, Rigging, and Transportation 100 GENERAL 200 RECOMMENDED DESIGN CRITERIA 201 Structural 202 Mechanical 300 RECOMMENDED CONTROL OF THE USE OF HANDLING EQUIPMENT
239	SUBPART 3.2-2.18.1 Implementing Guidance for Part II, Requirement 2.18: Maintenance of Nuclear Facilities, Establishing and Maintaining Equipment Histories 100 GENERAL 200 DEVELOPING AN EQUIPMENT HISTORY 300 MAINTAINING HISTORICAL DATA 400 USING MAINTENANCE HISTORY
240	SUBPART 3.2-2.18.2 Implementing Guidance for Part II, Requirement 2.18: Maintenance of Nuclear Facilities, Engineering Evaluations of Equipment Failures 100 INTRODUCTION 200 ENGINEERING EVALUATIONS 201 Initiating Engineering Evaluations 202 Performing Engineering Evaluations
241	203 Using Engineering Evaluation Results
242	SUBPART 3.2-2.20 Implementing Guidance for Part II, Requirement 2.20: Subsurface Investigations for Nuclear Power Plants, Sample Control and Identification 100 GENERAL 200 CONTROL OF SUBSURFACE INVESTIGATIONS 300 IDENTIFICATION OF SAMPLES 400 CONTROL OF SAMPLES
243	SUBPART 3.3 Nonmandatory Guidance on Quality Assurance Program Requirements for Collection of Scientific and Technical Information for Site Characterization of High-Level Nuclear Waste Repositories
244	PART IV GUIDANCE ON THE APPLICATION AND USE OF NQA-1 INTRODUCTION 100 PURPOSE 200 APPLICABILITY
245	SUBPART 4.1 Guides on Use and Comparison of NQA-1 With Other Quality Requirements SUBPART 4.1.1 Guidance to Modification of an ISO 9001:2015 Quality Management System for Compliance With NQA-1–2015, Part I 100 PURPOSE AND SCOPE 200 BACKGROUND 300 TERMS AND DEFINITIONS 400 COMPARISON TABLES
246	Table 400-1 NQA-1, Part I, Requirement 1 (Organization) and Corresponding ISO 9001 Clauses
247	Table 400-2 NQA-1, Part I, Requirement 2 (Quality Assurance Program) and Corresponding ISO 9001 Clauses
248	Table 400-3 NQA-1, Part I, Requirement 3 (Design Control) and Corresponding ISO 9001 Clauses
249	Table 400-4 NQA-1, Part I, Requirement 4 (Procurement Document Control) and Corresponding ISO 9001 Clauses Table 400-5 NQA-1, Part I, Requirement 5 (Instructions, Procedures, and Drawings) and Corresponding ISO 9001 Clauses
250	Table 400-6 NQA-1, Part I, Requirement 6 (Document Control) and Corresponding ISO 9001 Clauses
251	Table 400-7 NQA-1, Part I, Requirement 7 (Control of Purchased Items and Services) and Corresponding ISO 9001 Clauses
252	Table 400-8 NQA-1, Part I, Requirement 8 (Identification and Control of Items) and Corresponding ISO 9001 Clauses Table 400-9 NQA-1, Part I, Requirement 9 (Control of Special Processes) and Corresponding ISO 9001 Clauses
253	Table 400-10 NQA-1, Part I, Requirement 10 (Inspection) and Corresponding ISO 9001 Clauses Table 400-11 NQA-1, Part I, Requirement 11 (Test Control) and Corresponding ISO 9001 Clauses
254	Table 400-12 NQA-1, Part I, Requirement 12 (Control of Measuring and Test Equipment) and Corresponding ISO 9001 Clauses
255	Table 400-13 NQA-1, Part I, Requirement 13 (Handling, Storage, and Shipping) and Corresponding ISO 9001 Clauses Table 400-14 NQA-1, Part I, Requirement 14 (Inspection, Test, and Operating Status) and Corresponding ISO 9001 Clauses
256	Table 400-15 NQA-1, Part I, Requirement 15 (Control of Nonconforming Items) and Corresponding ISO 9001 Clauses Table 400-16 NQA-1, Part I, Requirement 16 (Corrective Action) and Corresponding ISO 9001 Clauses
257	Table 400-17 NQA-1, Part I, Requirement 17 (Quality Assurance Records) and Corresponding ISO 9001 Clauses
258	Table 400-18 NQA-1, Part I, Requirement 18 (Audits) and Corresponding ISO 9001 Clauses
259	SUBPART 4.1.2 Guidance on the Use of NQA-1–2008/1a–2009 for Compliance With Department of Energy Quality Assurance Requirements 10 CFR 830, Subpart A and DOE O 414.1 100 PURPOSE 200 INTRODUCTION 300 DOE RULE AND ORDER GENERAL QAP REQUIREMENTS 400 DOE RULE AND ORDER QA CRITERIA
260	Table 300 10 CFR 830 Subpart A, Dated January 10, 2001 §830.121, Quality Assurance Program; DOE O 414.1C, Dated June 17, 2005
261	Table 400 10 CFR 830 Subpart A, Dated January 10, 2001 §830.122, Quality Assurance Criteria
264	SUBPART 4.1.3 Guidance on the Use of NQA-1–2015 for Compliance With 10 CFR 71 and/or 10 CFR 72 Requirements 100 PURPOSE 200 INTRODUCTION 300 SUMMARY RESULTS
265	Table 300 10 CFR 71 and 10 CFR 72 Criteria Addressed by NQA-1
270	SUBPART 4.1.4 Guidance to Modification of an IAEA GS-R-3 Quality Program to Meet NQA-1a-2009 Requirements and Modification of an NQA-1a–2009 Quality Program to Meet IAEA GS-R-3 Requirements 100 PURPOSE AND SCOPE 200 APPLICABILITY 300 BACKGROUND 301 Global Uses of NQA-1 and IAEA GS-R-3 302 Conceptual Approaches to the Development of NQA-1 and IAEA GS-R-3
271	400 HOW TO USE THIS GUIDE TO ACHIEVE COMPLIANCE WITH IAEA GS-R-3 OR NQA-1 401 Two Perspectives and Two Tables 402 How to Use Tables I and II
272	Table I The Extent to Which GS-R-3 Addresses NQA-1 Requirements
289	SUBPART 4.1.5 Guidance to Modification of an ANSI/ANS-15.8-1995 (R2005; R2013) Quality Program to Meet NQA-1–2012 Requirements 100 INTRODUCTION 200 APPLICABILITY 300 BACKGROUND 400 TERMS AND DEFINITIONS 500 HOW TO USE THE GUIDE TO ACHIEVE COMPLIANCE WITH NQA-1 OR AN ANSI/ANS-15.8 QUALITY PROGRAM
290	Table 200-1 Corresponding NQA Sections (Introduction) to ANSI/ANS-15.8
291	Table 200-2 Corresponding NQA Sections (Requirement 1) to ANSI/ANS-15.8
292	Table 200-3 Corresponding NQA Sections (Requirement 2) to ANSI/ANS-15.8
293	Table 200-4 Corresponding NQA Sections (Requirement 3) to ANSI/ANS-15.8
294	Table 200-6 CorrespondingNQASection (Requirement 5) to ANSI/ANS-15.8 Table 200-7 Corresponding NQA Sections (Requirement 6) to ANSI/ANS-15.8
295	Table 200-8 Corresponding NQA Sections (Requirement 7) to ANSI/ANS-15.8
296	Table 200-9 Corresponding NQA Sections (Requirement 8) to ANSI/ANS-15.8 Table 200-10 Corresponding NQA Sections (Requirement 9) to ANSI/ANS-15.8
297	Table 200-11 Corresponding NQA Sections (Requirement 10) to ANSI/ANS-15.8 Table 200-12 Corresponding NQA Sections (Requirement 11) to ANSI/ANS-15.8
298	Table 200-13 Corresponding NQA Sections (Requirement 12) to ANSI/ANS-15.8 Table 200-14 Corresponding NQA Sections (Requirement 13) to ANSI/ANS-15.8
299	Table 200-15 Corresponding NQA Section (Requirement 14) to ANSI/ANS-15.8 Table 200-16 Corresponding NQA Sections (Requirement 15) to ANSI/ANS-15.8 Table 200-17 Corresponding NQA Section (Requirement 16) to ANSI/ANS-15.8
300	Table 200-18 Corresponding NQA Sections (Requirement 17) to ANSI/ANS-15.8 Table 200-19 Corresponding NQA Sections (Requirement 18) to ANSI/ANS-15.8
301	Table 200-20 Corresponding NQA Sections (Parts I and II) to ANSI/ANS-15.8
302	Table 200-21 Corresponding NQA Sections (Part II) to ANSI/ANS-15.8
303	SUBPART 4.2 Guides on Application of NQA-1 to Work Processes and Activities SUBPART 4.2.1 Guidance on Graded Application of Nuclear Quality Assurance (NQA) Standard for Research and Development 100 INTRODUCTION 101 Research and Development and Conventional NQA Applications 102 The Quality and Nature of Research and Development Work 103 Research and Development in the Technology Life Cycle 103.1 Basic Research.
304	103.2 Applied Research. 103.3 Developmental Work. 103.4 Research and Development Support Activities. 104 Research and Development Process Interfaces and Continuity 200 RESEARCH AND DEVELOPMENT QUALITY ASSURANCE THROUGH PEER REVIEW Figure 103 Technology Life Cycle
305	300 A GRADED APPROACH 301 Basic Research 302 Applied Research 303 Development Work and Research and Development Support Activities 400 QUALITY ASSURANCE RESEARCH AND DEVELOPMENT APPLICATIONS
306	500 RESEARCH AND DEVELOPMENT QUALITY ASSURANCE GLOSSARY OF TERMS 600 APPLICATION OF NQA-1 TO RESEARCH AND DEVELOPMENT ACTIVITIES 601 NQA-1, Requirement 1: Organization
307	602 NQA-1, Requirement 2: Quality Assurance Program Table 600-1 Guidance on Graded Application of the NQA Standard for Research and Development Table 600-2 Software Within Research and Development
308	603 NQA-1, Requirement 3: Design Control 604 NQA-1, Requirement 4: Procurement Document Control 605 NQA-1, Requirement 5: Instructions, Procedures, and Drawings
309	606 NQA-1, Requirement 6: Document Control 607 NQA-1, Requirement 7: Control of Purchased Materials, Items, and Services 608 NQA-1, Requirement 8: Identification of Control Items 609 NQA-1, Requirement 9: Control of Processes 610 NQA-1, Requirement 10: Inspection 611 NQA-1, Requirement 11: Test Control
310	612 NQA-1, Requirement 12: Control of Measuring and Test Equipment 613 NQA-1, Requirement 13: Handling, Storage, and Shipping 614 NQA-1, Requirement 14: Inspection, Test, and Operating Status 615 NQA-1, Requirement 15: Control of Nonconforming Items 616 NQA-1, Requirement 16: Corrective Action
311	617 NQA-1, Requirement 17: Quality Assurance Records 618 NQA-1, Requirement 18: Audits 700 TECHNOLOGY LIFE CYCLE (SUBPART 4.2.1) AND TECHNOLOGY READINESS LEVELS Table 700 Comparison of Subpart 4.2.1 Technology Life Cycle and Technology Readiness Levels
313	SUBPART 4.2.3 Guidance on Qualification of Existing Data 100 GENERAL 200 SELECTING DATA SETS FOR QUALIFICATION 300 DATA QUALIFICATION PROCESS 301 Data Qualification Planning 302 Data Qualification Preparation 303 Data Qualification Attributes 400 QUALIFICATION METHODS 401 Quality Assurance Program Equivalency Method
314	402 Data Corroboration Method 403 Confirmatory Testing Method 404 Peer Review Method 500 DOCUMENTATION OF RESULTS
315	SUBPART 4.2.4 Guidance on the Control of Scientific Investigations 100 GENERAL 101 Definitions 200 PLANNING AND PERFORMING SCIENTIFIC INVESTIGATIONS 201 Scientific Investigation Planning 202 Performing Scientific Investigations
316	300 TECHNICAL DATA 301 Data Identification 302 Data Validation, Verification, and Qualification 303 Data Usage 304 Model Validation 400 SAMPLE CONTROL
317	500 PEER REVIEW 501 General Guidance for Peer Review
318	SUBPART 4.2.5 Guidance on the Transition From Construction to Operation for Nuclear Facilities 100 GENERAL 200 APPLICABILITY 201 Regulatory 300 TRANSITION RECOMMENDATIONS 301 Turnover From Construction to Testing
319	302 Testing of Plant Systems and Components 303 Turnover to Operations
320	304 Preparation for Operation 305 Start-Up Test Program 400 RECORDS
322	SUBPART 4.2.6 Guidance on Quality Assurance for Decommissioning of Nuclear Facilities 100 GENERAL 101 Definitions 200 PREREQUISITES
323	300 PREDECOMMISSIONING CHECKS 301 General 302 Plans, Specifications, and Procedures
324	303 Identification 304 Physical Condition
325	305 System Protection 400 CONTROL DURING DECOMMISSIONING 401 General 402 Processes and Procedures Control
326	403 Checks of Systems, Components, and Equipment Required for Decommissioning 404 Checks During Decommissioning 500 POSTDECOMMISSIONING CHECKS 600 RECORDS
327	SUBPART 4.2.7 Guidance on Peer Review 100 GENERAL 200 TERMS AND DEFINITIONS 300 PERFORMANCE 301 General
328	302 Planning
329	303 Methods 400 REVIEWER SELECTION 401 Competence/Technical Expertise 402 Independence/Conflict of Interest 403 Balance 404 Training 500 COMMENT RESOLUTION 600 PEER REVIEW REPORT
330	700 RECORDS

Published By	Publication Date	Number of Pages
ASME	2019	333


PDF Format	Searchable	Printable	Preview Now

Standard Title	ASME NQA-1-2019 Quality Assurance Requirements for Nuclear Facility Applications
Published Code	ASME
Publication Date	2019
Pages Count	333

ASME NQA 1 2019

PDF Catalog

Related products

ASME BPVC III NCA 2019

ASME NQA 1 2022

SAE AS 5553C:2019

ASME NQA 1 2024