1、ANSI/ANS-3.2-2012managerial, administrative, and qualityassurance controls for the operationalphase of nuclear power plantsANSI/ANS-3.2-2012ANSI/ANS-3.2-2012American National StandardManagerial, Administrative, and QualityAssurance Controls for the OperationalPhase of Nuclear Power PlantsSecretariat
2、American Nuclear SocietyPrepared by theAmerican Nuclear SocietyStandards CommitteeWorking Group ANS-3.2Published by theAmerican Nuclear Society555 North Kensington AvenueLa Grange Park, Illinois 60526 USAApproved March 20, 2012by theAmerican National Standards Institute, Inc.AmericanNationalStandard
3、Designation of this document as an American National Standard attests thatthe principles of openness and due process have been followed in the approvalprocedure and that a consensus of those directly and materially affected bythe standard has been achieved.This standard was developed under the proce
4、dures of the Standards Commit-tee of the American Nuclear Society; these procedures are accredited by theAmerican National Standards Institute, Inc., as meeting the criteria forAmer-ican National Standards. The consensus committee that approved the stan-dard was balanced to ensure that competent, co
5、ncerned, and varied interestshave had an opportunity to participate.An American National Standard is intended to aid industry, consumers, gov-ernmental agencies, and general interest groups. Its use is entirely voluntary.The existence of an American National Standard, in and of itself, does notprecl
6、ude anyone from manufacturing, marketing, purchasing, or using prod-ucts, processes, or procedures not conforming to the standard.By publication of this standard, the American Nuclear Society does not insureanyone utilizing the standard against liability allegedly arising from or afterits use. The c
7、ontent of this standard reflects acceptable practice at the time ofits approval and publication. Changes, if any, occurring through developmentsin the state of the art, may be considered at the time that the standard issubjected to periodic review. It may be reaffirmed, revised, or withdrawn atany t
8、ime in accordance with established procedures. Users of this standardare cautioned to determine the validity of copies in their possession and toestablish that they are of the latest issue.The American Nuclear Society accepts no responsibility for interpretations ofthis standard made by any individu
9、al or by any ad hoc group of individuals.Responses to inquiries about requirements, recommendations, and0or permis-sive statements i.e., “shall,” “should,” and “may,” respectively! should be sentto the Standards Department at Society Headquarters. Action will be taken toprovide appropriate response
10、in accordance with established procedures thatensure consensus.Comments on this standard are encouraged and should be sent to SocietyHeadquarters.Published byAmerican Nuclear Society555 North Kensington AvenueLa Grange Park, Illinois 60526 USACopyright 2012 by American Nuclear Society. All rights re
11、served.Any part of this standard may be quoted. Credit lines, should read “Extracted fromAmerican National Standard ANSI0ANS-3.2-2012 with permission of the publisher,the American Nuclear Society.” Reproduction prohibited under copyright conventionunless written permission is granted by the American
12、 Nuclear Society.Printed in the United States of AmericaInquiryRequestsThe American Nuclear Society ANS! Standards Committee will provide re-sponses to inquiries about requirements, recommendations, and0or permissivestatementsi.e., “shall,” “should,” and “may,” respectively!in American NationalStand
13、ards that are developed and approved by ANS. Responses to inquiries willbe provided according to the Policy Manual for the ANS Standards Committee.Nonrelevant inquiries or those concerning unrelated subjects will be returnedwith appropriate explanation. ANS does not develop case interpretations ofre
14、quirements in a standard that are applicable to a specific design, operation,facility, or other unique situation only, and therefore is not intended for genericapplication.Responses to inquiries on standards are published in ANSs magazine, NuclearNews, and are available publicly on the ANS Web site
15、or by contacting the ANSStandards Administrator.InquiryFormatInquiry requests must include the following:1! the name, company name if applicable, mailing address, and telephonenumber of the inquirer;2! reference to the applicable standard edition, section, paragraph, figure and0ortable;3! the purpos
16、es of the inquiry;4! the inquiry stated in a clear concise manner;5! a proposed reply, if the inquirer is in a position to offer one.Inquiries should be addressed toAmerican Nuclear SocietyATTN: Standards Administrator555 N. Kensington AvenueLa Grange Park, IL 60526or standardsans.orgForewordThis Fo
17、reword is not a part of American National Standard “Managerial, Administrative,and Quality Assurance Controls for the Operational Phase of Nuclear Power Plants,”ANSI0ANS-3.2-2012.!Preparation of the first edition of this standard commenced in 1969 prior to theestablishment of formal quality assuranc
18、e requirements for the operation ofnuclear power plants. Historically, the administrative controls section of FacilityOperating License Technical Specifications had contained provisions for meetingmany of the requirements that subsequently became identified with qualityassurance i.e., the managerial
19、 and administrative controls that assure that thequality designed into the facility is maintained! during operation. It was theoriginal intent of the standard to define administrative controls for this purpose.The subcommittee that developed the initial version of this standard had amembership whose
20、 experience was primarily in power reactor operation, and itdeveloped a document that would provide guidance for administrative controlsover activities associated with the operation of nuclear power plants.At the sametime, ASME Subcommittee N45.2, Nuclear Quality Assurance Standards, wasdeveloping q
21、uality assurance standards related to design, construction, and op-eration of nuclear facilities.The U.S. Nuclear Regulatory CommissionNRC!issued its Safety Guide 33nowRegulatory Guide 1.33, Rev. 2, “Quality Assurance Program Requirements Op-eration!” Feb. 1978!RG 1.33!#, endorsing Draft 8 of ANS-3.
22、2 which laterbecame ANSI N18.7-1972, “Administrative Controls and Quality Assurance forthe Operational Phase of Nuclear Power Plants”! and ANSI0ASME N45.2-1971,“Quality Assurance Program Requirements for Nuclear Power Plants.” Becauseof this dual endorsement, the two committees attempted to develop
23、a singlestandard. The result of that effort was ANSI N18.7-1976, which was later redes-ignated ANS-3.2, i.e., ANSI N18.7-1976 ANS-3.2!, “Administrative Controls andQuality Assurance for the Operational Phase of Nuclear Power Plants,” whichwas subsequently endorsed by RG 1.33 for use by nuclear power
24、 plants duringthe operation phase.Following the Three Mile Island Unit 2 accident in 1979, the American NuclearSociety ANS! revised ANSI N18.7-1976 ANS-3.2! to incorporate the adminis-trative “lessons learned” into the standard and published it as ANSI0ANS-3.2-1982, “Administrative Controls and Qual
25、ityAssurance for the Operational Phaseof Nuclear Power Plants,” to clearly focus ANSI0ANS-3.2-1982 on operationaland administrative quality controls. At the same time, ASME issued ANSI0ASME NQA-1-1979, “QualityAssurance Program Requirements for Nuclear PowerPlants,” to focus clearly on design and co
26、nstruction applications of quality as-surance. ANSI0ANS-3.2-1982 and ANSI0ASME NQA-1-1979 superseded severalof the ANSI0ASME N45.2 standards, which had previously been incorporated byreference into ANSI N18.7-1976 ANS-3.2!.ANSI0ASME NQA-l-1983 and ANSI0ASME NQA-la-1983 Addenda, “Quality As-surance P
27、rogram Requirements for Nuclear Power Plants,” were subsequentrevisions of ANSI0ASME NQA-1-1979 and were endorsed by Regulatory Guide1.28, Rev. 3, “Quality Assurance Program Requirements Design and Construc-tion!”Aug. 1985!. TheANS-3.2 editions were never endorsed by the NRC througha revision to RG
28、1.33, and the industry continued to utilize ANSI N18.7-1976ANS-3.2! as the endorsed standard.SinceANSI0ANS-3.2-1982 was published, the industry moved progressively closerto an all-operating reactor environment in the 1980s and 1990s with little designand construction activities during that time.ANSI
29、0ANS-3.2-1988, “AdministrativeiControls and Quality Assurance for the Operational Phase of Nuclear PowerPlants,” recognized this fact and incorporated many changes to emphasize oper-ational aspects and performance-based quality assurance techniques.ANSI0ANS-3.2-1994, “Administrative Controls and Qua
30、lity Assurance for the OperationalPhase of Nuclear Power Plants,” continued the strong emphasis on this ap-proach. Again, ANSI0ANS-3.2-1982, ANSI0ANS-3.2-1988, and ANSI0ANS-3.2-1994 were not endorsed through a revision to RG 1.33, and existing power plantschose differing paths to revise the requirem
31、ents of existing quality standardsthat were endorsed by the NRC.Since there were few new quality assurance initiatives actively being pursued inthe late 1990s, a decision was made in 1999 to reaffirm ANSI0ANS-3.2-1994. Asefforts within the nuclear industry continue to redefine the approach to qualit
32、yassurance, including changes to enhance the efficiency and effectiveness of im-plementing 10 CFR 50, Appendix B Code of Federal Regulations, Title 10,“Energy,” Part 50, “Domestic Licensing of Production and Utilization Facilities,”Appendix B, “Quality Assurance Criteria for Nuclear Power Plants and
33、 FuelReprocessing Plants”!, in nuclear plant operations, maintenance, and supportingactivities, the ANS-3.2 Working Group continued to work with the industry todevelop revisions of this standard.ANSI0ANS-3.2-2006, “Administrative Controls and Quality Assurance for theOperational Phase of Nuclear Pow
34、er Plants,” was a revision that changed ANS-3.2 to be more in line with the formatting of ANSI0ANS NQA-1-1994, “QualityAssurance Program for Nuclear Facilities,” and 10 CFR 50, Appendix B. It wasapparent that many of the requirements from ANSI0ANS NQA-1-1994 wereduplicated in ANSI0ANS-3.2-2006. The
35、working group modified the standard toprovide the proper emphasis on the difference between design0construction andoperations0administration but did not fully remove all duplication. Again, ANSI0ANS-3.2-2006 was not endorsed through a revision to RG 1.33.Over the years many of the operating plants h
36、ave shifted from utilizing ANSI0ASME N45.2-1971 to various versions of ANSI0ASME NQA-1. While the revi-sions to ANSI N18.7-1976 ANS-3.2! were ongoing, RG 1.33 was not revised, andthe industry continued to utilize ANSI N18.7-1976 ANS-3.2!. Over the yearsmany utilities utilized the NRC license and qua
37、lity assurance program changeprocess to apply alternate approaches to implement the guidance contained inRG 1.33.With the advent of utilities planning and licensing new facilities, there became aneed to develop license applications that committed to the latest endorsed ver-sions of the existing stan
38、dards. In preparing for licensing of new facilities, itbecame apparent that the basic quality assurance requirements that were re-ferred to in ANSI N18.7-1976 ANS-3.2! were outdated and current criteria hadbeen incorporated into ASME NQA-1. The NRC revised Regulatory Guide 1.28,Rev. 4, “Quality Assu
39、rance Program Criteria Design and Construction!” June2010!, to endorseANSI0ASME NQA-1-2008 and NQA-1a-2009Addenda, “QualityAssurance Requirements for Nuclear Facility Applications.” To ensure that therewas no duplication of the requirements contained in ANSI0ASME NQA-1-2008and NQA-1a-2009 Addenda an
40、d to ensure that the managerial and administra-tive controls necessary for the safe operation of the plant received the neededfocus, the working group developed a major revision to the standard that sepa-rated the quality assurance controls from the managerial and administrativecontrols. Since the c
41、ombination of ANSI0ASME NQA-1-2008 and NQA-1a-2009Addenda and ANSI0ANS-3.2-2012, “Managerial, Administrative, and Quality As-surance Controls for the Operational Phase of Nuclear Power Plants,” providesiithe quality assurance requirements and the managerial controls necessary forsafe operation of nu
42、clear facilities, the working group continued with the objec-tive to have ANS-3.2 supplement NQA-1 for operating plants. This industryguidance was fully coordinated with the ASME NQA-1 Standards Committee.ANSI0ANS-3.2-2012 continues to be based on the philosophy that the assuranceof quality is the r
43、esponsibility of the individual performing the task, thus assur-ing that quality is achieved and is not the sole responsibility of the formallyestablished quality assurance organizational group. Therefore, this standardfocuses on the managerial and administrative controls that support this philosoph
44、y.This standard might reference documents and other standards that have beensuperseded or withdrawn at the time the standard is applied. A statement hasbeen included in the references section that provides guidance on the use ofreferences.This standard does not incorporate the concepts of generating
45、 risk-informedinsights, performance-based requirements, or a graded approach to quality as-surance. The user is advised that one or more of these techniques could enhancethe application of this standard.This revised standard was prepared by the ANS-3.2 Working Group and re-viewed by the ANS-21 Subco
46、mmittee and the ANS Nuclear Facility StandardsCommittee NFSC!. At the time of the revision, the membership of the ANS-3.2Working Group was the following:M. E. Smith Chair!, Nuclear Innovations North AmericaC. L. Eldridge Vice Chair!, Furgo William Lettis compli-ance with regulations specifying radia
47、tion doseand contamination criteria; or plant reliability.Applicable portions of this standard may alsobe used for activities at reactors specificallyexcluded in the scope.This standard is intended to be implementedtogether with the applicable elements of ANSI0ASME NQA-1-2008 and NQA-1a-2009Addenda2
48、#. ANSI0ASME NQA-1-2008 and NQA-1a-2009 Addenda is the standard that providesthe appropriate quality assurance require-ments for all phases. This standard providesthe managerial and administrative require-ments needed to assure safe operation of afacility.2 DefinitionsThe terms defined in ANSI0ASME
49、NQA-1-2008 and NQA-1a-2009 Addenda apply to thisstandard and are not duplicated herein.experiments: performance of those plant op-erations executed under controlled conditionsin order to establish characteristics or valuesnot previously known.1!Numbers in brackets refer to corresponding numbers in Sec. 4, “References.”1independent review: review completed by per-sonnel not having direct responsibility or di-rect involvement in the work function underreview.managerial and administrative controls:orders, instructions, procedures, policies, prac-tices, and
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