ASME NQA-1-2017 Quality Assurance Requirements for Nuclear Facility Applications.pdf

1、Quality Assurance Requirements for Nuclear Facility ApplicationsAN AMERICAN NATIONAL STANDARDASME NQA-12017(Revision of ASME NQA-12015)ASME NQA-12017(Revision of ASME NQA-12015)Quality AssuranceRequirements forNuclear FacilityApplicationsAN AMERICAN NATIONAL STANDARDTwo Park Avenue New York, NY 1001

2、6 USADate of Issuance: January 18, 2018The next edition of this Standard is scheduled for publication in 2019.ASME issues written replies to inquiries concerning interpretations of technical aspects of thisStandard. Interpretations are published on the ASME Web site under the Committee Pages athttp:

3、/cstools.asme.org/ as they are issued.Errata to codes and standards may be posted on the ASME Web site under the Committee Pages toprovide corrections to incorrectly published items, or to correct typographical or grammatical errorsin codes and standards. Such errata shall be used on the date posted

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5、ormation” section.ASME is the registered trademark of The American Society of Mechanical Engineers.This code or standard was developed under procedures accredited as meeting the criteria for American NationalStandards. The Standards Committee that approved the code or standard was balanced to assure

6、 that individuals fromcompetent and concerned interests have had an opportunity to participate. The proposed code or standard was madeavailable for public review and comment that provides an opportunity for additional public input from industry, academia,regulatory agencies, and the public-at-large.

7、ASME does not “approve,” “rate,” or “endorse” any item, construction, proprietary device, or activity.ASME does not take any position with respect to the validity of any patent rights asserted in connection with anyitems mentioned in this document, and does not undertake to insure anyone utilizing a

8、 standard against liability forinfringement of any applicable letters patent, nor assume any such liability. Users of a code or standard are expresslyadvised that determination of the validity of any such patent rights, and the risk of infringement of such rights, isentirely their own responsibility

9、.Participation by federal agency representative(s) or person(s) affiliated with industry is not to be interpreted asgovernment or industry endorsement of this code or standard.ASME accepts responsibility for only those interpretations of this document issued in accordance with the establishedASME pr

10、ocedures and policies, which precludes the issuance of interpretations by individuals.No part of this document may be reproduced in any form,in an electronic retrieval system or otherwise,without the prior written permission of the publisher.The American Society of Mechanical EngineersTwo Park Avenu

11、e, New York, NY 10016-5990Copyright 2018 byTHE AMERICAN SOCIETY OF MECHANICAL ENGINEERSAll rights reservedPrinted in U.S.A.CONTENTS(A detailed Contents precedes each NQA Part.)Foreword ivCorrespondence With the NQA Committee . viCommittee Roster . viiiIntroduction . xSummary of Changes xiPart I Requ

12、irements for Quality Assurance Programs for Nuclear Facilities(From Former NQA-1). 1Part II Quality Assurance Requirements for Nuclear Facility Applications . 34Part III Guidance for Implementing Parts I and II Requirements 118Part IV Guidance on the Application and Use of NQA-1 219iiiFOREWORDThis S

13、tandard is intended to serve the global nuclear industry responsible for the safety andquality of nuclear facilities and activities.It is intended to be applied to any structure, system, component, activity, or organization thatis essential to the safe, reliable, and efficient performance of a nucle

14、ar facility and any activitiesindependent of a facility that may affect performance. It is also intended to be applied to allphases of a nuclear facility life cycle and to related activities.This Standard reflects industry experience and current understanding of the quality assurancerequirements nec

15、essary to achieve safe, reliable, and efficient utilization of nuclear energy andmanagement and processing of radioactive materials. The Committee on Nuclear QualityAssurance (NQA) actively endorses the growing worldwide movement toward rational, cost-effective quality assurance practices practices

16、that focus on results. The NQA Committee alsomaintains liaison with national and international groups that have similar interests in quality toassure consistency and maximum applicability of the Standard in a global setting. Consequently,the NQA Committee has regularly updated and revised the Standa

17、rd since its first edition wasissued in 1979 to improve its utility, effect on nuclear safety, and value to the nuclear industry.ThisStandard includesrequirementsand guidanceandisorganized inthefollowing fourparts:(a) Part I contains requirements for a Quality Assurance Program for nuclear facilitya

18、pplications.(b) Part II contains additional quality assurance requirements for the planning and conduct ofspecific work activities conducted under a Quality Assurance Program developed in accordancewith Part I.(c) Part III contains guidance for implementing the requirements of Parts I and II.(d) Par

19、t IV contains guidance for the application of NQA-1 and comparisons of NQA-1 withother quality requirements.Early in 1975, the American National Standards Institute (ANSI) assigned overall responsibilityfor coordination among technical societies and development and maintenance of nuclear powerqualit

20、y assurance standards to the American Society of Mechanical Engineers (ASME). TheASME Committee on NQA was constituted on October 3, 1975, and assumed responsibility forthe ANSI/ASME N.45 series documents. Currently, the NQA Committee operates under theASME requirements for Nuclear Codes and Standar

21、ds Development Committees.This Committee initially preparedANSI/ASME NQA-11979 Quality Assurance Program Requirements for Nuclear PowerPlantsANSI/ASME NQA-21983 Quality Assurance Requirements for Nuclear Power PlantsANSI/ASME NQA-31989 Quality Assurance Requirements for High Level WasteManagementFor

22、 a detailed history of the NQA Committee and evolution of the Standard, go to:http:/cstools.asme.org/csconnect/CommitteePages.cfm?CommitteepO10500000 however, they should not contain proprietary names orinformation.Requests that are not in the format described above may be rewritten in the appropria

23、te formatby the Committee prior to being answered, which may inadvertently change the intent of theoriginal request.Moreover, ASME does not act as a consultant for specific engineering problems or for thegeneral application or understanding of the Standard requirements. If, based on the inquiryviinf

24、ormationsubmitted,itis theopinionoftheCommitteethat theInquirershouldseekassistance,the inquiry will be returned with the recommendation that such assistance be obtained.ASME procedures provide for reconsideration of any interpretation when or if additionalinformation that might affect an interpreta

25、tion is available. Further, persons aggrieved by aninterpretation may appeal to the cognizant ASME Committee or Subcommittee. ASME does not“approve,” “certify,” “rate,” or “endorse” any item, construction, proprietary device, or activity.Attending Committee Meetings. The NQA Standards Committee regu

26、larly holds meetingsand/or telephone conferences that are open to the public. Persons wishing to attend any meetingand/or telephone conference should contact the Secretary of the NQA Standards Committee.viiCOMMITTEE ON NUCLEAR QUALITY ASSURANCE(As of December 19, 2016)STANDARDS COMMITTEE ON NUCLEAR

27、QUALITYASSURANCED. Brown, Chair D. R. SparkmanJ. DeKleine, Vice Chair R. A. SymesN. Moreau, Vice Chair G. SzabaturaO. Martinez, Secretary M. H. TannenbaumJ. G. Adkins T. Van ValkenburgN. R. Barker W. G. WareJ. E. Bergstrom D. A. WinchesterW. J. Bryan J. R. YanekG. Danielson D. C. Agarwal, Contributi

28、ngT. E. Dunn MemberM. A. Hayse K. Ake, ContributingW. Horton MemberR. S. Jolly J. W. Anderson,H. J. Kirschenmann ContributingC. R. Martin MemberJ. W. McIntyre R. L. Blyth, ContributingR. P. McIntyre MemberK. A. Morrell M. Concepcion-Robles,C. H. Moseley, Jr. Contributing MemberT. Muraki M. J. Mason,

29、 ContributingM. F. Nicol MemberD. Prigel T. V. Sarma, ContributingK. L. Rhoads MemberR. A. Sacco S. A. Bernsen, HonoraryR. C. Schrotke, Jr. MemberM. E. Smith J. A. Perry, HonoraryW. K. Sowder, Jr. MemberSubcommittee on ApplicationsD. C. Agarwal, Chair N. J. Linarez-RoyceP. M. Bell, Vice Chair D. A.

30、MorleyD. K. Jensen, Vice Chair C. H. Moseley, Jr.S. D. Diffey, Secretary R. C. Schrotke, Jr.E. T. Baker G. UdentaD. Barrera D. P. WeaverR. D. Brown J. W. Anderson,G. Danielson ContributingT. M. Grace MemberviiiSubcommittee on Assessment and VerificationJ. W. McIntyre, Chair R. M. JoschakM. A. Hayse,

31、 Vice Chair E. C. LoveT. Van Valkenburg, Secretary C. A. MardenB. Blum K. MillerS. F. Borland K. L. MorrisG. Deaton T. V. SarmaT. B. Franchuk G. C. SmolensD. P. Grannan T. T. SuzukiE. D. Groover R. A. SymesD. Holler J. M. ZiembaJ. G. Ice W. K. Sowder, Jr.,K. Iwasawa ContributingD. J. Jantosik Member

32、Subcommittee on Engineering and ProcurementProcessesW. G. Ware, Chair J. MarsdenV. J. Grosso, Vice Chair M. V. MitchellR. S. Jolly, Secretary T. L. MontgomeryP. J. Anderson G. OliverosN. R. Barker P. F. PrescottR. L. Boler E. RenaudD. M. Burns T. RezkJ. Cook, Jr. N. SakamotoR. Czuba G. E. SzabaturaJ

33、. DeKleine M. H. TannenbaumR. W. Dillman J. R. YanekD. Ethington T. M. Cauley, ContributingS. T. Fairburn MemberG. M. Gilmartin R. Srinivasan,K. A. Kavanagh Contributing MemberP. Kilroy D. W. Tuttel,J. D. Lipsky Contributing MemberSubcommittee on Interfaces and AdministrationR. A. Sacco, Chair C. T.

34、 SmithT. E. Dunn, Vice Chair M. E. SmithC. H. Moseley, Jr., Vice J. W. Anderson, ContributingChair MemberD. Prigel, Secretary R. G. Burns, ContributingD. Brown MemberG. Danielson N. M. Burstein, ContributingG. J. Reed MemberSubcommittee on International ActivityG. Danielson, Chair R. CraneR. C. Schr

35、otke, Jr., Vice O. MartinezChair G. OliverosC. A. Spletter, Vice Chair D. PrigelR. Di Salvo, Secretary C. SannaD. C. Agarwal M. Vann MitchellD. M. BurnsSubcommittee on NQA Europe InternationalWorking GroupC. A. Spletter, Chair H. MalkhasyanV. G. Rosu, Vice Chair I. RommerskirchenA. Van Heusden, Vice

36、 Chair D. UdreaM. Mohrlein, Secretary J. WendtL. Bohl C. YilmazB. Foubert A. ZaehnerJ. Henrichsmeyer R. ZdeborD. KoelblSubcommittee on Program Management ProcessesR. L. Blyth, Chair D. K. DreyfusK. L. Rhoads, Vice Chair J. GardinerL. A. Yochim, Secretary H. J. KirschenmannJ. G. Adkins D. MalitoH. S.

37、 O. Al Jaberi S. MatsonA. Appleton R. P. McIntyreD. Arrigo A. RamirezR. Augi E. S. SchwartzJ. E. Bergstrom C. A. SpletterL. M. Cavet D. VickeryW. Clover D. A. WinchesterA. C. Cole M. J. Mason,M. K. Cox Contributing MemberJ. N. DaileyixSubcommittee on Software Quality AssuranceK. Ake, Chair G. A. Lip

38、scombB. Frank, Vice Chair P. I. LooC. Givens, Secretary C. R. MartinS. B. Ailes N. MoreauW. J. Bryan T. MurakiK. A. Byle S. K. SenJ. Chappel H. V. SobahM. Concepcion-Robles D. R. SparkmanP. R. Diepolder D. TanejaT. J. Hall P. L. ValdezM. Hayden T. R. VermaH. Henry R. W. VonRobleW. Horton C. WhartonN

39、. M. Kyle D. J. WilliamsSubcommittee on Waste ManagementM. F. Nicol, Chair E. L. JordanR. Wood, Vice Chair K. A. McMahonK. A. Morrell, Secretary R. D. MurrayG. Appel C. M. PalayB. Bice III D. A. SayreA. V. Chermak G. F. SuberM. C. EagleSubcommittee on Working Group on InterpretationA. Appleton R. C.

40、 Schrotke, Jr.J. W. McIntyre D. WinchesterINTRODUCTIONThis Standard is to be applied to any structure, system, component, activity, or organizationthat is essential to the safe, reliable, and efficient performance of a nuclear facility and anyactivities independent of a facility that may affect perf

41、ormance (e.g., transportation of nuclearmaterials) of those activities. The extent to which this Standard should be applied dependsupon the specific type of facility, items, or services involved and the nature, scope, and relativeimportance of the activity being performed. It is also to be applied t

42、o all phases of a nuclearfacility life cycle (e.g., siting, design, construction, operation, and decommissioning) and all typesof activities (e.g., training, testing, software development or use).The Standard also applies to activities that could affect the quality of nuclear material applica-tions,

43、 structures, systems, and components of nuclear facilities.Examples ofnuclear facilities arethose for power generation,spent fuel storage,waste manage-ment, fuel reprocessing, nuclear material processing, fuel fabrication, nuclear research, and otherrelated facilities. Examples of activities include

44、 siting, designing, procuring, developing or usingsoftware, fabricating, constructing, handling, shipping, receiving, storing, cleaning, erecting,installing, inspecting, testing, operating, maintaining, repairing, refueling, modifying, anddecommissioning.This Standard is organized in the following f

45、our parts:(a) PartIcontainsrequirementsfordevelopingandimplementingaQualityAssuranceProgramfor nuclear facility applications.(b) Part II contains additional quality assurance requirements for the planning and conduct ofspecific work activities under a Quality Assurance Program developed in accordanc

46、e with Part I.(c) Part III contains guidance for implementing the requirements of Parts I and II.(d) Part IV contains guidance for application of NQA-1 and comparisons of NQA-1 with otherquality requirements.ThearrangementoftherequirementsinPartsIandIIandtheguidanceinPartsIIIandIVpermitthe judicious

47、 application of the Standard or portions of the Standard. Applicable requirements ofParts I and II are to be implemented to ensure conformance with NQA-1. The application ofthis Standard, or portions thereof, shall be invoked by written contracts, policies, procedures,specifications, or other approp

48、riate documents.This Standard reflects industry experience and current understanding of the quality assurancerequirements necessary to achieve safe, reliable, and efficient utilization of nuclear energy andmanagement and processing of radioactive materials. The Standard focuses on the achievementof

49、results, emphasizes the role of the individual and line management in the achievement andsustainment of quality, and fosters the application of these requirements in a manner consistentwith the relative importance of the item or activity (i.e., a “graded approach”).xASME NQA-12017SUMMARY OF CHANGESFollowing approval by the ASME Standards Committee on Nuclear Quality Assurance andASME, and after public review, ASME NQA-12017 was approved by the American NationalStandards Institute on December 6, 2017.ASME NQA-12017 consists of NQA-12015; editorial changes, revisions, and