1、ASME NQA-1 INTERPRETATIONSASME NQA-1 INTERPRETATIONSReplies to Technical InquiriesDecember 2010 Through October 2012FOREWORDGeneral InformationThis publication includes all of the written replies issued between the indicated dates by theSecretarial Staff, speaking for the ASME Committee on Nuclear Q
2、uality Assurance, to inquiriesconcerninginterpretationsoftechnicalaspectsof ASMENQA-1,QualityAssuranceRequirementsfor Nuclear Facility Applications.These replies are taken verbatim from the original letters except for a few typographicalcorrections and some minor editorial corrections made for the p
3、urpose of improved clarity. Insome instances, a review of the interpretation revealed a need for corrections of a technical nature;in these cases a corrected interpretation follows immediately after the original reply.These interpretations were prepared in accordance with the accredited ASME procedu
4、res.ASME procedures provide for reconsideration of these interpretations when or if additionalinformation is available which the inquirer believes might affect the interpretation. Further,personsaggrievedbythisinterpretationmayappealtothecognizantASMEcommitteeorsubcom-mittee. ASME does not “approve,
5、” “certify,” “rate,” or “endorse” any item, construction, proprie-tary device, or activity.An interpretation applies to the Edition and Addenda stated in the interpretation itself or, ifnone is stated, to the latest published Edition at the time it is issued. Subsequent revisions tothe rules may hav
6、e superseded the reply.For detailed instructions on the preparation of technical inquiries, refer to the Preparation ofTechnical Inquiries to the Nuclear Quality Assurance Committee (p. vii of ASME NQA-1).Subject and Numerical IndexesSubject and numerical indexes have been prepared to assist the use
7、r in locating interpretationsby subject matter or location in this Standard. These indexes, which are the compilation of formerNQA-1 and NQA-2 interpretations indexes, will be updated with each Edition.I-1ASME NQA-1 INTERPRETATIONSInterpretation: QA12-001Subject: NQA-11994, Basic Requirement 17, Sup
8、plement 17S-1, and Section 4.4.3Date Issued: December 15, 2010File: 09-1801Question (1): Does NQA-11994, Supplement 17S-1, Supplementary Requirements for QualityAssurance Records, Section 4.4.3, Temporary Storage, which requires an organization to specifythe maximum allowable time limit for temporar
9、y storage in procedures, permit the maximumallowable time limit for temporary storage to be applied individually to the organizational areasinvolvedinthecreation,processing,and/orhandlingoftherecords?Forexample,ifthemaximumallowable time limit for temporary storage is 120 days, can the total tempora
10、ry storage timeexceed 120 days if no single individual storage for an organizational area exceeds 120 days?Reply (1): No. The maximum allowable time limit for temporary storage is from the time therecord is authenticated to the time it is placed in permanent storage or from the time a recordis remov
11、ed from permanent storage to its return to permanent storage.Question (2): Is the temporary storage of a record based on the type of record and not theorganizational area controlling the temporary storage?Reply (2): Yes.Question (3): Can different types of records within the same organizational area
12、 have differenttemporary storage times?Reply (3): Yes.Interpretation: QA12-002Subject: NQA-11983 and NQA-11994, Non-Nuclear Related Audits RequirementsDate Issued: January 19, 2011File: 09-967Question: Is Interpretation QA83-014 still recognized as applicable to this Standard?Reply: Yes. However, it
13、 is only applicable to those editions specifically referenced in Interpreta-tion QA83-014, which are ANSI/ASME N45.2.12-1977, ANSI/ASME N45.2.23-1978, and ANSI/ASME NQA-11983.I-2ASME NQA-1 INTERPRETATIONSInterpretation: QA12-003Subject: NQA-12004, Part I, Requirement 3, Section 800 and Part II, Sect
14、ion 2Date Issued: February 16, 2011File: 09-1179Question (1): Does NQA-12004, Requirement 3, para. 401 apply to commercial off-the-shelf(COTS) software used for design analysis?Reply (1): Yes. Paragraph 401 states, “To the extent required in paras. 401(a) and (b) of thisRequirement, computer program
15、 acceptability shall be preverified or the results verified withthe design analysis for each application.”Question (2): Does NQA-12004, Requirement 3, Section 800 apply to COTS software used fordesign analysis?Reply (2): No. Section 800 pertains to the software design process, which is out of scope
16、forCOTS software that was obtained as a completed package.Question (3): Does NQA-12004, Requirement 11, Section 400 apply to COTS software usedfor design analysis?Reply (3): Yes. Testing of this software shall be performed in accordance with procedures asspecified in Section 400.Question (4): Does N
17、QA-12004, Subpart 2.7 apply to COTS software used for design analysis?Reply (4): Yes. Preverified computer programs shall be controlled in accordance with therequirements of this Standard, which includes Subpart 2.7.Interpretation: QA12-004Subject: NQA-12000, Approved Vendor ListDate Issued: May 6,
18、2011File: 11-427Question (1): Does Part I, Requirement 7, Section 200 permit the use of A2LA Certificates toplace a calibration Supplier on the Approved Vendors List?Reply (1): No.Question (2): Does Part I, Requirement 7, Section 200 permit the use of a Material Organizationcertificate meeting ASME
19、3800 to place a Supplier on their Approved Vendor List for supplyingmaterial as listed on the Certificate?Reply (2): No.Question (3): Does Part I, Requirement 7, Section 200 permit the use of a certificate awardedby A2LA or ADCAP to place a material testing company on their Approved Vendors List for
20、testing of material in accordance with the listing of the certificate?Reply (3): No.I-3ASME NQA-1 INTERPRETATIONSInterpretation: QA12-005Subject: NQA-11994, Part III, Appendix 2A-1, Related ExperienceDate Issued: June 23, 2011File: 10-1146Question: When the QA Program defines the qualification proce
21、ss, can related experience inequivalent inspection or testing activities, which are not performed as QA/QC titled individuals,such as gained as maintenance technicians, engineers, or plant operators, be credited as “relatedexperience” to support the qualification of Level I, II, or III Inspection an
22、d Test Personnel asidentified in NQA-11994, Appendix 2A-1, paras. 3.1 through 3.3, respectively?Reply: Yes.Interpretation: QA12-006Subject: NQA-12008 Edition With the 2009 Addenda, Permanently Installed Process Instrumentand Control DevicesDate Issued: November 10, 2011File: 11-630Question: Are perm
23、anently installed process instrument and control devices used to measureand test in nuclear power plants subject to the scope of Part I, Requirement 12?Reply: Yes.Interpretation: QA12-007Subject: NQA-12000 Through NQA-1b2011, Acceptability of Section 100, Basic of the 18Requirements of Part IDate Is
24、sued: March 22, 2012File: 10-1365Question: For an implementer, is choosing to apply only Section 100 of applicable requirementsof Parts I and II of the Standard an appropriate and sufficient method to implement an NQA-1-based Quality Assurance program?Reply: No. With the exception of the Part I requ
25、irement areas: 5, Instructions, Procedures, andDrawings; 14, Inspection, Test, and Operating Status; and 16, Corrective Action, Section 100is a summary and introductory paragraph for additional mandatory criteria contained in therequirement area. The application of only Section 100 by an implementin
26、g organization is insuffi-cient to claim credit for implementing Part I or Part II of an NQA-1-based Quality Assuranceprogram. It is also insufficient for an invoking organization to invoke only Section 100 of Part Ior Part II and expect results equivalent to specifying all of Part I or Part II. Thi
27、s response isapplicable to NQA-12000, NQA-12004, NQA-12008, and the NQA-1b2011 Addenda.I-4ASME NQA-1 INTERPRETATIONSInterpretation: QA12-008Subject: NQA-12000, NQA-12004, and NQA-12008, Nuclear Quality Assurance RecordDate Issued: March 22, 2012File: 10-2111Question (1): In accordance with NQA-12000
28、, NQA-12004, or NQA-12008, are radiographs(the film media) a quality assurance record?Reply (1): Yes. Under current NQA-12000, NQA-12004, and NQA-12008 definitions andterms, radiographs are cited as examples of quality records. Note that the classification of theretention of this quality record is d
29、etermined by the applicable Code or regulatory requirement.Question (2): In accordance with NQA-12000, NQA-12004, or NQA-12008, are radiographreader sheets a quality assurance record?Reply (2): Yes.Note: Reference Part I, Section 400, Terms and Definitions.Interpretation: QA12-009Subject: NQA-11994
30、Edition With the 1995 Addenda, Subpart 2.2, Para. 4.3.3, HandlingPrecautionsDate Issued: April 2, 2012File: 10-2110Question (1): In the NQA-11994 Edition with the 1995 Addenda, Subpart 2.2, para. 4.3.3,Handling Precautions states, “All austenitic stainless steel and nickel base alloys shall be handl
31、edin such a manner that they are not in contact with lead, zinc, copper, mercury, or other lowmeltingpointelements,alloys,orhalogenatedmaterial.”Specifically,doesthisrequirementgoverncontact of fixturing, tooling, and table tops during in-process fabrication?Reply (1): Yes. Handling includes any in-
32、process activities of materials.Question (2): Does this requirement apply to handling, storage, and packaging?Reply (2): Yes.Question (3): Are in-process activities of materials considered to be part of handling?Reply (3): Yes.I-5ASME NQA-1 INTERPRETATIONSInterpretation: QA12-010Subject: NQA-12008 E
33、dition With the 2009 Addenda, Part I, Requirement 3Date Issued: October 3, 2012File: 11-1860Question: When using NQA-12008 with the 2009 Addenda, are the verification and controlrequirements included in Part I, Requirement 3 relative to computer programs used to supportengineeringdesignandanalysissu
34、fficienttoaccomplishdedicationofcommercialgradecomputerprograms?Reply: No. The requirements described in Part I, Requirement 3 relative to computer programsused to support engineering design and analysis are not sufficient to accomplish dedication ofcommercialgradecomputerprograms.Theadditionalrequi
35、rementsofPartII,Subpart2.7,QualityAssurance Requirements for Computer Software for Nuclear Facilities, and 2.14, QualityAssurance Requirements for Commercial Grade Dedication of Items and Services, are necessaryto accomplish commercial grade dedication of computer programs.I-6ASME NQA-1 INTERPRETATI
36、ONSNUMERICAL INDEXEdition/Location Interpretation AddendaPART I (FORMER NQA-1)Introduction. . . QA82-8 1a-83Terms and QA01-006 04definitionsQA05-002 a05QA12-008 12Basic Requirements. . . QA87-002 1b-87BR-2 QA85-012 1a-86QA85-016 1a-86QA86-002 1a-86QA90-001 1b-91QA90-005 1b-91QA02-001 a05QA08-009 00Q
37、A12-009 12BR-3 QA82-8 1a-83QA01-005 a02QA08-003 00QA08-008 08QA12-003 12QA12-010 12BR-5 QA88-004 1c-88BR-6 QA81-7 1b-81QA85-004 1a-86BR-7 QA12-004 12BR-8 QA90-008 1b-91BR-10 QA04-003 a05BR-11 QA01-005 a02BR-12 QA12-006 12BR-13 QA84-017 1c-85BR-14 QA85-014 1a-86BR-15 QA90-008 1b-91QA92-013 a95QA08-00
38、6 00BR-16 QA92-013 a95BR-17 QA12-001 12BR-18 QA12-007 12Supplements. . . QA87-002 1b-87S-1 QA80-013 1b-81QA84-002 1b-84QA86-008 1a-86QA89-003 1a-89QA89-006 1a-89QA89-007 1a-89QA94-006 a95(a)Edition/Location Interpretation Addenda1S-1, 2.1 QA88-007 1c-88QA90-007 1b-91QA01-003 a022S-1 QA89-002 1a-89QA
39、90-005 1b-91QA90-006 1b-912S-2, 2.1 QA90-003 1b-912S-1, 2.5 QA84-015 1c-85QA87-011 1c-882S-1, 2.6 QA98-001 002S-1, 2.8 QA84-005 1b-842S-2 QA86-018 1b-87QA88-007 1c-88QA87-004 1a-892S-2, 2.1 QA86-004 1a-862S-3 QA81-4 1b-81QA82-8 1a-83QA83-009 1b-84QA89-010 1c-92QA92-002 1c-922S-3, 2.1 QA85-018 1a-86Q
40、A87-007 1c-882S-3, 3 QA83-014 1b-84QA86-009 1a-86QA91-004 1c-92QA12-002 122S-3, 3.4 QA84-012 1c-852S-3, 4.1 QA87-009 1c-88QA91-003 1c-922S-3, 5.2 QA84-012 1c-85QA86-009 1a-86QA87-007 1c-88QA92-001 1c-923S-1 QA84-014 1c-85QA91-002 1c-92QA08-002 94QA08-007 943S-1, 2 QA82-2 1c-823S-1, 3 QA82-2 1c-823S-
41、1, 3.1 QA80-12 1b-81QA85-010 1a-86QA86-012 1a-863S-1, 4 QA80-12 1b-81QA81-10 1c-82QA85-009 1a-86QA86-012 1a-863S-1, 4.2.1 QA84-007 1b-843S-1, 4.2.3 QA81-10 1c-823S-1, 5 QA88-004 1c-88QA99-02 00QA04-001 a05ASME NQA-1 INTERPRETATIONSEdition/Location Interpretation Addenda3S-1, 7 QA86-017 1b-874S-1 QA8
42、2-3 1a-83QA89-006 1a-894S-1, 2 QA89-003 1a-894S-1, 2.7 QA85-015 1a-864S-1, 3 QA81-9 1c-826S-1 QA85-004 1a-86QA88-004 1c-886S-1, 2 QA89-011 1b-916S-1, 3 QA91-008 1c-927S-1 QA80-13 1b-81QA82-3 1a-83QA87-007 1c-88QA89-006 1a-89QA90-008 1b-917S-1, 3.1 QA80-2 1b-81QA86-014 1b-87QA86-015 1b-87QA87-008 1c-
43、88QA88-001 1c-88QA89-003 1a-897S-1, 8 QA82-4 1a-837S-1, 8.3 QA86-014 1b-87QA86-015 1b-877S-1, 10 QA89-003 1a-89QA90-010 1b-91QA91-001 1c-929S-1 QA90-009 1b-9110S-1, 2.1 QA88-007 1c-88QA90-007 1b-91QA01-003 a0210S-1, 4.2 QA94-005 a9510S-1, 7.3 QA08-005 9411S-2 QA89-007 1a-8911S-2, 2.2 QA91-007 1c-921
44、2S-1, 3.2 QA05-001 a0513S-1 QA84-017 1c-8513S-1, 3.3 QA86-011 1b-8715S-1 QA90-008 1b-91QA92-013 a95QA93-005 a9515S-1, 4.4 QA99-02 0017S-1 QA83-008 1b-84QA85-007 1a-86QA86-008 1a-86QA86-017 1b-87QA89-008 1b-91QA92-011 a9517S-1, 2.1 QA83-008 1b-8417S-1, 2.2 QA82-11 1a-83QA91-005 1c-9217S-1, 2.3 QA82-1
45、1 1a-83QA85-013 1a-86QA85-017 1a-86QA91-005 1c-9217S-1, 2.4 QA83-1 1a-83(b)Edition/Location Interpretation Addenda17S-1, 2.7 QA81-7 1b-81QA06-001 0817S-1, 2.7.1 QA83-3 1a-8317S-1, 2.7.2 QA84-001 1b-8417S-1, 2.9 QA86-006 1a-86QA91-006 1c-9217S-1, 3.2 QA83-1 1a-83QA84-006 1b-84QA84-012* 1b-84QA89-012
46、1b-91QA92-005 a9517S-1, 4 QA86-007 1a-86QA94-007 a9517S-1, 4.1 QA83-004 1b-84QA84-006 1b-84QA84-012* 1b-84QA85-017 1a-8617S-1, 4.2 QA92-008 a95QA92-010 a9517S-1, 4.4 QA83-011 1b-84QA85-003 1c-85QA87-001 1b-8717S-1, 4.4.1 QA87-003 1b-8717S-1, 4.4.3 QA85-005 1c-85QA90-004 1b-91QA89-009 1c-92QA91-009 a
47、9517S-1, 4.4.4 QA90-002 1b-91QA90-004 1b-9117S-1, 5.6 QA87-005 1c-8817S-1, 6 QA83-004 1b-8418S-1 QA90-012 1c-92QA94-002 a9518S-1, 3.2 QA81-4 1b-81QA83-009 1b-8418S-1, 3.3 QA83-014 1b-8418S-1, 5 QA83-014 1b-8418S-1, 8 QA86-006 1a-86Appendices2A-1 QA90-006 1b-91QA08-005 942A-1, 3 QA86-003 1a-862A-1, 3
48、.3.3 QA84-016 1c-852A-3, 2 QA83-006 1b-842A-3, 2.3 QA84-008 1b-84QA87-006 1c-883A-1, 2 QA80-12 1b-813A-1, 4 QA80-12 1b-813A-1, 6 QA81-10 1c-824A-1 QA82-3 1a-837A-1 QA82-3 1a-83QA82-4 1a-837A-1, 2 QA80-2 1b-8117A-1 QA84-012* 1b-84QA86-017 1b-8717A-1, 3.1 QA94-003 a95ASME NQA-1 INTERPRETATIONSEdition/
49、Location Interpretation AddendaPART II (FORMER NQA-2)Subpart 2.11QA89-004 2a-90Subpart 2.212.2 QA85-011 2a-86QA08-004 003.7.2 QA02-003 a053.9 QA86-010 2a-864.3.3 QA12-006 125.2.1 QA88-006 2c-885.2.2 QA84-003 2a-85QA86-005 2a-866.1.2 QA85-011 2a-866.4.2 QA94-004 a95Subpart 2.519 QA84-013 2a-859.5 QA86-001 2a-86(c)Edition/Location Interpretation AddendaQA86-019 2b-87Table 5.6 QA92-003 a95Subpart 2.71QA93-003 a95QA01-005 a02Subpart 2.81QA85-008 2a-86QA07-001 a09Subpart 2.151QA99-003 a02QA08-001 a09PART IIIAppendix2A-1 QA12-005 121Subparts 2.1, 2.2, 2.5, 2.7, 2.
