Regulatory Guide 1.123

Quality Assurance Requirements for Control of Procurement of Items and Services for Nuclear Power Plants

ML13350A274
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Issue date:	10/31/1976
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RG-1.123
Download: ML13350A274 (2)

October 1976 U.S. NUCLEAR REGULATORY COMMISSION

• REGULATORY GUIDE

OFFICE OF STANDARDS DEVELOPMENT

REGULATORY GUIDE 1.123 QUALITY ASSURANCE REQUIREMENTS FOR CONTROL OF PROCUREMENT OF ITEMS

AND SERVICES FOR NUCLL.

A. INTRODUCTION

• Appendix B, "Quality Assurance Criteria for Nuclear Power Plants and Fuel Reprocessing Plants," to 10 CFR

S

..Part 50, "licensing of Production anti Utilization Facilities," establishes overall quality assurance require-

ments for the design, construction, and operation of safety-related structures, systems, and components of nuclear power plants. This guide describes a method acceptable to the NRC staff for complying with the Commission's regulations with regard to quality assur- ance requirements for control of procurement of items*

.:and services during the design, construction, and oper.

ations phases of nuclear power plants.

B. DISCUSSION

Working Group N45-2.13 of the American National

-

Standards Committee N45, Reactor Plants and Their Maintenance, has prepared a standard that includes, quality assurance requirements for control of prodir6-4 ment of items and services for nuclear power planttlThis standard was approved by subcommittee N.4.iN;2 ar Quality Assurance Standards, of the Am4lfan Nal ic6% a

Standards Committee N45, the full com'ititee ,.Xd by the American Society of Mechanical En*.*l

4todes and Standards Committee. It was subsequently approved and designated N45.2.13-

• • by the American Na- tional Standards Institu n F:

n uary 27. 1976.

NRC d 'cumer

83, Guidance on Quality Assurance Req eine

.D h ig Design and Procure-

' AsIS

this

'a tenii i, defined as anty l~eve of unit a,.I

ill ern. subsystem. sub~assemtbly, corn.

p)orent. 11/i or material.

"ANSI

N45.

-1976. "Quality Assurance Rlquirenieniv; If:

Control of oculrefnent of Ilems and Services for Nuclear Power I'lanis." may he obtained fromh the American Society at'

Mechanical Engineers. 345 Fast 47t0 St.. New York. N.Y.

(10017.

ment Phase of Nuclear Power Plants," dated May 24,

1974 (Grey Book - Revision I) and WASH-l1309, "Guid- ance on Quality Assurance Requirements During the Construction Phase of Nuclear Power. Plants," dated May 10, 1974 (Green Book -.Revision.O) contain guid- ance on acceptable methods of imple'eing portions of the quality assurance program.

,ASHi-l-283,and WASH1-

1309, which are used by thl--NRC; staff hi evaluating construction permit and.operaitt*nlicense applications, contain proposed standard N45 is .

(Draft 2, Rev. 4).

ANSI N45.2.13916 isflecs" development from the proposed verston +/-nclhid*d I'the above WASH docu- mients to.-the vkl",%yerston approved by the American National*S*ltdaws stitute. After Revision I to this regkuthortI guide issued following the public comment ADb t\\ANS!* N45.2.13-1976 will replace N45.2.13 ri '2" ev. 4) contain.:d in WASH-1283 and WASII-

.4S,(Qolfor'evaluation of construction permit and nper- Snjtlfcense applications.

Some uncertainty has arisen with regard to the NRC

staff's intent when a regulatory guide endorses, as atn acceptable method for complying with certain regula- tions, the guidelines as well as the requirements included in a standard. As a result of this uncertainty, the NRC

staff has evaluated the guidelines contained in ANSI

N45.2.13-1976Property "ANSI code" (as page type) with input value "ANSI</br></br>N45.2.13-1976" contains invalid characters or is incomplete and therefore can cause unexpected results during a query or annotation process. with respect to importance to safety.

This regulatory guide is intended to clarify the NRC's position on the requirements and guidelines contained in ANSI N45.2.13-1976. Where conformance to this regu- latory guide is indicated in an application without further qualification, this means conformance with the requirements of ANSI N45.2.13-1976. as supplemented or modified by the regulatory position of this guide.

ANSI N45.2.13-1976 contains an Appendix, which the standard stales is nut part of the standar

d. The NRC

USNRC REGULATORY GUIDES

Comments should be tent to the Secretary of the Commission. U.S Nuclee, Regulatory Guides are issued to describe and make available to the public egulatory Commission. Washington, D.C. 20556 Attention. Oocleting; and methods acceptable to the NRC staff of implementing specific panrs of the Commission's regulations, to delineate techniques used by the staff in evalu.

The guides are Issued in the lollowing ten broad divisions:

sting specific problems or postulated accidents, ot to provide guidance to epptl cant*, Regulatory Guides ore not substitutes for regulations, ard compliance I. Powet Reactors

6. Products with them is not requited. Method* and solutions different from those 411 out In

2. Reearch and Test Reactor,

7. Transpoalstion the guides will be acceptable it they provide a basis for the findings requlsite to

3. Fuels and Materials Facilities

8. Occupational Health t1h issuance or continuance of a permit or license by the Commission.

4. Environmental end Siting

9. Antitrust Review Comments and suggestiotts for impruoreanta in these guides ere encouraged S. Materials and Plant Protection

10. General at all times, and guides will be revised, as appropriate. to accommodate com- mants and to riffsct now information or experience. However. comments on Copies of published guides may be obtained by written request Indicating the this guide. If reeived within about two months aiter Its Issuance, will be par.

divistonl desired to the U.S. Nuclear Regulatory Commission. Washington, D.C.

ticularly useful in evaluating the need for an early revision.

20566. Attention: Dlirector. Office of Standards Development.

staff has evaluated lthe Apt'ndix and concludes that it colitains infornmation useful in deciding how arnd to what extent quality assurance program requireniecri"

may be specified in procurement docurirents.

C. REGULATORY POSITION

The reiuirerrielits tht Lre included i. A\\NSI N45.2.13-

197(1 for comn-tl of procuretr reiric1 o)I' items: alld services i'or nuiueai powcr plants tie acceptabl

e. it the NR

Si:afi'

arid provide al adequkate basis rforr omiplying \\vilti tile pcriinlenrt qIt~iiity assutrairce reqilireri emis of ..\\pil~edi.ý II

to I0 CIFR Par

50. subjeci to thie follinwing

I. Section 1.4 of ANSI N45.2.1 3-1976 states that other documnents that are required to be included as part of this standard will be identified at the point of reference and described in Section 13 of the standard.

Thie specific applicability of these listed docuentels has been or will be covered separately in other regulatory guides or in Commission regulations where appropriate.

2. The Foreword of ANSI N45.2.13-1976 states:

"Tile ASMEL

Boiler & Pressure Vessel Code (hereafter referred to as tile Cede) as well as other ANSI standards.

has been considered in the development of this standard, and this standard is intended to be compatible with Code requirements. This standard does not. however, apply to activities covered by Section II1, Division I and

2. and Section Xl of the Code for those activities covered by tIhe Code." Section 1.1 of N45.2.13-1976 states, "For components covered by Section Ill of tile ASME Code, the quality assurance requirements of the Code apply to Code-covered activities and the quality assurance requirements and guidelines of this standard, N45.2.13. apply to non-code-covered activities." While Section Ill. Divisions I and 2. and Section Xl (which addresses the control of spare and replacement parts) of the ASME Boiler and Pressure Vessel Code address gencral requirements for control of procurement of items and services for nuclear power plants, these sections do not explicitly address all tile activities de- scuibed in tire ANSI N45.2.13-1Q76 standard.

ANSI

N45.2.13-1976Property "ANSI code" (as page type) with input value "ANSI</br></br>N45.2.13-1976" contains invalid characters or is incomplete and therefore can cause unexpected results during a query or annotation process., subject to the exceptions of the regu.

latory position, should lie used in conjunction with the ASME Boiler and Pressure Vessel Code, Section I1l.

Divisions I and 2, and Section XI

for control of pr(octurement of items and services where thre ASME

Code does not address the activities covered by ANSI

N45.2.13.1976Property "ANSI code" (as page type) with input value "ANSI</br></br>N45.2.13.1976" contains invalid characters or is incomplete and therefore can cause unexpected results during a query or annotation process..

3. Section 9.3 of ANSI N45.2.13-1976 states, "The Purchaser's corrective action measures shall include verification of implementation of Supplier's corrective action systemn"

The Purchaser should verify the imple- mentation of the Supplier's corrective action system when such a system is required, but this verification need not be included as part of" the Purchaser's correc- live action rieasures.

While Section 9.0 of ANSI

N45.2.13.1976Property "ANSI code" (as page type) with input value "ANSI</br></br>N45.2.13.1976" contains invalid characters or is incomplete and therefore can cause unexpected results during a query or annotation process. addresses elements of thIe Purchaser's corrective action system, these same elements are appli- cable to the Supplier's corrective action system.

4. Section 10.1 oil' ANSI N45.2.113-1976 states that the IPurciraser shall establish tile tretliod of acceptance of an item or service beinrg furniished by tire Supplier. Il order for receiving inspection personnel to be aware what muethods of acceptance are estarblishe

d. the appl W

cable portion of tIre procurement docti*ient identifying the method of acceptance of all iren or service should lie oil han

d. since Seetiot

3.2.," of the siandnl d reqliire, thlut. tile plocilreCirierl docllrilelli identify t .re a:Cepl;Iice neqir irellrill ts.

5. ANSI N45.2. 13.1970 addresses tire control of procurremrrent of iteris atnl services that affect tlie quality oh nuclear powev plants. including spare arid replacerient parts. The standard, however. does not provide *'require.

ineats" .;pecifrc to spare arnd replacement parts. Regri- latory Guide 1.33, "QDuality Assurance Progranm Require- irtents (Otlerat io

),'" addresses cortrIOl of spare and replacenment p:rrts during the operations phase of" unclear powecr plants. As ,I resrilt the provisions of* Ricuhlatorv Guide 1.33 related to cotlr ml of spare arid replaceient parts :tie considered applicable arid sho*hd be tused ill coollunctiorr %.ifhi the provisions il 'ANSI N45.2. 1.3-.

7/o.

6. In addition to the requirements of the stanridard.

tire guidelines (indicated bv the ver)

"shotuld") con.

tairied in tile sections discussed below are considered rto have so fficiein safely ifil tur;tnce to be ricated tile same as tile requirenentS of' tile sland1ard.

a. SeCrIiol 4.2.a.

lhie guidelinCs used ini eVal- urating tire Supplier's histrory of poviditir a product i1 performs satistacni:rilv in actual use.

b.

Section (0.2--1l'e gttidelinre concernring pur- chaser rnrlilicalion points as part of pilr- and post-award activities.

c.

Section 10.2 (a tlhrot"h 1i'-. The guidelines Ihalt specifv tire minirimlurn criteria fIo Certificates or ('on- JOtntance.

d. Sec tion 10.3.2-. The guideline corcerning ac- ceptanrce by receiving inspection.

e. Section 10.3.4 -lThe guideline concerning thie establishment of post-ilnstallation test requirenrents and acceptance documrien tation. l

D. IMPLEMENTATION

Tire purpose of this section is to provide information to applicants and licensees regarding the NRC staff's plans for using this regulatory guide. Except in those cases in which the applicant proposes an acceptable alternative method for complying with specified por- tions of the Commission's regulations, the method described herein will be used in tire evaluation of submittals for construction permit and operating license applications docketed after June IS. 1977.

If an applicant wishes to use this regulatory guide

developing submittals for applications docketed oni'6 before June

15. 1977. the pertinent portions of the application will be evaluated on the basis of this guide.

1.123-.2