Regulatory Guide 1.123

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

ML12305A232
Person / Time
Issue date:	07/31/1977
From:	Office of Nuclear Regulatory Research, NRC/OSD
To:
References
RG-1.123, Rev. 1
Download: ML12305A232 (4)

Revision 1

0. U.S. NUCLEAR REGULATORY COMMISSION July 1 977

)REGULATORYGUIDE

OFFICE OF STANDARDS DEVELOPMENT

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

AND SERVICES FOR NUCLEAR POWER PLANTS

A. INTRODUCTION

NRC documents WASH-1283, "Guidance on Quality Assurance Requirements During Design and Appendix B, "Quality Assurance Criteria for Procurement Phase of Nuclear Power Plants," dated Nuclear Power Plants and Fuel Reprocessing May 24, 1974 (Grey Book-Revision 1) and WASH-

Plants," to 10 CFR Part 50, "Licensing of Produc- 1309, "Guidance on Quality Assurance Require- tion and Utilization Facilities," e~tablishes overall ments During the Construction Phase of Nuclear quality assurance requirements for the design, con- Power Plants," dated May 10, 1974 (Green Book- struction, and operation of safety-related structures, Revision 0) contain guidance on acceptable methods systems, and components of nuclear power plants. of implementing portions of the quality assurance This guide describes a method acceptable to the NRC program. WASH-1283 and WASH-1309, which are staff for complying with the Commission's regula- used by the NRC staff in evaluating construction per- tions with regard to quality assurance requirements mit and operating license applications, contain for control of procurement of items' and services dur- proposed standard N45.2.13 (Draft 2, Rev. 4). ANSI

ing the design, construction, and operations phases of N45ý2.13-1976 reflects development from the nuclear power plants. The Advisory Committee on proposed version included in the above WASH docu- Reactor Safeguards has been consulted concerning ments to the final version approved by the American this guide and has concurred in the regulatory posi-. National Standards Institute. In this revision of tion. Regulatory Guide 1.123, which follows the public

B. DISCUSSION

comment period, ANSI N45.2.13-1976 replaces N45.2.13 (Draft 2, Rev. 4) contained in WASH-1283 Working Group N45-2.13 of the American and WASH-1309 for evaluation of construction per- National Standards Committee N45, Reactor Plants- mit and operating license applications.

and Their Maintenance, has prepared a standard that includes quality assurance requirements for control Some uncertainty has arisen with regard to the of procurement of items and services for nuclear NRC staff's intent when a regulatory guide endorses, power plants. This standard was approved by Sub- as an acceptable method for complying with certain committee N45-2, Nuclear Quality Assurance Stan- regulations, theguidelines as well as the requirements dards, of the American National Standards Commit- included in a standard. As a result of this uncertainty, tee N45, the full committee, and by the American the NRC staff has evaluated the guidelines contained Society of Mechanical Engineers' Codes and Stan- in ANSI N45.2.13-1976 with respect to importance to dards Committee. It was subsequently approved and safety. This regulatory guide is intended to clarify the designated N45.2.13-1976 2 by the American National NRC's position on the requirements and guidelines Standards Institute on February 27, 1976. contained in ANSI N45.2.13-1976. Where conform-

• Lines indicate substantive changes from previous issue. ance to this regulatory guide is indicated in an ap- plication without further qualification, this means As used in this guide, an "item" is defined as any level of unit assembly including system, subsystem, subassembly, component, conformance with the requirements of ANSI

part, or material. N45.2.13-1976, as supplemented or modified by the

2 ANSI N45.2.13-1976, "Quality Assurance Requirements for regulatory position of this guide.

Control of Procurement of Items and Services for Nuclear Power Plants," may be obtained from the American Society of ANSI N45.2.13-1976 contains an appendix, which, Mechanical Engineers, 345 East 47th St., New York, N.Y. 10017. although not part of the standard, provides informa- USNRC REGULATORY GUIDES Comments should be sent to the Secretary of the Commission, US. Nuclear Regu- tatory Commission, Washington, D.C. 20555, Attention: Docketing and Service Regulatory Guides are issued to describe and make available to the public methods Branch.

acceptable to the NRC staff of implementing specific parts of the Commission's regulations, to delineate techniques used by the staff in evaluating specific problems The guides are issued in the following ten broad divisions:

or postulated accidents, or to provide guidance to applicants. Regulatory Guides are not substitutes for regulations, and compliance with them is not required. 1. Power Reactors 6. Products Methods and solutions different from those set out in the guides will be accept- 2. Research and Test Reactors 7. Transportation able if they provide a basis for the findings requisite to the issuance or continuance 3. Fuels and Materials Facilities 8. Occupational Health t 4. Environmental and Siting 9. Antitrust Review of a permit or license by the Commission. 5. Materials and Plant Protection 10. General Comments and suggestions for improvements in these guides are encouraged at all Requests for single copies of issued guides (which may be reproduced) or for place- times, and guides will be revised, as appropriate, to accommodate comments and ment on an automatic distribution list for single copies of future guides in specific to reflect new information or experience. This guide was revised as a result of divisions should be made in writing to the U.S. Nuclear Regulatory Commission, substantive comments received from the public and additional staff review. Washington, D.C. 20555, Attention: Director, Division of Document Control.

tion useful in deciding how and to what extent quality 4. Section 10.1 of ANSI N45.2.13-1976 states that assurance program requirements may be specified in the Purchaser shall establish the method of accep- procurement documents. However, a commitment to tance of an item or service being furnished by the follow this guide does not require the use of the ap- Supplier. In order for receiving inspection personnel pendix. to be aware of what methods of acceptance are es- tablished, the applicable portion of the procurement

C. REGULATORY POSITION

document identifying the method of acceptance of an item or service, or other documents containing the The requirements that are included in ANSI same procurement document information, should be N45.2.13-1976 for control of procurement of items on hand.

and services for nuclear power plants are acceptable to the NRC staff and provide an adequate basis for 5. ANSI N45.2.13-1976 addresses the control of complying with the pertinent quality assurance re- procurement of items and services that affect the quirements of Appendix B to 10 CFR Part 50, subject quality of nuclear power plants, including spare and to the following: replacement parts. The standard, however, does not provide "requirements" specific to spare and replace-

1. Section 1.4 of ANSI N45.2.13-1976 states that ment parts. Section 5.2.13 of ANSI N 18.7-1976/ANS

other documents that are required to be included as 3.2, "Administrative Controls and Quality Assurance part of this standard will be identified at the point of for the Operational Phase of Nuclear Power Plants,"

reference and described in Section 13 of the standard. which is endorsed by Regulatory Guide 1.33, The specific applicability of these listed documents "Quality Assurance Program Requirements has been or will be covered separately in other (Operation)," addresses control of spare and replace- regulatory guides or in Commission regulations ment parts during the operations phase of nuclear where appropriate. power plants. As a result, the provisions of Section

5.2.13 of ANSI N18.7-1976 related to control of

2. Section 1.1 of ANSI N45.2.13-1976 states: "The spare and replacement parts are considered ap- ASME Boiler & Pressure Vessel Code (hereafter plicable and should be used in conjunction with the referred to as the Code) as well as other ANSI stan- provisions of ANSI N45.2.13-1976.

dards, has been considered in the development of this standard, and this standard is intended to be com- 6. In addition to the requirements of the standard, patible with Code requirements. This standard does the guidelines (indicated by the verb "should") iden- not, however, apply to activities covered by Section tified below are considered to have sufficient safety III, Division I and 2, and Section XI of the Code for importance to be treated the same as the require- those activities covered by the Code." While Section ments of the standard.

III, Divisions 1 and 2, and Section XI (which addres- ses the control of spare and replacement parts) of the a. Section 4.2.a-The guidelines used in ASME Boiler and Pressure Vessel Code address evaluating the Supplier's history of providing a general requirements for control of procurement of product that performs satisfactorily in actual use.

items and services for nuclear power plants, these sec- tions do not explicitly address all the activities b. Section 6.2-The guideline concerning described in the ANSI N45.2.13-1976 standard. purchaser notification points as part of pre- and post- ANSI N45.2.13-1976, subject to the exceptions of the award activities.

regulatory position, should be used in conjunction with the ASME Boiler and Pressure Vessel Code, c. Section 10.2 (a through f)-The guidelinesSection III, Divisions 1 and 2, and Section XI for that specify the minimum criteria for Certificates of control of procurement of items and services where Conformance.

the ASME Code does not address the activities covered by ANSI N45.2.13-1976. d. Section 10.3.2-The guideline concerning ac- ceptance by receiving inspection.

3. Section 9.3 of ANSI N45.2.13-1976 states, "The Purchaser's corrective action measures shall include e. Section 10.3.4-The guideline concerning the verification of implementation of Supplier's correc- establishment of post-installation test requirements tive action system." The Purchaser should verify the and acceptance documentation.

implementation of the Supplier's corrective action system when such a system is required, but this

D. IMPLEMENTATION

verification need not be included as part of the Purchaser's corrective action measures. While Sec- The purpose of this section is to provide informa- tion 9.0 of ANSI N45.2.13-1976 addresses elements tion to applicants and licensees regarding the NRC

of the Purchaser's corrective action system, these staffs plans for using this regulatory guide. Except in same elements are applicable to the Supplier's correc- those cases in which the applicant proposes an accep- tive action system when one is required. table alternative method for &omplyingwith specified

1.123-2

portions of the Commission's regulations, the If an applicant wishes to use this regulatory guide method described herein will be used in the evalua- in developing submittals for applications docketed on tion of submittals for construction permit and or before August 1, 1977, the pertinent portions of operating license applications, docketed after August the application will be evaluated on the basis of this

1, 1977. guide.

1.123-3

UNITED STATES

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