Requirements for Collection, Storage, and Maintenance of ...

AMERICAN NATIONAL STANDARDREACTOR PLANTS AND THEIR MAINTENANCE

Requirements for Collection,

Storage, and Maintenance of

Quality Assurance Records

for Nuclear Power Plants

ANSI N45.2.9 ·1974

SECRETARIAT

THE AMERICAN SOCIETY OF MECHANICAL ENGINEERS

PUBLISHED BY

THE AMERICAN SOCIETY OF MECHANICAL ENGINEERS

United Engineering Center 345 East 47th Street New York, N. Y. 10017

AMERICAN NATIONAL STANDARD

An American National Standard implies a consensus of those substantially concerned withits scope and provisions. An American National Standard is intended as a guide to aid themanufacturer, the consumer, and the general public. The existence of an American National Standard does not in any respect preclude anyone, whether he has approved thestandard or not, from manufacturing, marketing, purchasing, or using products, processes,or procedures not conforming to the standard. American National Standards are subjectto periodic review,and users are cautioned to obtain the latest editions.

CAUTION NOTICE: This American National Standard may be revised or withdrawn atany time.The procedures of the American National Standards Institute require that actionbe taken to reaffirm, revise, or withdraw this standard no later than five years from thedate of publication. Purchasers of American National Standards may receive current information on all standards by calling or writing the American National Standards Institute.

This standard was approved by the American National Standards Committee N45 and itsSecretariat, and it was subsequently approved and designated N45.2.9-1974 by theAmen'can National Standards Institute on June 6, 1974.

No part of this document may be reproduced in any form. in an electronicretrieval system or otherwise. without the prior written permission of the

publisher.

Copyright © 1974 byTHE AMERICAN SOCIETY OF MECHANICAL ENGINEERS

Printed in U.S.A.

FOREWORD

(This Foreword is not a part ofANSI Standard Requirements for Quality Assurance Recordsfor Nuclear Power Plants N45.2.9-1973.)

This standard provides requirements and guidelines for the collection, storage, and. maintenance ofquality assurance records associated with the design, manufacture, construction, and operation phase activities related to structures, systems, and components of nuclear power plants. This standard was developedunder sponsorship of the American Society of Mechanical Engineers (ASME) as an effort by the AmericanNational Standards Institute (ANSI) Standards Committee N45, Reactor Plants and Their Maintenance.This committee is chartered to promote the development of standards for the location, design, construction, and maintenance of nuclear reactors and plants embodying nuclear reactors, including equipmen t,methods, and components specifically for this purpose.

In May, 1969, the ASME Boiler and Pressure Vessel Committee's subcommittee on nuclear power expanded its scope of activities to include major components of the nuclear power system of a plant. NewSections III and XI of the Boiler and Pressure Vessel Code were prepared and were published as the 1971Edition of the Code. The quality assurance provisions of the Code apply directly to owners, manufacturers,and installers of nuclear power system components and include provisions for the establishment and execution of a quality assurance program including requirements for records on activities covered by the Code.

In April of 1970, the N45 Committee of ANSI established a subcommittee N45-3 to guide the preparation of nuclear quality assurance standards. This subcommittee is responsible for establishing guidelines andpolicy to govern the scope and content of the various standards; monitoring the status of standards inprocess; recommending preparation of additional standards; and fmal approval of standards prior to theirsubmittal to the N45 Committee for balloting.

In December 1970, the N45-3 Subcommittee of ANSI established an ad hoc subco'mmittee, which wassubsequently designated the N45-3.9 Working Group, on Quality Assurance Records. The purpose of thisWorking Group was to prepare a standard for general industry use that would define requirements for thecollection, storage, and maintenance of records related to and associated with the location, design, manuture, construction, and operation phase activities of nuclear power plant systems and components. The Working Group was compDsed of representatives of key segments of the nuclear industry, including utilities, reactor suppliers, architect-engineer constructors, and the AEC. The standard contained herein was developedfrom this activity. The initial draft was prepared in August 1971.

The ASME Boiler and Pressure Vessel Code (Hereafter referred to as the Code) as well as other ANSIStandards, have been considered in the development of this standard, and this standard is intended to becompatible with their requirements.

However, this standard does not apply to activities covered by Section III Division I and 2 and SectionXl of the Code for those activities covered by the Code.

Working with the N45-3 Subcommittee and concurrently with the Quality Assurance Records WorkingGroup's development of this standard, other ad hoc Committees of N45 are developing a series of standardsthat set forth more detailed requirements for certain activities to assure quality of nuclear power plants.These will be coordinated with the requirements of this standard as they are developed.

In September 1971, these ad hoc Committees were changed to working groups. In November 1972 theN45-3 Subcommittee was renamed N45-2 and the working groups were changed to N45-2.1 etc. At thistime these working groups have the following associated standards in preparation:

iii

WorkingGroup

N45-2 N45.2

N45-2.1 N45.2.1

N45-2.2 N45.2.2

N45·2.3 N45.2.3

N45·2.4 N45.2.4

N45-2.5 N45.2.5

N45-2.6 N45.2.6

N45-2.8 N45.2.8

N45-2.10 N45.2.l0

N45·2.11 N45.2.11

N45-2.l2 N45.2.12

N45·2.l3 N45.2.lJ

N45-2.l4 N45.2.14

N45-2.l5 N45.2.l5

N45-2.16 N45.2.l6

N-45.2.17 N45.2.17

Standard in Preparation

Quality Assurance Program Requirements for Nuclear Power Plants

Cleaning of Fluid Systems and Associated Components During the ConstructionPhase of Nuclear Power Plants

Packaging, Shipping, Receiving, Storage and Handling of Items for NuclearPower Plants (During the Construction Phase)

Housekeeping During the Construction Phase of Nuclear Power Plants

Installation, Inspection and Testing Requirements for Instrumentation andElectrical Equipment During the Construction of Nuclear Power GeneratingStations

Supplementary Quality Assurance Requirements for Installation, Inspection andTesting of Structural Concrete and Structural Steel During the ConstructionPhase of Nuclear Power Plants

Qualifications of Inspection, Examination and Testing Personnel for the Construction Phase of Nuclear Power Plants

Supplementary Quality Assurance Requirements for Installation, Inspection andTesting of Mechanical Equipment and Systems for the Construction Phase ofNuclear Power Plants

Quality Assurance Tenns and Definitions

Quality Assurance Requirements for the Design of Nuclear Power Plants

Requirements for Auditing of Quality Assurance Programs for Nuclear PowerPlants

Quality Assurance Requirements for Control of Procurement of Equipment, Materials and Services for Nuclear Power Plants

Quality Assurance Requirements for the Design and Manufacture of Class IE Instrumentation and Electric Equipment for Nuclear Power Generating Stations

Requirements for the Control of Hoisting, Rigging, and Transporting of Items atNuclear Power Plant Sites

Supplementary Quality Assurance Requirements for the Calibration and Controlof Measuring and Test Equipment Used in the Construction and Maintenance (JfNuclear Facilities.

Quality Assurance Requirements for Control of the Welding Process for NuclearPower Plant Construction

Suggestions for improvement gained in the use of this standard will be welcomed. They should be sent toAmerican National Standards Institute, 1430 Broadway, New York, New York 10018.

The N45.2.9 standard was prepared by a work group including the follOWing personnel:

R. S. Bain. Chairman A. Breed. Secretary

R. S. Bain. Pacific Gas and Electric CompanyA. Breed, General Electric CompanyJ. C. Brodsky. Burns & Roe, Inc.J. M. Curtis, Duke Power CompanyA. E. Dohna, Gulf General Atomic CompanyJ. W. Hallowell, Westinghou5e Electric Corporation

.J. I. Martone, Long Island Lighting CompanyW. M. Morrison, U.S. Atomic Energy CommissionD. A. Quinn, Stone & Webster Engineering Corporation

"Resigned 1973.

iv

AMERICAN NATIONAL STANDARDS COMMITTEE N45*Reactor Plants and Their Maintenance

OFFICERS

Sol Burstein, Chairman William de Mauriac. Vice-ChairmanJ. C. Russ, Secretary

COMMITTEE PERSONNEL

AMERICAN FEDERATION OF LABOR AND CONGRESS OF INDUSTRIAL ORGANIZATIONSP. R. ShOOP. International Brotherhood of Electrical Workers, Washington, D.C.

AMERICAN NUCLEAR SOCIETYJ. S. Moore. Westinghouse Electric Corporation, Pittsburgh, PennsylvaniaJ. R. Rohlfs. North American Rockwell, Canoga Park, California

AMERICAN SOCIETY OF CIVIL ENGINEERSA. A. Ferlito. Ebasco Services, New York, New YorkC. B. Miczek. Alternate. Stone and Webster Engineering Corporation, Boston, Massachusetts

AMERICAN SOCIETY OF MECHANICAL ENGINEERS, THEE. C. Bailey, Commonwealth Edison Company, Chicago, IllinoisV. S. Boyer. Philadelphia Electric Company, Philadelphia, PennsylvaniaH. F. Brush, Bechtel Corporation, San Francisco, CaliforniaSol Burstein. Wisconsin Electric Power Company, Milwaukee, WisconsinWilliam de Mauriac. Chester Springs, Pennsylvania

AMERICAN WELDING SOCIETYJ. R. Me Guffey. Union Carbide Corporation, Oak Ridg,e, TennesseeH. E. Broadbent. Alternate, American Welding Society, Miami, Florida

ATOMI~ INDUSTRIAL FORUM, INC.D. W. Montgomery. Babcock & Wtlcox, Lynchburg, Virginia

EDISON ELECTRIC INSTITUTE-ELECTRIC LIGHT AND POWER GROUPR. W. Oement. Consolidated Edison Company of New York, Incorporated, New York, New YorkK. P. Baskin. Alternate. Southern California Edison Company, Los Angeles, CaliforniaG. A. Olson. Alternate. Edison Electric Institute, New Yark, New York

. HEALTH PHYSICS SOCIETYT. J. Burnett, Oak Ridge National Laboratory, Oak Ridge, Tennessee

INSTITUTE OF ELECTRICAL AND ELECTRONICS ENGINEERSM. Olken. American Electric Power Corporation, New York, New YorkJ. C Russ. General Electric Company, San Jose, California

INSTRUMENT SOCIETY OF AMERICAH. C. Copeland. Douglas United Nuclear, Incorporated, Richland, WashingtonT. M. Oement. Alternate. Douglas United Nuclear, Incorporated, Richland, Washington

MANUFACTURING CHEMISTS' ASSOCIATION,INCORPORATEDJoe Haaga. Jersey Nuclear Company, Bellevue, Washington

NUCLEAR ENERGY PROPERTY INSURANCE ASSOCIATIONR. P. Day. Nuclear Energy Property Insurance Association, Hartford, ConnecticutJohn J. Carney. Alternate. Nuclear Energy Property Insurance Association, Hartford, Connecticut

U.S. ENVIRONMENTAL PROTECTION AGENCYJ. E. Martin, U.S. Department of Environmental Protection Agency, Rockville, MarylandE. D. Harward. Alternate. U.S. Department of Environmental Protection Agency, Rockville, Maryland

-As of February 13,1973.

v

TRAYELERSINSURANCECOMPANY,THEF. w. CatudBl. The Travelers Insurance Company, Hartford, Connecticut

U.S. ATOMIC ENERGY COMMISSIONRobert Minogue. U.S. Atomic Energy Commission, Washington, D.C.Wilbur Morrison. Alternate. U.S. Atomic Energy Commission, Washington, D.C.Robert E. Yoder. Division of Operational Safety, U.S. Atomic Energy Commission, Washington, D.C.D. J. Wille. U.S. Atomic ERergy Commission, Washington, D.C.

INDIVIDUAL MEMBERSw. F. Ferguson. Oak Ridge National Laboratory, Oak Ridge, TennesseeD. L. Leone. Sargent & Lundy Engineers, Oticago, IllinoisHarold Lichtenberger. Combustion Engineering, Inc., Windsor, ConnecticutI. H. Mandil. Washington, D.C.Donald E. Vandenburgh. Yankee Atomic Electric Company, Westborough, Massachusetts

SUBCOMMITTEE ON NUCLEAR QUALITY ASSURANCE N45-2

J. W. Anderson. Secretary. Oak Ridge National Laboratory, Oak Ridge, TennesseeoS: A Bernsen. Chairman. Bechtel Corporation, San Francisco, CaliforniaB. G. Awus. General Public Utilities Services Corporation, Parsippany, New JerseyR. oS: Bain. Pacific Gas & Electric Company, San Francisco, CaliforniaGene &lsile. United States Testing Company, Inc., Hoboken, New JerseyA Bleiweis. United Engineers & Constructors, Boston, MassachusettsoS: A. Caslake. Westinghouse Electric Corporation, Pittsburgh, PennsylvaniaA W. Crevasse. Tennessee Valley Authority, ChattarJooga, TennesseeR. L. Dick. Duke Power Company, Charlotte, North CarolinaH. F. Dabel. Babcock & Wilcox, Lynchburg, VirginiaW. F. Ferguson. Oak Ridge National Laboratory, Oak Ridge, TennesseeJ. W. Hallowell. Westinghouse Electric Corpotation, Pittsburgh, PennsylvaniaA K. Hasija. Mealu/Nelia Engineering Dept., New York, New YorkoS: K. Hellman. The Ralph M. Parson Co., Los Angeles, CaliforniaE. J. Hemzy. Commonwealth Edison Company, Oticago, lIlinoisw. C. Herman. Ebasco Services, Inc., New York, New YorkJ. H. Hicks. Babcock & WIlcox, Lynchburg, VirginiaJ. P. Jackson. Gulf General Atomic, San Diego, CaliforniaG. oS: Keeley. Consumers Power Company, Jackson, MichiganJ. P. Knight. Tennessee Valley Authority, Knoxville, TennesseeM. E. Langston. U.S. Atomic Energy Commission, Washington, D.C.D. G. Long. General Electric Company, San Jose, CaliforniaW. M. Morrison. U.S. Atomic Energy Commission, Washington, D.C.~raId Schierberg. Stone & Webster Engineering Corporation, Lycoming, New YorkJ. E. Wahler. Combustion Engineering, Windsor, ConnecticutF. W. Knight. Westinghouse Electric Company, Pittsburgh, Pennsylvania

vi

CONTENTS

Page

1. INTRODUCTION .

1.1 Scope ' .1.2 Applicability .1.3 Responsibility .1.4 Defmitions. , " .1.5 Referenced Documents........................................•.......

2. GENERAL REQUIREMENTS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

2.1 Quality Assurance Record System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22.2 Categories . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

2.2.1 Lifetime Quality Assurance Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22.2.2 Nonpermanent Quality Assurance Records. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

3. TECHNICAL REQUIREMENTS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

3.1 General _ . . . . . . . . . . . . . . . . . . . . . . . . 23.2 Records Administrations '.' . . . . . . . . . . . . . . 2

3.2.1 Generation of Quality Assurance Records. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23.2.2 Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23.2.3 Distribution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23.2.4 Identification ./. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23.2.5 Classification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23.2.6 Supplemental Information to Quality Assurance Records . . . . . . . . . . . . . . . . . . . . . 23.2.7 Retention of Records. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

4. RECEIPT OF RECORDS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . 3

4.1 General.................. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . 34.2 Timeliness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34.3 Receipt Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34.4 Status. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

5. STORAGE, PRESERVATION AND SAFEKEEPING .. , . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

5.1 General. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35.2 Location of Facilities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35.3 Storage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35.4 Preservation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35.5 Safekeeping : . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45.6 Facility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45.7 Audits. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

6. RETRIEVAL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

6. I General....... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46.2 Accessibility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

vii

Page

7. DISPOSITION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

7.1 General.... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47.2 Accumulation and Transfer of Records. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47.3 Disposition of Nonpermanent Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . S

8. REVISIONS OF REFERENCED ANSI STANDARDS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . S

APPENDIX A .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6A.I Design Records. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6A.2 Procurement RecorGs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6A.3 Manufacturing Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6A.4 Installation-Construction Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

A.4.1 Receiving and Storage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7A.4.2 Civil.... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8A.4.3 Welding. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8A.4.4 Mechanical. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9A.4.5 Electrical and I&C. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9A.4.6 General. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

A.S Preoperational and Startup Test Records. . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . 10A.6 Operation Phase Activity. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

A.6.1 Operation, Maintenance and Testing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

viii

ANSI N45.2.9-1974

AMERICAN NATIONAL STANDARD

REQUIREMENTS FOR COLLECTION, STORAGE, AND MAINTENANCEOF QUALITY ASSURANCE RECORDS

FOR NUCLEAR POWER PLANTS

1. INTRODUCTION

1.1 Scope

lbis standard provides general requirements andguidelines for the collection, storage, and maintenanceof quality assurance records associated with the design, manufacture, construction, and operation phaseactivities ofnuclear power plants. It is not intended tocover the preparation of the records, nor to includeworking documents not yet designated as quality assurance records.

1.2 Applicability

The requirements of this standard apply to thework ofany individual or organization that participatesin collection, storage, or maintenance of quality assurance records associated with nuclear power plants.The extent to which the individual or total requirements of this standard apply will depend upon thenature and scope of the work to be performed and theimportance of the item or service involved, and shallbe specified in the procurement documents. The requirements are intended to assure that records areavailable when needed for their intended purpose.

The ASME Boiler and Pressure Vessel Code (Hereafter referred to as the Code) as well as other ANSIStandards, has been considered in the development ofthis standard, and this standard is intended to be compatible with their requirements.

However, this standard does not apply to activities covered by Section III Division I and 2 andSection XI of the Code for those activities covered bythe Code.

lbisstandard is intended to be used in conjunctionwith ANSI N45.2.

1.3 Responsibility

The organization or organizations responsible forestablishing the applicable requirements for the activities covered by this standard shall be identified and

the scope of their responsibilities shall be documented.The work of establishing practices and procedures andproviding the resources in terms of personnel, facilities, and services necessary to implement the requirements of this standard may be delegated to otherorganizations and such delegation shall also be documented. It is the responsibility of each organizationperforming work covered by this standard to complywith requirements of this standard applicable to itswork.

1.4 Definitions

The following definition is provided to assure auniform understanding ofselect terms as they are usedil} this standard. .

Quality Assurance Records- Those records whichfurnish documentary evidence of the quality of itemsand of activities affecting quality. For the purposes ofthis standard a document is considered a quality assurance record when the document has been completed.

Other terms and their definitions are contained inANSI N45.2.10.

1.5 Referenced Documents

Other documents that are required to be includedas a part of this standard are either identified at thepoint of reference or described in Section 8 of thisstandard. The issue or edition of the referenceddocument that is required will be specified either atthe point of reference or in Section 8 of this standard.

2. GENERAL REQUIREMENTS

lbis section sets forth general requirements for thecontrol ofquality assurance records. The requirementsinclude collection, filing, storing, maintenance anddisposition of records that are required by othercodes, standards, specifications, or regulatory requirements. The procedures to be employed to perform therequired activities shall be planned and documented.

REQUIREMENTS FOR COLLECTION. STORAGE.AND MAINTENANCE OF QUALITY ASSURANCE RECORDSFOR NUCLEAR POWER PLANTS

2.1 Quality Assurance Record System

A quality assurance records system shall be established by the organization responsible at the earliestpracticable time, consistent with the schedule for ac·complishing work activities and in compliance withthe general requirements of this standard. The qualityassurance records system shall be de fined, implemented and enforced in accordance with writtenprocedures, instructions and other documentation.

2.2 Categories

Two categories of quality assurance records areestablished-lifetime and nonpermanent.

2.2.1 Lifetime Quality Assurance Records. Life·time records are those which meet one or more of thefoHowing criteria:

1. Those which would be of significant value indemonstrating capability for safe operation.

2. Those which would be of significant value inmaintaining, reworking, repairing, replacing, or modifying the item.

3. Those which would be of Significant value indetermining the cause of an accident or malfunctionof an item.

4. Those which provide required baseline data forinservice inspection.

life time quality assurance records are required tobe maintained by or for the plant owner for the lifeof the particular item while it is installed in the plantor stored for future use.

2.2.2 Nonpermanent Quality Assurance Records.Nonpermanent records are those which meet all of thefollowing criteria:

I. Those of no significant value in demonstratingcapability for safe operation.

2. Those of no significant value in maintaining, reoworking, repairing, replacing, or modifying the item.

3. Those of no significant value in determining thecause of an accident or malfunction of an item.

4. Those which do not provide baseline data for inservice inspection.

Nonpermanent records are required to show evidence that an activity was performed in accordancewith the applicable requirements but need not be retained for the life of the item.

3. TECHNICAL REOUIREMENTS

3.1 General

TIlis section provides requirements for the retention and control of those records generated duringthe various phases of the project.

2

ANSI N45.2.9-1974

3.2 Records Administration

3.2.1 Generation of Quality Assurance Records. Itis not the intent of this standard to specify the prepa·ration of the quality assurance records to be generated.The applicable design specifications, procurementdocuments, test procedures, operational procedures orother documents shall specify the quality assurancerecords to be generated by, supplied to, or held forthe owner. All such quality assurance records shall belegible, completely filled out and adequately identifiable to the item involved.

The applicable quali ty assurance records shall beconsidered valid only if stamped, initialed, signed, orotherwise authenticated and dated by authorizedpersonnel. These records may be either the original ora reproduced copy.

3.2.2 Index. The quality assurance records shall belisted in an index. The index shall indicate, as aminimum, record retention times, where the recordsare to be stored and the location of the records within the storage area. The index should be establishedprior to receipt ot the records. Index systems used byorganizations for the retention of project recordsshould include sufficient identifying information to becompatible with the index system used by the Ownerfor final storage of records.

3.2.3 Distribution. The quality assurance recordsshall be distributed and handled in accordance withwritten procedures..

3.2.4 Identification. Quality assurance recordsshall provide sufficient information to permit identification between the record and the item, items, oractivity to which it applies.

3.2.5 Classification. Quality assurance recordsshall be classified as "Lifetime" or "Nonpermanent"in accordance with Section 2 of this standard.

3.2.6 Supplemental Information to Quality Assurance Records. Quality assurance records may becorrected or s\lpplemented in accordance with procedures which provide for appropriate review or approval by the originating organization. The correctionor supplement shall include the date and the identification of the person authorized to issue such correctiOflS or supplements.

3.2.7 Retention of Records. Types of quality assurance records with recommended minimum retention periods are listed in Appendix A of this standard.It should be recognized that the nomenclature ofthese records may vary. For records not listed inAppendix A, the type most nearly describing therecord in question should be followed with respect toits retention period.

REQUIREMENTS FOR COLLECTION, STORAGE,AND MAINTENANCE OF QUALITY ASSURANCE RECORDSFOR NUCLEAR POWER PLANTS

For records generated prior to commercial operation, the retention period begins on the date of com·mercial operation. For records generated on items in·

. stalled after commercial operation, the retention period begins on the date upon which satisfactoryoperation of the item, as part of a system, has beendemonstrated. For periodic maintenance, inspectionand test records, such as calibration records, generatedafter the date of commercial operation, the retentiontime begins on the date of their generation. When arecord is generated as a result of an operational phaseactivity, the classification of those records wilI be thesame as those types of records generated during theinitial construction period.

The organization responsible shall establish inwriting the retention times of records not listed inAppendix A.

4. RECEIPT OF RECORDS

4.1 General

This section defines requirements for receipt ofdocumentation during the design, procuremen t, manufacturing, instillation, startup and operation of anuclear power plant.

The designated authority or authorities for receivingquality assurance records shall be aware of the valueof such records and shall control their safety duringthe time that the records are in their possession.

4.2 Timeliness

To assure their availability, a specific submittalplan shall be established for quality assurance recordsby agreement between the purchaser and supplier.

4.3 Receipt Control

Each organization responsible for the receipt ofquality assurance records shall designate a person oragency responsible for receiving the records. Thedesignated authority shall be responsible for organizing and implementing a system of receipt controlof quality assurance records. This system shalI applyto the receipt of records into a temporary workingfile and the permanent storage file.

As a minimum, a receipt control system shall include:

1. A records check list designating the requiredquality as~urance records.

2. A record of quality assurance records received.3. Procedures for receipt and inspection of in·

coming records.

3

ANSI N45.2.9-1974

4.4 Status

Each receipt control system shall be structured topermit a current and accurate assessment of thestatus of quality assurance records during the receivingprocess.

5. STORAGE, PRESERVATION ANDSAFEKEEPING

5.1 General

This section establishes storage requirements forthe maintenance, preservation and protection ofquality assurance record files from the time of receiptuntil their ultimate disposal.

5.2 location of Facilities

The quality assurance record files shall be stored inpredetennined locations as necessary to meet the requirements of applicable standards, codes, and regulatory agencies.

5.3 Storage

Prior to storage of records in a quality assurancerecord file, a written storage procedure shall beprepared and a custodian shalI be designated with theresponsibility to enforce the procedure. This proce·dure shall include the following as a minimum:

1. A description of the storage area.2. The filing system to be used.3. A method for verifying that the records received

are in agreement with the transmittal document andthat the records are in good condition.

4. A method of verifying that the records agreewith the preestablished records check list (see paragraph 4.3).

5. The rules governing access to and control of thefiles.

6. A method for maintaining control of and accountability for records removed from the storagefacility.

7. A method for filing supplemental information(see paragraph 3.2.6) and disposing of supersededrecords.

5.4 Preservation

Records shall be stored in a manner approved bythe organization or organizations responsible for thefiles. In order to preclude deterioration of the recordsthe following requiremen ts shalI apply:

1. Condensation. Provisions shall be made in thestorage arrangemen t to p reven t damage from condensation.


2. Loose Records. Records shall not be storedloosely. They shall be finnly attached in binders orplaced in folders or ~nvelopes for storage on shelvingin containers. Steel me cabinets are preferred.

3. Special Processed Records. Special processedrecords (such as radiographs, photographs, negatives,and microfilm) which are light-sensitive, pressure sensitive or temperature sensitive shall be packaged andstored as recommended by the manufacturer of thesematerials.

5.5 Safekeeping

A full time security system shall be established topreclude the entry of unauthorized personnel into thestorage area. This system shall guard against larcenyand vandalism.

5.6 Facility

Pennanent and temporary record storage facilitiesshall· be so constructed or located as to protect contents from possible destruction by causes such as fire,flooding, tornadoes, insects, rodents and from possible deterioration by a combination of extremevariations in temperature and hUmidity conditions.

A satisfactory alternative to the establishing of arecord storage facility is maintenance of duplicaterecords stored in a separate remote location.

Records discussed in this standard are appropriately classified for fire protection purposes as NationalFire Protection Association Class I and as such shouldbe afforded the equivalent protection of a NFPA ClassA, four hour minimum rated facility.

Where a single record storage facility is maintained,at least the following features should be considered inits construction:

1. Reinforced concrete, concrete block, masonry,or equal construction.

2. Concrete floor and roof with sufficient slope fordrainage; if a floor drain is provided, a check valve(or equal) shall be included.

3. Structure, doors, frames and hardware shouldbe Class A fire-rated with a recommended four hourminimum rating.

4. Sealant applied over walls as a moisture or condensation barrier.

5. Surface sealant on floor providing a hard-wearsurface to minimize concrete dusting.

6. Foundation sealant and provision for drainage.7. Forced-air circulation with filter system.8. Adequate fire protection system.9. No pipes other than those providing fire protec

tion to the storage facility are to be located withinthe facili ty.

4

ANSI N45.2.9-1974

For storage of mm and other special processedrecords, hUmidity and temperature controls shall beprovided to maintain an environment as recommendedby the manufacturer.

5.7 Audits

An audit system shall be established to assure thatthe quality assurance records' storage system is effective. The following shall be perfonned as a minimum:

1. Periodic surveys to assure that records logged inare available and have been placed in their properlocation within the mes, and to assure that the control system is adequate.

2. Periodic audits to assure that the facilities are ingood condition and that the temperature/humiditycontrols and protective devices are functioningproperly.

3. Periodic audits of the records to assure that thedocuments are not deteriorating due to improperstorage practices or rough handling.

6. RETRIEVAL

6.1 General

TItis section is intended to establish requirementsfor the retrieval of documents that are stored withinthe quality assurance record meso

6.2 Accessibility

Storage systems shall provide for the accurateretrieval of information without undue. delay.

A list shall be generated designating those personnel who shall have access to the files.

Quality Assurance records maintained by a manufacturer at his facility or other location shall be accessible to the Buyer or Owner, in the case of lifetimerecords for the life of the items involved or for thedesignated retention periods for nonpennanentrecords.

7. DISPOSITION

7.1 General

TItis section is intended to provide requirements forthe transfer ofquality assurance records to the Owner,who has ultimate responsibility for these documents,and their disposition.

7.2 Accumulation and Transfer of Records

Quality assurance records accumulated at variouslocations prior to flOal transfer to the Owner shall be


made accessible to the Owner directly, or through theprocuring organization. Examples of such records arevendor manufacturing records, construction documentation, and startup data. Upon fmal transfer, theOwner shall inventory the submittals, acknowledgereceipt and process these records in accordance withthis Standard.

7.3 Disposition of Nonpermanent Records

Records classified as nonpermanent should be retained for at least the minimum period of time asrecommended in Appendix A. After this time, theserecords may be disposed of by or with concurrence ofthe Owner.

5

ANSI N45.2.9-1974

8. REVISIONS OF REFERENCED ANSISTANDARDS

When any of the follOwing standards referred to inthis document is superseded by a revision approved bythe American National Standards Institute, the revision is not mandatory until it has been incorporatedas a part of this standard.

Revisions to the referenced standards, and revisions to this standard issued after the date of a specificcontract invoking this standard may be used bymutual consent of the purchaser and the supplier.

N45.2 Quality Assurance Program Require-ments for Nuclear Power Plants

N45.2.IO Quality Assurance Terms and Definitions

REQUIREMENTS FOR COLLECTION. Sl"ORAGE.AND MAINTENANCE OF QUALITY ASSURANCE RECORDSFOR NUCLEAR POWER PLANTS ANSI N45.2.9-1974

APPENDIX A

The following is a list of types of records with therecommended minimum retention periods indicated(see paragraph 3.2.7). For definition of lifetimerecords see paragraph 2.2.1, and for nonpermanentrecords see paragraph 2.2.2. In the nonpermanentcolumn the number indicates the retention period inyears after which the record need not be maintained.

The 0 years minimum recommended retention period is intended to permit dispositioning of the

Record Types

A.1 Design Records

Applicable Codes and Standards Used in DesignAs-Constructed DrawingsDesign Calculations and Record of ChecksDesign Change RequestsDesign DeviationsDesign Procedures and ManualsDesign ReportsDesign Review ReportsDrawing Control ProceduresPurchase and Design Specifications and AmendmentsQA System Audit ReportsReports of Engineering Surveillance of Field ActivitySafety Analysis ReportStress ReportsSystems DescriptionsSystems Process and Instrumentation DiagramsTechnical Analysis, Evaluations, and Reports

A.2 Procurement Records

Audi t ReportsProcurement ProceduresProcurement SpecificationPurchaser Order (Unpriced) Including AmendmentsPurchaser's Pre-Award Quality Assurance SurveyReceiving RecordsSupplier's Quality Assurance Program Manual

records on the day follOWing the date of commercialoperation. One year retention is intended to requiremaintenance of the record for the customary periodsof warranty. Two year retention is intended to reoquire maintenance of the record through the firstoverhaul or reload. Five and six year retention is intended to achieve compliance with regulatory requirements.

Lifetime Nonpermanent

XXX

X2

X12

X61

XXXXX

6o

X22o2

A.3 Manufacturing Records

Applicable Code Data ReportsAs-Built Drawings and RecordsCertificate of Inspection and Test Personnel Qualification

6

xX

o


Record Types

A.3 Manufacturing Records (Cont.)

Certificates of ComplianceCleaning ProceduresEddy-Current Examination ProcedureEddy-Current Examination Final ResultsElectrical Control Verification Test ResultsFerrite Test ProcedureFerrite Test ResultsForming and Bending Procedure QualificationsHeat Treatment ProceduresHeat Treatment RecordsHot Bending ProcedureInspection and Test Instrumentation and Tooling Calibration

Procedures and Recordsliquid Penetrant Examination Procedureliquid Penetrant Examination Final ResultsLocation of Weld Filler MaterialMagnetic Particle Examination ProcedureMagnetic Particle Examination Final ResultsMajor Defect Repair RecordsMaterial Properties RecordsNonconformance ReportsPackaging, Receiving, Storage ProceduresPerformance Test Procedure and Results RecordsPipe and Fitting Location ReportPressure Test ProcedurePressure Test ResultsProduct Equipment Calibration ProcedureProduct Equipment Calibration RecordsQA System Audit ReportQA Manuals, Procedures and InstructionsRadiographic ProceduresRadiographic Review Forms and RadiographsUltrasonic Examination ProceduresUltrasonic Examination Final ResultsWelding Materials Control ProceduresWelding Personnel QualificationWelding Procedure Qualifications and Data ReportsWelding ProceduresWork Processing and Sequencing Documents

A.4 Installation-Construction Records

A.4.1 Receiving and Storage

Inspection Reports for Stored ItemsNonconformance ReportsReceipt Inspection Reports on ItemsReceiving, Storage, and Inspection ProceduresStorage Inventory and Issuance RecordsVendor Quality Assurance Releases

7

Lifetime

x

x

x

x

xX

XXXX

XX

X

X

X

X

X

ANSI N45.2.9-1974

Nonpermanent

o2

22

oo

o

(Until Recalibrated)2

2

o

2

(Until Recalibrated)(Until Recalibrated)

622

2

222

2

o

I2oo

II0

XXXXXX

XX

XX

XX

XX

X00

XI0

X


Record Types

A.4 Installation-Construction Records (Cont.)

A.4.2 Civil

Aggregate Test ReportsBatch Plant Operation ReportsCement Grab Sample ReportsCheck-Off Sheets for Tendon InstallationConcrete Cylinder Test Reports and ChartsConcrete Design Mix ReportsConcrete Placement RecordsInspection Reports for Channel Pressure TestsMaterial Property Reports on Containment Liner and AccessoriesMaterial Property Reports on Metal Containment Shell and

AccessoriesMaterial Property Reports on Reinforcing SteelMaterial Property Reports on Reinforcing Steel Splice Sleeve

MaterialMaterial Property Reports on Steel Embedments in ConcreteMaterial Property Reports on Steel PilingMaterial Property Reports on Structural Steel and BoltingMaterial Property Reports on Tendon Fabrication MaterialMix Water Chemical AnalysisPile Drive LogPile Loading Test ReportsProcedure for Containment Vessel Pressure-Proof Test and Leak

Rate Tests and ResultsReinforcing Steel Splice Operator Qualification ReportsReleases to Plate ConcreteReports for Periodic Tendon InspectionReports of High-Strength Bolt Torque TestingSlump Test ResultsSoil Compaction Test ReportsUser's Tensile Test Reports on Reinforcing SteelUser's Tensile Test Reports on Reinforcing Steel Splices

Lifetime

ANSI N45.2.9-1974

Nonpermanent

A.4.3 Welding

Ferrite Test Procedures 2Ferrite Test Results XHeat Treatment Procedures 0Heat Treatment Records XUquid Penetrant Test Procedures 2Uquid Penetrant Test Final Results XMagnetic Particle Test Procedures 2Magne tic Particle Test Final Results XMajor Weld Repair Procedures and Results XRadiographic Test Procedures 2Radiographic Test Final Results XUltrasonic Test Procedures 2Ultrasonic Test Final Results XWeld Fit-Up Reports IWeld Location Diagrams 2Weld Procedures XWeld Procedures Qualifications and Results 2Welding Filler Metal Material Reports X

8

x

0

2II

X

XX

6XXXXXX

6

0I

XXX

21

(Until Recalibrated)X

2X

X

(Until Recalibrated)162

X


Record Types

A.4 Installation-Construction Records (Cont.)

A.4.3 Welding (Cont.)

Welding Materials Control ProceduresWelding Personnel Qualifications

A.4.4 Mechanical

Chemical Composition User's Test (Grab Samples) for ThermalInsulation

Chemical Tests of Water Used for Mixing Insulation CementCleaning Procedures and ResultsCode Data ReportsConstruction IJfting and Handling Equipment Test Procedures,

Inspection and Test DataData Sheets or Logs on Equipment Installation, Inspection and

AlignmentDocumentation of Systems Check-Off (Logs or Data Sheets)Erection Procedures for Mechanical ComponentsHydro·Test Procedures and ResultsInstalled IJfting and Handling Equipment Procedures, Inspection

and Test DataLubrication ProceduresLubrication RecordsMaterial Property RecordsMaterial Property Test Reports for Thermal InsulationPipe and Fitting Location ReportsPipe and Fittings Material Property ReportsPipe Hanger and Restraint DataSafety Valve Response Test ProceduresSafety Valve Response Test Results

A.4.5 Electrical and I&C

Cable Pulling ProceduresCable Separation Check IJstsCable Splicing ProceduresCable Terminating ProceduresCertified Cable Test ReportsDocumentation of Testing Performed After Installation and Prior

to Systems Conditional AcceptanceField Workmanship Checklist or Equivalent LogsInstrument Calibration ResultsRelay Test Procedures and ResultsReports of Pre-Installation TestsVoltage Breakdown Tests on Liquid Insulation

A.4.6 General

"As-Built" Drawings and RecordsCalibration of Measuring and Test Equipment and Instruments

Procedures and ReportsCertificate of Inspection and Test Personnel QualificationFjeld Audit ReportsField Quality Assurance ManualsFinal Inspection Reports and Releases

9

lifetime

ANSI N45.2.9-1974

Nonpermanent

22

"

REQUIREMENTS FOR COLLECTION. STORAGE.AND MAINTENANCE OF QUALITY ASSURANCE RECORDSFOR NUCLEAR POWER PLANTS

Record Types

A.4 Installation-Construction Records (Conto)

A.4.6 General (Cont.)

Nonconformance ReportsSpecial Tool Calibration RecordsSpecifications and Drawings

A.S Preoperational and Startup Test Records

Automatic Emergency Power Source Transfer Procedures andResults

Final Systems Adjustment DataRushing Procedures and ResultsHydrostatic Pressure Test Procedures and ResultsInitial Heatup, Hot Functional and Cooldown Procedures and

ResultsInitial Plant Loading DataInitial Reactor Criticality Test Procedures and ResultsInstrument AC Systems and Inverters Test Procedures and

ReportsMain and Auxiliary Power Transformer Test Procedures and

ResultsOff-Site Power-Source Energizing Procedures and Test ReportsOn-Site Emergency Power Source Energizing Procedure and Test

ReportsPlant Load Ramp Change DataPlant Load Step Change DataPower Transmission Substation Test Procedures and ResultsPreoperational Test Procedures and ResultsPrimary and Secondary Auxiliary Power Test Procedures and

ResultsReactor Protection System Tests and ResultsStartup LogsStartup Problems and ResolutionsStartup Test Procedures and ResultsStation Battery and DC Power Distribution Test Procedures and

ReportsSystem Lubricating Oil Flushing ProceduresWater Chemistry Reports

Lifetime

x

x

xX

X

XXX

X

XX

XXXXX

XXX

X

X

X

ANSI N45.2.9-1974

Nonpermanent

(Until Recalibrated)

2

6

2

A.6 Operation Phase Activity Records

A.6.1 Operation, Maintenance and Testing

Records and Drawing Changes Reflecting Plant Design Modifications Made to Systems and Equipment Described in theFinal Safety Analysis Report X

New and Spent Fuellnventory, Transfers of Fuel, and AssemblyHistories X

Plant Radiation and Contamination Survey Records XOff-Sitl~ Environmental Monitoring Survey Records XRadiation Exposure Records of All Plant Personnel, and Others

who Enter Radiation Control Areas XIUdioactivity Levels of Uquid and Gaseous Waste Released to

Environment X

10


Record Types

A.6 Operation Phase Activity Records (Cont.)

A.6.1 Operation, Maintenance and Testing (Cont.)

Transient or Operational Cycling Records for Those Plant Components That Have Been Designed to Operate Safely for alimited Number of Transients or Operational Cycles

Current Individual Plant Staff Member Qualifications, Experience,Training and Retraining Records

Reactor Coolant System In·Service Inspection RecordsMinutes of Meetings of the Plant Nuclear Safety Committee and

Company Nuclear Review BoardNormal Nuclear Unit Operation, Including Power Levels and Pe

riods of Operation at Each Power LevelPrincipal Maintenance Activities, Including Inspection Repair,

Substitution or Replacement of Principal Items of Equip·ment Pertaining to Nuclear Safety

Abnormal Occurrence RecordsPeriodic Checks, Inspections and Calibrations Performed to Verify

that Surveillance Requirements are Being MetSpecial Reactor Test or Experiment RecordsChanges Made in the Operating ProceduresRadioactive Shipment Records

II

Lifetime

x

xX

X

ANSI N45.2.9-1974

Nonpermanent

5

55

5555