ARTICLE NCA-4000

NCA-4100 NCA-4110 NCA-4120 NCA-4130 NCA-4131 NCA-4132 NCA-4132.1 NCA-4132.2 NCA-4132.3 NCA-4133 NCA-4134 NCA-4134.1 NCA-4134.2 NCA-4134.3 NCA-4134.4 NCA-4134.5 NCA-4134.6 NCA-4134.7 NCA-4134.8 NCA-4134.9 NCA-4134.10 NCA-4134.11 NCA-4134.12 NCA-4134.13 NCA-4134.14 NCA-4134.15 NCA-4134.16 NCA-4134.17 NCA-4134.18 Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Scope and Applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Denitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Establishment and Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Material Organizations, Division 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Material Organizations for Division 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Material Organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Nonmetallic Material Organizations for Division 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Constituent Suppliers, Division 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Material Organizations, Division 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . N, NV, NPT, NS, and NA Certicate Holders for Class 1, 2, 3, MC, CS, and CC Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Quality Assurance Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Design Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Procurement Document Control. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Instructions, Procedures, and Drawings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Document Control. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Control of Purchased Items and Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Identication and Control of Items. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Control of Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Inspection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Test Control. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Control of Measuring and Test Equipment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Handling, Storage, and Shipping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Inspection and Test Status . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Control of Nonconforming Items . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Corrective Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Quality Assurance Records. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Audits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 41 41 41 41 41 41 41 41 41 41 41 41 42 42 42 42 42 42 43 43 43 43 43 43 43 43 43 45

Tables NCA-4134.17-1 NCA-4134.17-2

Lifetime Quality Assurance Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Nonpermanent Quality Assurance Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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ARTICLE NCA-4000 QUALITY ASSURANCE

01 A02

NCA-4100 REQUIREMENTS
NCA-4110 SCOPE AND APPLICABILITY (a) This Article sets forth the requirements for planning, managing, and conducting Quality Assurance Programs for controlling the quality of activities performed under this Section and the rules governing the evaluation of such Programs prior to the issuance of Certicates for the construction, fabrication, manufacture, and installation of Class 1, 2, 3, CS, MC, and CC items. The Quality Assurance requirements for Material Organizations for all Classes of construction are provided in NCA-3800. The Quality Assurance requirements for Nonmetallic Material Organizations and Constituent Suppliers for all Classes of construction are provided in NCA-3900. Certicate Holders are advised to consult other regulations for Quality Assurance requirements governing activities beyond the scope of this Section. (b) N-Type Certicate Holders shall comply with the Basic Requirements and Supplements of ASME NQA-11989 Edition with 1a1989, 1b-1991, and 1c1992 Addenda, Quality Assurance Program Requirements for Nuclear Facilities, as modied and supplemented in NCA-4120(b) and NCA-4134. (c) The Quality Assurance Program requirements for an NS Certicate Holder shall comply with NCA-3680 and NCA-4110(b). Inspection by an ANI and Code Symbol stamping is not required for supports.

(6) service (7) use-as-is

NCA-4130 ESTABLISHMENT AND IMPLEMENTATION NCA-4131 Material Organizations, Division 1 The requirements of NCA-3800 apply. NCA-4132 Material Organizations for Division 2 NCA-4132.1 Material Organizations. The requirements of NCA-3800 apply. NCA-4132.2 Nonmetallic Material Organizations for Division 2. The requirements of NCA-3900 apply. NCA-4132.3 Constituent Suppliers, Division 2. The requirements of NCA-3900 apply. NCA-4133 Material Organizations, Division 1 The requirements of NCA-3800 apply. NCA-4134 N, NV, NPT, NS, and NA Certicate Holders for Class 1, 2, 3, MC, CS, and CC Construction NCA-4134.1 Organization. The provisions of NQA1, Basic Requirement 1 and Supplement 1S-1, shall apply. NCA-4134.2 Quality Assurance Program (a) The provisions of NQA-1, Basic Requirement 2 and Supplements 2S-1 and 2S-3, shall apply and the system used to meet these requirements shall be described in the Quality Assurance Manual. The Quality Assurance Manual shall also include a statement of policy and authority indicating management support. The specic responsibilities of the quality assurance organization of the Certicate Holder shall also include the review of written procedures and monitoring of the
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NCA-4120 DEFINITIONS (a) The denitions in NCA-9000 shall apply. (b) The terms and denitions of NQA-1, Supplement S-1, shall apply except for those listed in (1) through (7) below. For the following terms, the denitions in NCA-9000 shall apply: (1) item (2) Owner (3) quality assurance (4) repair (5) rework

NCA-4134.2

2001 SECTION III, DIVISION 1 NCA

NCA-4134.8

activities concerned with the Quality Assurance Program as covered in this Article. (b) In lieu of Supplement 2S-2, the qualication of nondestructive examination personnel shall be as required by NX-5520. (c) The controls used in the Quality Assurance Program shall be documented in the Quality Assurance Manual. The Program need not be in the same format or sequential arrangement as the requirements in this Article, as long as all applicable requirements of this Article have been covered. A copy, including all changes that are made, shall be made available to the Inspector. The Certicate Holder shall make available to the Inspector such drawings and process sheets as are necessary to make the Quality Assurance Program intelligible. (d) The Certicate Holder shall be responsible for advising its Authorized Inspection Agency of any signicant changes which are proposed to be made to the Quality Assurance Manual, and shall have acceptance of the Authorized Inspection Agencys Authorized Nuclear Inspector Supervisor before putting such changes into effect. The Certicate Holder shall be responsible for promptly notifying the Inspector of such accepted changes, including evidence of acceptance by the Authorized Inspection Agency, and for simultaneously reconciling copies of the Quality Assurance Manual. NCA-4134.3 Design Control (a) The provisions of NQA-1, Basic Requirement 3 and Supplement 3S-1, shall apply. (b) Measures shall be established to ensure that applicable requirements of the Design Specications and of this Section for items are correctly translated into specications, drawings, procedures, and instructions. (c) Design documents shall be veried for adequacy and compliance with the Design Specication and this Section. NCA-4134.4 Procurement Document Control. The provisions of NQA-1, Basic Requirement 4 and Supplement 4S-1, shall apply, except that procurement documents shall require Suppliers to provide a Quality Assurance Program consistent with the applicable requirements of this Section. NCA-4134.5 Instructions, Procedures, and Drawings. The provisions of NQA-1, Basic Requirement 5, shall apply. NCA-4134.6 Document Control. The provisions of NQA-1, Basic Requirement 6 and Supplement 6S-1, shall apply.
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NCA-4134.7 Control of Purchased Items and Services. The provisions of NQA-1, Requirement 7, shall apply, except that: (a) Supplement 7S-1, 8.3 is not applicable to the procurement of Authorized Inspection Agency services as required in NCA-8130; (b) the decision to perform bid evaluation for materials to conrm conformance to procurement documents required in 7S-1, 4.0, shall remain the responsibility of the Certicate Holder; (c) changes, waivers, or deviations permitted by 7S1, 8.2.1(b) shall not be acceptable if they do not meet the requirements of this Section; (d) resolution of nonconformances identied in 7S1, 8.2.1(c) shall be in conformance with the requirements of this Section; and (e) documentary evidence that items conform to the requirements of this Section shall be available at the construction or installation site before use or installation. Requirements for documentary evidence are satised for material when the applicable rules of NCA-3800 and NCA-3900 for material certication are met. For stamped items, the requirements are satised by a Data Report. NCA-4134.8 Identication and Control of Items (a) The provisions of NQA-1, Basic Requirement 8 and Supplement 8S-1, shall apply. (b) Welding and brazing materials for all Classes of construction shall be controlled. (c) All characteristics required to be reported by the material specications and by this Section shall appear on checklists, and each such characteristic shall be examined by accepted procedures as required and the results recorded. Characteristics included on Certied Material Test Reports or Certicates of Compliance need not be duplicated in the checklists. Checklists shall provide for a record that the Certied Material Test Reports and Certicates of Compliance have been received, reviewed, and found acceptable. When the results of the examination or test procedure conducted by the Certicate Holder are necessary to show compliance with material specication or other requirements, the checklists shall show the required range of values. The checklists shall include spaces for: inclusion of document number and revision to which examination or tests were made; a signature, initials, or stamp; the date of the examination performed by the Certicate Holders representative; an Authorized Nuclear Inspectors signature, initials, or stamp; and the date on which those activities were witnessed.

NCA-4134.9

NCA-4000 QUALITY ASSURANCE

NCA-4134.17

NCA-4134.9 Control of Processes (a) The provisions of NQA-1, Basic Requirement 9 and Supplement 9S-1, shall apply. (b) The Certicate Holder shall prepare instructions, procedures, drawings, checklists, travelers, or other appropriate documents, including the document numbers and revisions to which the process conforms, with space provided for reporting results of completion of specic operations at checkpoints of fabrication, manufacture, or installation. The documents shall include space for: a signature, initials, or stamp; the date that the activity was performed by the Certicate Holders representative; the Authorized Nuclear Inspectors signature, initials, or stamp; and the date on which those activities were witnessed. NCA-4134.10 Inspection (a) The provisions of NQA-1, Basic Requirement 10 and Supplement 10S-1, shall apply, except for para. 3.1 and the requirements of Inservice Inspection. (b) The Certicate Holder shall prepare process sheets, travelers, or checklists, including the document numbers and revision to which the examination or test is to be performed, with space provided for recording results of examinations and tests. The documents shall include space for: a signature, initials, or stamp; the date that the activity was performed by the Certicate Holders representative; the Authorized Nuclear Inspectors signature, initials, or stamp; and the date on which those activities were witnessed. The examination checklist for construction of items shall be lled in and completed by the Certicate Holder who applies the appropriate Code Symbol Stamp to the item. (c) Mandatory hold points at which witnessing is required by the Certicate Holders representative or the Authorized Nuclear Inspector shall be indicated in the controlling documents (NCA-4134.9). Work shall not proceed beyond mandatory hold points without the consent of the Certicate Holders representative or the Authorized Nuclear Inspector, as appropriate. NCA-4134.11 Test Control. The provisions of NQA1, Basic Requirement 11 and Supplement 11S-1, shall apply. NCA-4134.12 Control of Measuring and Test Equipment (a) The provisions of NQA-1, Basic Requirement 12 and Supplement 12S-1, shall apply. (b) The Certicate Holder may perform periodic checks on equipment to determine that calibration is maintained. When periodic checking is used, discrepancies need only be resolved to the prior check, provided the discrepancy is discovered by the periodic check.
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The methods and frequency of periodic checking, when used, shall be included in the Certicate Holders Quality Assurance Program. NCA-4134.13 Handling, Storage, and Shipping. The provisions of NQA-1, Basic Requirement 13 and Supplement 13S-1, shall apply. NCA-4134.14 Inspection and Test Status. The provisions of NQA-1, Basic Requirement 14, shall apply for inspections and tests, but not for operating status. NCA-4134.15 Control of Nonconforming Items. The provisions of NQA-1, Basic Requirement 15 and Supplement 15S-1, shall apply, except that the denition of repair given in this Section shall apply in lieu of repair and rework given in NQA-1. NCA-4134.16 Corrective Action (a) The provisions of NQA-1, Basic Requirement 16, shall apply. (b) The requirements shall also extend to the performance of the subcontractors corrective action measures. NCA-4134.17 Quality Assurance Records (a) General. The provisions of NQA-1, Basic Requirement 17 and Supplement 17S-1, shall apply, except that the requirements for classication in 17S-1, 2.7, retention of records in 17S-1, 2.8, and facility in 17S1, 4.4 are not applicable. Such records shall be classied and maintained as required by this Section. (b) Records Index. The records shall be indexed. The records and the indices thereto shall be accessible to the Owner, Owners designee, and Authorized Nuclear Inspector. (c) Reproduction of Radiographs. Radiographs may be reproduced provided the following requirements are met: (1) the reproduction process shall be subject to the Owners approval; (2) when radiographs are reproduced for either an Owner or Certicate Holder, the Quality Assurance Program of the Certicate Holder responsible for the reproduction process shall include a system for controlling and monitoring the accuracy of the process so that the image, when reproduced to its original size, will provide the same information retrieval capability as the original radiograph; (3) procedures shall contain applicable requirements pertaining to exposure, scanning, focusing, contrast, resolution, and distinguishing lm artifacts that might appear as material discontinuities in the reproduced image. (d) Lifetime Records. For Classes 1, 2, CS, MC, and CC, the records listed in Table NCA-4134.17-1
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Table NCA-4134.17-1

2001 SECTION III, DIVISION 1 NCA

Table NCA-4134.17-2

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Record
1. 2. 3. 4. 5. 6. 7. 8. 9.

TABLE NCA-4134.17-11 LIFETIME QUALITY ASSURANCE RECORDS

Record
10. Records of post-tensioning sequence, procedure, and loads 11. Heat treatment records [Note (2)] 12. Qualication test reports such as for concrete design mixes (CC-2460) and safety valves (NB-7700) 13. Structural integrity test reports (CC-6260) 14. Final hydrostatic and pneumatic test results (NCA-5280) 15. Final nondestructive examination reports; nal radiographs as specied by the Owner for Section XI applications 16. Repair records when required by Code (NX-4130) 17. Weld procedures 18. Construction Report (NCA-3454)

Index to lifetime records (NCA-4134.17) Code Data Reports (NCA-8400) Design Specication (NCA-3250) [Note (3)] Design Output Documents, Division 1 (NCA-3350 and NCA3550) [Note (3)] Design Report, Division 2 Overpressure Protection Report (NB-7200, NC-7200, or ND7200) Construction Specication (NCA-3340) As-built drawings (NCA-3454) Certied Material Test Reports (CMTR) and documentation providing traceability to location used, if required (NX4122)

NOTES: (1) Nonconformance reports that affect those records listed shall be incorporated into the record or be retained with the records. (2) Either heat treatment charts or certied summaries of time and temperature data may be provided. These data may be included as part of the CMTR. (3) For supports designed by Load rating the Load Capacity Data Sheet is the Design Output Document to be maintained as a lifetime quality assurance record. For standard supports designed by analysis and supplied with a Certied Design Report Summary the Certied Design Report Summary is the Design Output Document to be maintained as a Lifetime quality assurance record.

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TABLE NCA-4134.17-21 NONPERMANENT QUALITY ASSURANCE RECORDS

Record
1. QA Program Manual 2. Design procurement and QA procedures (NCA4134.5) 3. Installation and NDE procedures (NX-5112) 4. Personnel qualication records (NX-5520 and NX4322) 5. Purchase orders 6. Audit and survey reports (NCA-4121 and NCA4134.18) 7. Final radiographs not covered in Table NCA4134.17-1, Record 15 8. Calibration records (NCA-4134.12) 9. Process sheets, travelers, or checklists (NCA4134.10) 10. Rebar splice test reports (CC-4330) 11. Joint-welder identication records when such records are used in lieu of physical marking of welds (NX-4322)

Retention Period
3 years after superseded or invalidated 3 years after superseded or invalidated 10 years after superseded or invalidated 3 years after superseded or invalidated 10 years after superseded or invalidated 3 years after completion of report 10 years after completion Until recalibrated 10 years after completion 10 years after completion of report 10 years after completion of report

NOTE: (1) Nonconformance reports, which affect those records listed and are not incorporated into the record, shall be retained for the retention period applicable to the record the nonconformance report affects.

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NCA-4134.17

NCA-4000 QUALITY ASSURANCE

NCA-4134.18

shall be classied as lifetime records. For Class 3, only records 1, 2, 3, 4, 8, 9, 15, and 16 in Table NCA4134.17-1 shall apply. The Certicate Holder shall be responsible for the retention and maintenance of these records while they are under his control. The Owner shall be responsible for retention and maintenance of those records which are transferred to him. (e) Nonpermanent Records. For Classes 1, 2, CS, MC, and CC, the records listed in Table NCA-4134.172 shall be classied as nonpermanent records. For Class 3, only records 3, 7, and 8 in Table NCA-4134.17-2 shall apply. The Certicate Holder shall be responsible for their retention for the period specied in Table NCA-4134.17-2. In no case need nonpermanent records

be retained for longer than 10 years after completion of applicable Code Data Report. NCA-4134.18 Audits (a) The provisions of NQA-1, Basic Requirement 18 and Supplement 18S-1, shall apply. (b) Results of audits shall be made available to the Authorized Nuclear Inspector. (c) The audit frequency shall be specied in the Certicate Holders Quality Assurance Manual. The Certicate Holders audit frequency shall be commensurate with his schedule of activities and shall be such that each ongoing Code activity is audited at least once annually.

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