ASME NQA-1-2015 Quality Assurance Requirements for Nuclear Facility Applications (Includes Interpretations November 2012 Through November 2013)《核设施应用的质量保证要求》.pdf

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1、Quality Assurance Requirements for Nuclear Facility ApplicationsAN AMERICAN NATIONAL STANDARDASME NQA-12015(Revision of ASME NQA-12012)ASME NQA-12015(Revision of ASME NQA-12012)Quality AssuranceRequirements forNuclear FacilityApplicationsAN AMERICAN NATIONAL STANDARDTwo Park Avenue New York, NY 1001

2、6 USADate of Issuance: February 20, 2015The next edition of this Standard is scheduled for publication in 2017.ASME issues written replies to inquiries concerning interpretations of technical aspects of thisStandard. Interpretations are published on the ASME Web site under the Committee Pages athttp

3、:/cstools.asme.org/. Interpretations are also included with each edition.Errata to codes and standards may be posted on the ASME Web site under the Committee Pages toprovide corrections to incorrectly published items, or to correct typographical or grammatical errorsin codes and standards. Such erra

4、ta shall be used on the date posted.The Committee Pages can be found at http:/cstools.asme.org/. There is an option available toautomatically receive an e-mail notification when errata are posted to a particular code or standard.This option can be found on the appropriate Committee Page after select

5、ing “Errata” in the “PublicationInformation” section.ASME is the registered trademark of The American Society of Mechanical Engineers.This code or standard was developed under procedures accredited as meeting the criteria for American NationalStandards. The Standards Committee that approved the code

6、 or standard was balanced to assure that individuals fromcompetent and concerned interests have had an opportunity to participate. The proposed code or standard was madeavailable for public review and comment that provides an opportunity for additional public input from industry, academia,regulatory

7、 agencies, and the public-at-large.ASME does not “approve,” “rate,” or “endorse” any item, construction, proprietary device, or activity.ASME does not take any position with respect to the validity of any patent rights asserted in connection with anyitems mentioned in this document, and does not und

8、ertake to insure anyone utilizing a standard against liability forinfringement of any applicable letters patent, nor assumes any such liability. Users of a code or standard are expresslyadvised that determination of the validity of any such patent rights, and the risk of infringement of such rights,

9、 isentirely their own responsibility.Participation by federal agency representative(s) or person(s) affiliated with industry is not to be interpreted asgovernment or industry endorsement of this code or standard.ASME accepts responsibility for only those interpretations of this document issued in ac

10、cordance with the establishedASME procedures and policies, which precludes the issuance of interpretations by individuals.No part of this document may be reproduced in any form,in an electronic retrieval system or otherwise,without the prior written permission of the publisher.The American Society o

11、f Mechanical EngineersTwo Park Avenue, New York, NY 10016-5990Copyright 2015 byTHE AMERICAN SOCIETY OF MECHANICAL ENGINEERSAll rights reservedPrinted in U.S.A.CONTENTS(A detailed Contents precedes each NQA Part.)Foreword ivPreparation of Technical Inquiries to the Nuclear Quality Assurance Committee

12、 . viCommittee Roster . viiIntroduction . ixSummary of Changes xPart I Requirements for Quality Assurance Programs for Nuclear Facilities(From Former NQA-1). 1Part II Quality Assurance Requirements for Nuclear Facility Applications . 34Part III Guidance for Implementing Parts I and II Requirements 1

13、16Part IV Guidance on the Application and Use of NQA-1 194iiiFOREWORDThis Standard is intended to serve the global nuclear industry responsible for the safety andquality of nuclear facilities and activities.It is intended to be applied to any structure, system, component, activity, or organization t

14、hatis essential to the safe, reliable, and efficient performance of a nuclear facility and any activitiesindependent of a facility that may affect performance. It is also intended to be applied to allphases of a nuclear facility life cycle and to related activities.This Standard reflects industry ex

15、perience and current understanding of the quality assurancerequirements necessary to achieve safe, reliable, and efficient utilization of nuclear energy andmanagement and processing of radioactive materials. The Committee on Nuclear QualityAssurance (NQA) actively endorses the growing worldwide move

16、ment toward rational, cost-effective quality assurance practices practices that focus on results. The NQA Committee alsomaintains liaison with national and international groups that have similar interests in quality toassure consistency and maximum applicability of the Standard in a global setting.

17、Consequently,the NQA Committee has regularly updated and revised the Standard since its first edition wasissued in 1979 to improve its utility, effect on nuclear safety, and value to the nuclear industry.This Standard includes requirements and guidance and is organized in the following four parts:(a

18、) Part I contains requirements for a Quality Assurance Program for nuclear facilityapplications.(b) Part II contains additional quality assurance requirements for the planning and conduct ofspecific work activities conducted under a Quality Assurance Program developed in accordancewith Part I.(c) Pa

19、rt III contains guidance for implementing the requirements of Parts I and II.(d) Part IV contains guidance for the application of NQA-1 and comparisons of NQA-1 withother quality requirements.Early in 1975, the American National Standards Institute (ANSI) assigned overall responsibilityfor coordinat

20、ion among technical societies and development and maintenance of nuclear powerquality assurance standards to the American Society of Mechanical Engineers (ASME). TheASME Committee on NQA was constituted on October 3, 1975, and assumed responsibility forthe ANSI/ASME N.45 series documents. Currently,

21、 the NQA Committee operates under theASME requirements for Nuclear Codes and Standards Development Committees.This Committee initially preparedANSI/ASME NQA-11979 Quality Assurance Program Requirements for Nuclear PowerPlantsANSI/ASME NQA-21983 Quality Assurance Requirements for Nuclear Power Plants

22、ANSI/ASME NQA-31989 Quality Assurance Requirements for High Level WasteManagementFor a detailed history of the NQA Committee and evolution of the Standard, go to:http:/cstools.asme.org/csconnect/CommitteePages.cfm?CommitteepO10500000 however, legible, handwrit-ten inquiries will be considered. It sh

23、all include the name and mailing address and telephonenumber of the inquirer and be mailed to the following address:SecretaryASME Nuclear Quality Assurance CommitteeNuclear DepartmentTwo Park AvenueNew York, NY 10016-5990viCOMMITTEE ON NUCLEAR QUALITY ASSURANCE(As of April 23, 2014)STANDARDS COMMITT

24、EE OFFICERSR. C. Schrotke, Jr., Chair J. W. McIntyreG. Danielson, Vice Chair R. P. McIntyreM. Smith, Vice Chair N. P. MoreauO. Martinez, Secretary K. A. MorrellJ. G. Adkins C. H. Moseley, Jr.J. W. Anderson, T. MurakiContributing M. F. NicolMember K. L. RhoadsN. R. Barker R. A. SaccoJ. E. Bergstrom T

25、. V. SarmaD. A. Brown W. K. Sowder, Jr.W. Bryan D. R. SparkmanN. M. Burstein, R. A. SymesContributing G. SzabaturaMember T. Van Valkenburg,M. Concepcion-Robles, ContributingContributing Member MemberJ. DeKleine W. G. WareT. E. Dunn D. A. WinchesterE. L. Jordan J. R. YanekH. J. Kirschenmann S. A. Ber

26、nsen, HonoraryC. R. Martin MemberM. J. Mason, Contributing J. A. Perry, HonoraryMember MemberSubcommittee on ApplicationsD. C. Agarwal, Chair D. K. JensenS. D. Diffey, Secretary N. J. Linarez-RoyceJ. W. Anderson D. A. MorleyP. M. Bell, Sr. C. H. Moseley, Jr.R. J. Blauw R. C. Schrotke, Jr.R. D. Brown

27、 W. R. SmithG. Danielson W. K. Sowder, Jr.P. F. Gillespie D. P. WeaverSubcommittee on Assessment and VerificationJ. W. McIntyre, Chair D. J. JantosikM. A. Hayse, Vice Chair E. C. LoveT. Van Valkenburg, Secretary C. A. MardenB. Blum K. MillerS. F. Borland P. F. PrescottJ. Burkhead T. V. SarmaG. Deato

28、n G. C. SmolensT. B. Franchuk T. T. SuzukiT. M. Grace R. A. SymesE. D. Groover J. D. York, Jr.J. G. Ice J. M. ZiembaviiSubcommittee on Engineering and ProcurementProcessesJ. DeKleine, Chair T. L. MontgomeryW. G. Ware, Vice Chair E. RenaudV. J. Grosso, Secretary T. RezkN. R. Barker C. SmithT. M. Caul

29、ey R. Srinivasan,R. W. Dillman Contributing MemberD. Ethington G. E. SzabaturaT. Fukuda M. H. TannenbaumG. M. Gilmartin D. W. TuttelR. S. Jolly M. V. MitchellK. A. Kavanagh J. R. YanekJ. MarsdenSubcommittee on Interfaces and AdministrationD. A. Brown, Chair G. DanielsonR. A. Sacco, Chair T. E. DunnC

30、. H. Moseley, Jr., Vice M. W. HarveyChair D. PrigelJ. G. Adkins G. J. ReedR. G. Burns, Contributing M. E. SmithMemberN. M. Burstein, ContributingMemberSubcommittee on Program Management ProcessesR. L. Blyth, Chair D. MalitoK. L. Rhoads, Vice Chair M. J. MasonS. D. Atack, Secretary S. MatsonR. E. Sto

31、ne, Secretary R. P. McIntyreA. Appleton J. A. MohrJ. E. Bergstrom E. S. SchwartzL. M. Cavet C. A. SpletterM. K. Cox D. VickeryJ. N. Dailey D. A. WinchesterD. K. Dreyfus D. N. ZweifelH. J. KirschenmannSubcommittee on Software Quality AssuranceD. R. Sparkman, Chair W. HortonN. P. Moreau, Vice Chair E.

32、 L. JordanC. Givens, Secretary N. M. KyleS. B. Ailes G. A. LipscombK. Ake P. I. LooE. Baglietto C. R. MartinD. H. Brown T. MurakiW. Bryan C. RuthB. Buckley S. K. SenK. A. Byle H. V. SobahJ. Chappel P. ValdezM. Concepcion-Robles T. R. VermaB. Frank D. J. WilliamsT. J. HallviiiSubcommittee on Waste Ma

33、nagementM. F. Nicol, Chair R. D. MurrayR. Wood, Vice Chair C. M. PalayK. A. Morrell, Secretary D. SayreK. A. McMahonINTRODUCTIONThis Standard is to be applied to any structure, system, component, activity, or organizationthat is essential to the safe, reliable, and efficient performance of a nuclear

34、 facility and anyactivities independent of a facility that may affect performance (e.g., transportation of nuclearmaterials) of those activities. The extent to which this Standard should be applied dependsupon the specific type of facility, items, or services involved and the nature, scope, and rela

35、tiveimportance of the activity being performed. It is also to be applied to all phases of a nuclearfacility life cycle (e.g., siting, design, construction, operation, and decommissioning) and all typesof activities (e.g., training, testing, software development or use).The Standard also applies to a

36、ctivities that could affect the quality of nuclear material applica-tions, structures, systems, and components of nuclear facilities.Examples of nuclear facilities are those for power generation, spent fuel storage, waste manage-ment, fuel reprocessing, nuclear material processing, fuel fabrication,

37、 nuclear research, and otherrelated facilities. Examples of activities include siting, designing, procuring, developing or usingsoftware, fabricating, constructing, handling, shipping, receiving, storing, cleaning, erecting,installing, inspecting, testing, operating, maintaining, repairing, refuelin

38、g, modifying, and decom-missioning.This Standard is organized in the following four parts:(a) Part I contains requirements for developing and implementing a Quality Assurance Programfor nuclear facility applications.(b) Part II contains additional quality assurance requirements for the planning and

39、conduct ofspecific work activities under a Quality Assurance Program developed in accordance with Part I.(c) Part III contains guidance for implementing the requirements of Parts I and II.(d) Part IV contains guidance for application of NQA-1 and comparisons of NQA-1 with otherquality requirements.T

40、he arrangement of the requirements in Parts I and II and the guidance in Parts III and IV permitthe judicious application of the Standard or portions of the Standard. Applicable requirements ofParts I and II are to be implemented to ensure conformance with NQA-1. The application ofthis Standard, or

41、portions thereof, shall be invoked by written contracts, policies, procedures,specifications, or other appropriate documents.This Standard reflects industry experience and current understanding of the quality assurancerequirements necessary to achieve safe, reliable, and efficient utilization of nuc

42、lear energy andmanagement and processing of radioactive materials. The Standard focuses on the achievementof results, emphasizes the role of the individual and line management in the achievement andsustainment of quality, and fosters the application of these requirements in a manner consistentwith t

43、he relative importance of the item or activity (i.e., a “graded approach”).ix(15)ASME NQA-12015SUMMARY OF CHANGESFollowing approval by the ASME Standards Committee on Nuclear Quality Assurance andASME, and after public review, ASME NQA-12015 was approved by the American NationalStandards Institute o

44、n January 12, 2015.ASME NQA-12015 consists of NQA-12012; editorial changes, revisions, and corrections; aswell as the following changes identified by a margin note, (15).Page Location Changeix Introduction Added47 Part I Introduction Revised in its entirety9 Part I, Requirement 2, 300 Second paragra

45、ph revisedPart I, Requirement 2, 301 Second word revised10 Part I, Requirement 2, 303 Revised11 Part I, Requirement 2, 400 Revised in its entiretyPart I, Requirement 2, 500 First sentence deleted12 Part I, Requirement 3, 401 Revised in its entirety14 Part I, Requirement 3, 800 (1) Revised(2) Section

46、s 801 and 802 deleted23 Part I, Requirement 11, 200 Subparagraph (d) deletedPart I, Requirement 11, 400 Revised in its entirety24 Part I, Requirement 11, 602 Revised in its entirety30, 31 Part I, Requirement 17, 601 Spelling of second word corrected insubparagraph (b)32 Part I, Requirement 18, 200 R

47、evised in its entirety3436 Part II Contents Updated37 Part II Introduction, 100 RevisedPart II Introduction, 200 RevisedPart II Introduction, 300 Revised39 Part II, Subpart 2.1 Title revisedPart II, Subpart 2.1, 100 RevisedPart II, Subpart 2.1, 101 Definitions of cleaning and sensitizedcorrosion-res

48、istant alloy revised41 Part II, Subpart 2.1, 302.1 ASTM designations updatedPart II, Subpart 2.1, 302.2 ASTM designations updated42 Part II, Subpart 2.1, 302.4 Subparagraph (d) revised4447 Part II, Subpart 2.1, 400 Third paragraph revisedPart II, Subpart 2.1, 600 Last paragraph revisedxPage Location

49、 ChangePart II, Subpart 2.1, 801 First and last paragraphs revisedPart II, Subpart 2.1, 802 Paragraphs 802.1 and 802.2 revisedPart II, Subpart 2.1, 1000 Second paragraph revised63 Part II, Subpart 2.4 Deleted75 Part II, Subpart 2.7, 100 Footnote 1 addedPart II, Subpart 2.7, 102 Definition of change control added7678 Part II, Subpart 2.7, 201 Title revisedPart II, Subpart 2.7, 202 Title revisedPart II, Subpart 2.7, 203 Revised in its entiretyPart II, Subpart 2.7, 302 RevisedPart II, Subpart 2.7, 400 Sections 400 through 404 revised102 Part II, Subpart 2.16 Deleted103 P