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Joint KINS-IAEA Basic Professional Training Course on Nuclear Safety, 15 to 26 Oct. 2018, Daejeon, Korea Nuclear Quality Assurance Oct. 2018 Jae Hun LEE Korea Institute of Nuclear Safety

Nuclear Quality Assurance · ‘11 Ed.) or ASME/NQA-1 (1994 to 2009 Ed.) were endorsed as detailed requirements. For operation : KEPIC/QAP (ASME/NQA-1) + ANSI/ANS 3.2 (1994 to 2009

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Text of Nuclear Quality Assurance · ‘11 Ed.) or ASME/NQA-1 (1994 to 2009 Ed.) were endorsed as detailed...

  • Joint KINS-IAEA Basic Professional Training Course on Nuclear Safety, 15 to 26 Oct. 2018, Daejeon, Korea

    Nuclear Quality Assurance

    Oct. 2018

    Jae Hun LEE

    Korea Institute of Nuclear Safety

  • Contents

    I. Outline of Nuclear Quality Assurance

    II. Regulatory Requirements on QA

    III.QA Regulation in Korea

    IV.QA Inspection Criteria

    V. Concluding Remarks

    2

  • I. Outline of Nuclear Quality Assurance (QA)

    • Quality• Overall feature and characteristics of the products and services related to the

    capability to comply with the specified requirements

    • Appropriateness of application (consumer's viewpoint)

    • Conformity to the requirements or specifications (manufacturer's viewpoint)

    • Nuclear QA• Nuclear QA is the control system to satisfy the requirements necessary for

    design, manufacturing, construction, operation and maintenance of NPP

    • To achieve the safety and reliability of NPP

    • Definition of Nuclear QA• All those planned and systematic actions necessary to provide adequate confidence

    that a structure, system, or component (SSC) will perform satisfactorily in service. (USNRC 10 CFR 50 Appendix B, KEPIC QAP)

    3

  • Comparison of the Quality Characteristics (Table 1)

    Non-nuclear Industry Nuclear Industry

    Characteristics of Items Light, Thin, Short, Small Heavy, Thick, Long, Bulky

    Method of FabricationMass-production of various

    ItemsSole Items Small Quantity

    Duration of

    ProductionBy Hour Basis By Month/Year Basis

    Quality Verification Verified by manufacturer Verified by Third Party personnel

    Methods of Quality

    VerificationProduct Quality Product Quality with Quality Records

    Purpose of quality Activity

    Customer Satisfaction Safety & Reliability

    Qualification

    RequirementsNone

    Personnel, Equipment, Procedures, Processes

    4

    I. Outline of Nuclear Quality Assurance (QA)

  • • Characteristics of Nuclear QA

    • Management Aspects

    • Quality system and program shall be established in advance.

    • Qualification required (personnel, process, procedures & equipment, etc.)

    • Technical Aspects

    • Regulatory, technical & contractual requirements are applied (design, purchase, process, inspection and test, etc.)

    • Involvement of regulatory body and third party inspection agency

    5

    I. Outline of Nuclear Quality Assurance (QA)

  • II. Regulatory Requirements on QA

    • Nuclear Regulation

    • Purpose

    To prevent radiation disasters for the sake of public safety by setting forth matters concerning safety management for research, development, production, and use of nuclear energy.

    • How safe is safe enough?

    • Nuclear safety is not a matter of one country but an international one.

    • Internationally acceptable level of requirements within the global nuclear safety regime. (Common rules based on state of the art)

    6

  • II. Regulatory Requirements on QA

    • Fig.1 Global Nuclear Safety Regime

    International Conventions

    InternationalSafety

    Standards

    International Joint Research

    & Safety Reviews

    IAEA

    OECD/NEA

    National Nuclear Safety Infrastructure

    Regulation Research/Education Operation

    7

  • II. Regulatory Requirements on QA

    • Convention on Nuclear Safety (CNS)

    • Objectives :

    To establish and maintain effective defenses in nuclear installations against potential radiological hazards in order to protect individuals, society and the environment.

    • General Safety Consideration :

    Priority to safety, human factors, QA, assessment & verification of safety, radiation protection, emergency preparedness.

    8

  • II. Regulatory Requirements on QA

    9

    Objective Essential Means

    I Prevention of abnormal operation and failure

    Conservative design and high quality in construction and operation

    II Control of abnormal operation and detection of failure

    Control, limiting and protection systems and other surveillance feature

    III Control of accidents within the design basis

    Engineering safety feature and EOP

    IV Control of severe plant conditions and mitigation of the consequences of severe accident

    Complementary measures and SAMP

    V Mitigation of consequences of releases of radioactive materials

    Off-site emergency drill

    • Table 1. Defense in Depth (from INSAG-3, TECDOC-986)

  • II. Regulatory Requirements on QA

    10

    • History of QA Standard

    • 1963, US Department of Defense : MIL-Q-9858A, Military Specification –Quality Program Requirements

    • 1968, NATO : AQZP-1, Quality System Requirements

    • 1970, US NRC : 10CFR 50 App. B (18 Criteria)

    • 1975, IAEA : 50-C-QA

    • 1983, ASME committee : ANSI/ASME NQA-1(1983)

    • 2000, ISO : ISO-9001

    • 2001, Korean Government : Regulations on Technical Standards for Nuclear Reactor Facilities, Etc., Sec. 4, QA Requirements

    • 2001, KEPIC : KEPIC/QAP was endorsed as QA Standard

    • 2006, IAEA : GS-R-3, Management System

  • II. Regulatory Requirements on QA

    • Korean Legal System and IAEA Safety Standards

    IAEA Korea U.S.A.

    Safety Fundamentals Nuclear Safety Act (NSA) AEA, Policy Statements

    Safety RequirementsEnforcement Decree and Enforcement Regulation

    of the NSA10 CFR 50

    Safety Guides, TECDOC KINS Regulatory GuidesRegulatory Guides of the

    USNRC

    11

  • II. Regulatory Requirements on QA

    • Legal Basis on QA

    NSA

    Notice of NSSC

    Article 11/21 : Standards for CP & OL4. The contents of a QA program shall

    conform to the standards as prescribed by the regulation of NSSC.

    Enforcement Decree, Article 31 : QA InspectionRegulation on Technical Standards for Nuclear Reactor Facilities Etc., Article 67~85 (18 Criteria of QA)

    Reactor.26(2016-13), Detail Requirements for QA of Nuclear Reactor Facilities (KEPIC/QAP)

    Enforcement Decree &

    Regulation of NSSC

    12

  • II. Regulatory Requirements on QA

    • Legal Basis on QA (continued)

    Industrial Codes and Standards(ASME, IEEE, ACI, KEPIC, etc.)

    Nuclear Safety Act

    EnforcementDecree of the Act

    Enforcement Regulation of

    the Act :Technical Standards

    Notices of NSSC

    Regulatory Standards

    Regulatory Guides

    Safety Review & Inspection Guides

    □ Notice of NSSC, Reactor.26

    For construction* : KEPIC/QAP (‘00 to ‘11 Ed.) or ASME/NQA-1 (1994 to 2009 Ed.) were endorsed as detailed requirements.

    For operation : KEPIC/QAP (ASME/NQA-1) + ANSI/ANS 3.2 (1994 to 2009 Ed.)

    □ Application of other Code & Standards

    The addition and limitation of other codes and standards are given in KINS Regulatory Standards and Guides.

    * Construction includes design, manufacturing and assembling of the components 13

  • II. Regulatory Requirements on QA

    • Regulatory Requirements

    • Procedural Requirements

    • Authorization Process with Standards for Permit including QA Program

    • QA Inspection and Enforcement Policy

    • Technical Requirements*

    • QA Criteria regarding Construction and Operation of NPP

    • Design Criteria regarding Location, SSC, Installation, and Performance of NPP

    * Regulation on Technical Standards for Nuclear Reactor Facilities Etc.

    14

  • II. Regulatory Requirements on QA

    • 18 Criteria of QA in Korea

    1. Organization 10. Inspection

    2. QA program 11. Test control

    3. Design Control 12. Control of measuring and test equipment

    4. Procurement Document Control 13. Handling, storage and shipping

    5. Instructions, procedures and drawings 14. Inspection, test and operation status

    6. Document control 15. Control of non-conforming items

    7. Control of purchased items and services 16. Corrective action

    8. Identification of control of items 17. QA records

    9. Control of special processes 18. Audit15

  • II. Regulatory Requirements on QA

    • GS-R-3 Requirements

    16

    Section Title Contents

    Section 1 Introduction Background, Objective, Scope, Structure

    Section 2 Management System (MS) General Requirement, Safety Culture, Grading Application, Documentation

    Section 3 Management Responsibility Management Commitment, Satisfaction of interested Parties, Organizational Policies, Planning, Responsibility and Authority

    Section 4 Resource Management Provision of Resources, Human Resources, Infrastructure and working Environment

    Section 5 Process Implementation Developing Process, Process Management, Generic MS process

    Section 6 Measurement, Assessment, Improvement

    Monitoring & Measurement, Self & Independent Assessment, MS Review, Non-conformances & corrective & preventive actions, Improvement

  • III. QA Regulation in Korea

    • Safety Assessment on QA Program

    • Purposes• To confirm the contents of QA Program satisfies the requirements in the standards for permit or license and KEPIC/QAP

    • To review the change of QA Program especially organization

    • Objects• NPP : 25 units in operation, 4 units under construction and 1 unit under preparation for decommissioning

    • Research Reactor : I in operation 1 under construction

    • Fuel cycle facilities : 1 KNF and 1 Rad-waste storage facility 17

  • III. QA Regulation in Korea

    • QA Inspection

    • Purposes

    • To verify that QA program of objects are complying with applicable industry codes, standards, and reg. requirements.

    • To verify effective implementation of QA program.

    • To verify identification of root cause of problems such as non-conformances, and adequacy of corrective actions.

    • To verify feed-back of problems arose in previous audits and/or inspections, reflection of design modifications and results of those modifications.

    18

  • III. QA Regulation in Korea

    • QA Inspection

    • Objects

    • Reactor Licensee : Perform construction & operation of NPP, procurement and/or control activities of vendors (KHNP HQ, Site, Changwon, NY, and Paris Office)

    • Designer : Supplies design service (KEPCO E&C)

    • Manufacturers : Manufactures and supplies major components to reactor licensee (Doosan, KNF)

    • Vendors : Supplies components, or service to reactor licensee or manufacturer (Samshin, Weir, Target Rock, Andritz, etc.)

    19

  • III. QA Regulation in Korea

    • Regulatory Inspection

    20

    Category Construction Operation Type

    PlannedInspection

    QA Inspection

    Regular and Announced Inspection

    Pre-operationalInspection

    PeriodicInspection

    Vendor Inspection(QA/SAR)

    Reactive

    Daily Inspection(Site Office) Irregular and

    UnannouncedInspection

    Special Inspection

  • III. QA Regulation in Korea

    • Nuclear Power Plant

    21

  • □ Organization (Criterion 1)

    • Division of responsibility (DOR) of organizations

    - Performing activities affecting quality (QAO) :

    Siting / designing, purchasing, fabricating, handling, shipping / receiving, storing,

    cleaning, erecting, installing, inspecting, testing / operating, maintaining, repairing,

    refueling, modifying / and decommissioning

    - Quality verification activities (QVO) : QA,QS, etc.

    IV. QA Inspection Criteria

    22

  • □ Organization (Criterion 1 : Continued)

    • Organizational freedom of QVO from cost and schedule

    - to identify quality problems

    - to initiate, recommend, or provide solutions

    • Direct access to responsible levels of management

    • Delegation of work to AE, NSSS, T/G, Nuclear Fuel, Construction, etc.

    • Interface control

    IV. QA Inspection Criteria

    23

  • Quality Regulation□ QA Program (Criterion 2)

    • Identification of SSC and activities to an extent consistent with their

    importance to safety

    • Establishment and implementation of documented QA program such as

    procedures and instructions

    • Control over Activities:

    - Appropriate equipment

    - Suitable environmental condition

    - Prerequisites for the performance of activities24

    IV. QA Inspection Criteria

  • Quality Regulation□ QA Program (Criterion 2 : Continued)

    • Regular assessment of QA program adequacy and/or effectiveness

    • Education, training and personal qualification to assure that suitable proficiency

    is achieved and maintained with records

    - Inspection & test personnel

    - NDE personnel

    - Auditor and lead auditor

    - Personnel education and training

    25

    IV. QA Inspection Criteria

  • Fig. QA ProgramRegulation 26

    IV. QA Inspection Criteria

  • QA Program (continued))

    □ Appendices• Appendix 1

    - Organization Diagram (Headquarters) - Personal Responsibility (Headquarters)

    • Appendix 1-1

    - Organization Diagram (Site Office) - Personal Responsibility (Site Office)

    • Appendix 2

    - Application of Quality Class

    • Appendix 3

    - Terms and Definitions

    27

    IV. QA Inspection Criteria

  • Quality Regulation Quality Class of SSC in Korean Industry

    - Q Class : Safety Related Items such as RCS(RCP, SG, Prz), ECCS, SCS, CVCS,

    etc.

    - AQ Class : Safety Impact Items such as Spent fuel handling facility, T/G, Trans

    former, Condenser, etc.

    - S Class : Industrial Standard Items

    28

    IV. QA Inspection Criteria

  • □ Design Control (Criterion 3)• Design plan to define & control the design of SSC

    - DOR of design process : AE, SD and CD

    - Expected output : design report, specification, drawing, etc.

    • Design input to assure the translation of applicable regulatory requirements and the design bases

    - Identified, reviewed and approved

    • Verification of design adequacy - Design review, alternate calculation and qualification test

    • Internal and external interface control

    • Change control

    • Software control

    29

    IV. QA Inspection Criteria

  • Design Plan

    30

    IV. QA Inspection Criteria

  • Design Verification Checklist

    31

    IV. QA Inspection Criteria

  • Quality Regulation

    □ Procurement Document Control (Criterion 4)

    • Preparation of procurement document

    - Technical specification

    - QA requirement

    • Procurement document review

    • Subsequent change procedure

    32

    IV. QA Inspection Criteria

  • Quality Regulation Procurement Documents

    Procurement Document

    QA Program

    Requirements

    Others

    (Right of Access

    Inspection, Audit)

    Document

    (Records retention,

    disposition)

    Technical Requirements

    (Dwg., Specification,

    Test, Inspection &

    Acceptance Criteria)

    33

    IV. QA Inspection Criteria

  • Quality Regulation□ Instructions, Procedures, and Drawings (Criterion 5)

    • Organizational responsibility performing activities

    • Acceptance criteria

    • Change control

    □ Document Control (Criterion 6)

    • Documents to be controlled

    • Preparation, review, approval, and release

    • Change control34

    IV. QA Inspection Criteria

  • Quality Regulation□ Control of Purchased Items and Services (Criterion 7)

    • Procurement planning

    • Source evaluation and selection

    - AVL (Authorized Vendor List)

    • Verification of contractor QA program implementation

    - Source inspection and audit

    • Acceptance of items and services : Receiving inspection

    35

    IV. QA Inspection Criteria

  • Quality Regulation□ Control of Purchased Items and Services (Criterion 7)

    • Control of contractor’s non-conformances

    • Control of submitted documents : Certificate of Conformance (C of C)

    • Commercial grade items (CGI)

    - Identified in an approved design output document with critical

    characteristics and acceptance criteria

    - Identified in the purchase order

    - Acceptance of CGI, combination of the following shall be utilized:

    specific testing, inspection or analysis

    survey for the Supplier's CGI

    source verification

    performance record of supplier/item36

    IV. QA Inspection Criteria

  • Quality Regulation□ Identification and Control of Items (Criterion 8)

    • Identification methods

    - Transfer when divided

    • Control and verification of assembly

    • Documentation

    □ Process Control (Criterion 9)

    • Special processes

    • Approved and/or qualified work procedure

    • Personnel qualification

    • Process control by traveler, Quality Plan, etc. 37

    IV. QA Inspection Criteria

  • Manufacture QA Inspection General

    Application of Special Process

    Welding, NDE

    Manufacturing

    Assembling& Erection

    Pre-operationalInspection

    Replacement

    Maintenance

    Periodic Inspection

    Construction Operation

    38

    IV. QA Inspection Criteria

  • Manufacture QA Inspection General

    39

    IV. QA Inspection Criteria Manufacturing & Construction Process

    Design Specification

    Procurement Doc.

    Process Control Doc.

    Materials Welding Prep.

    Machining, Forming

    Welding

    PWHT

    NDE

    Pressure Test

    Data Reports

  • Manufacture QA Inspection General

    40

    IV. QA Inspection Criteria Manufacturing Process of Reactor Pressure Vessel

    VESSEL

    ASSEMBLY

    CLOSURE HEAD

    ASSEMBLY

    RV FINAL

    ASSEMBLY

    CLOSURE HEAD

    LOWER VESSEL

    UPPER VESSEL

    INSTRUMENT NOZZLE

    INSTALLATION

    NOZZLE

    INSTALLATION

    CEDM NOZZLE

    INSTALLATION

    CLOSURE HEAD

    DOME

    CLOSURE HEAD

    FLANGE

    UPPER SHELL

    INTERMEDIATE

    SHELL

    LOWER SHELL

    BOTTOM HEAD

  • Manufacture QA Inspection General

    General Manufacturing Process

    V. QA Inspection Criteria

    41

  • Quality Regulation□ Inspection (Criterion 10)

    • Inspection Planning (Inspection and Test Plan : ITP)

    - Hold points and witness points

    • Inspection procedures & Inspector qualification

    • In-process inspection and final inspection

    • Inspection records

    □ Test Control (Criterion 11)• Test Planning (ITP)

    • Procedures with requirements and methodology

    • Evaluation of test result by authorized personnel

    • Data analyses & test records

    • Computer program testing42

    IV. QA Inspection Criteria

  • Quality Regulation Inspection & Test Plan (ITP)

    43

    IV. QA Inspection Criteria

  • Quality Regulation□ Control of Measuring and Test Equipment (Criterion 12)

    • Identification of M&TE to be controlled

    • Calibration program and records

    □ Handling, Storage and Shipping (Criterion 13)• Control Procedures for handling, storage, shipping, cleaning and preservation to prevent damage or deterioration.

    • Special equipment for handling

    • Storage condition such as temp., humidity, test, etc.

    □ Inspection, Test, and Operation Status (Criterion 14)• Indication of status

    • Authority for indication

    44

    IV. QA Inspection Criteria

  • Quality Regulation

    45

    IV. QA Inspection Criteria

    Transportation of RV

  • Quality Regulation

    46

    IV. QA Inspection Criteria

    Installation of RV

  • Quality Regulation□ Control of Nonconforming Items (Criterion 15)

    • Prevention of inadvertent installation or use

    • Identification of nonconformance (Non-conformance Report : NCR)

    • Documentation and notification

    • Segregation

    • Evaluation and disposition

    - Technical justification of use-as-as and repair

    • Records

    47

    IV. QA Inspection Criteria

  • Quality Regulation

    □ Corrective Action (Criterion 16)

    • Condition adverse to quality shall be identified promptly and corrected as soon as

    practical to preclude recurrence.

    • Significant conditions adverse to quality shall be reported to the regulatory body

    • Documentation of cause analysis and corrective action (Corrective Action Report :

    CAR)

    • Follow-up action

    • Trend analysis on a regular basis

    48

    IV. QA Inspection Criteria

  • Quality Regulation□ QA Records (Criterion 17)

    • Scope and classification of QA records

    • Receipt control

    • Retrieve-ability

    • Storage, preservation and safekeeping

    □ Audits (Criterion 18)

    • Audit planning to verify the effectiveness of the QA Program

    • Performing with written procedure or check list

    • Trained personnel staffing, conducting and reporting

    • Follow-up action

    • Records

    49

    IV. QA Inspection Criteria

  • V. Concluding Remarks

    50

    • Safety in the operation of facilities and the use of radiation sources is of great importance. The purpose of QA regulation is to secure safety and reliability of nuclear system and to protect public and environment.

    • Only strengthening of quality inspection does not provide an adequate confidence of the quality, a preventive and programmatic QA system is needed.

    • Regulatory Authority shall set up the rules and regulations related to QA system for the nuclear industry.

  • Always we keep watching

    our Atomic Power

    51