ANSI/ASME N45.2.

9-1974
REQUIREMENTS FOR COLLECTION, STORAGE, AND MAINTENANCE OF QUALITY ASSURANCE RECORDS FOR NUCLEAR POWER PLANTS CONTENTS 1. INTRODUCTION
1.1 1.2 1.3 1.4 1.5 Scope Applicability Responsibility Definitions Referenced Documents 1 1 1 1 1 1 1 2 2 2 2 2 3 3 3 3 3 3 3 3 3 4 4 4 4 4 4 4 5 5 5

2.

GENERAL REQUIREMENTS
2.1 2.2 Quality Assurance Record System Categories

3.

TECHNICAL REQUIREMENTS
3.1 3.2 General Records Administration

4.

RECEIPT OF RECORDS
4.1 4.2 4.3 4.4 General Timeliness Receipt Control Status

5.

STORAGE, PRESERVATION AND SAFEKEEPING

6.

RETRIEVAL
6.1 6.2 General Accessibility

7.

DISPOSITION
7.1 7.2 7.3 General Accumulation and Transfer of Records Disposition of Nonpermanent Records

8.

REVISIONS OF REFERENCED ANSI STANDARDS

ANSI/ASME N45.2.9-1974

AMERICAN NATIONAL STANDARD

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

1.3 Responsibilities 1. INTRODUCTION The organization or organizations responsible for establishing 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 and providing the resources in terms of personnel, facilities, and services necessary to implement the requirements of this standard may be delegated to other organizations and such delegation shall also be documented. It is the responsibility of each organization performing work covered by this standard to comply with requirements of this standard applicable to its work. 1.4 Definitions The following definition is provided to assure a uniform understanding of select terms as they are used in this standard. Quality Assurance Records-Those records which furnish documentary evidence of the quality of items and of activities affecting quality. For the purposes of this standard a document is considered a quality assurance record when the document has been completed. Other terms and their definitions are contained in ANSI N45.2.10. 1.5 Referenced Documents Other documents that are required to be included as a part of this standard are either identified at the point of reference or described in Section 8 of this standard. the issue or edition of the referenced document that is required will be specified either at the point of reference or in Section 8 of this standard.

1.1 Scope This standard provides general requirements and guidance for the collection, storage, and maintenance of quality assurance records associated with the design, manufacture, construction, and operation phase activities of nuclear power plants. It is not intended to cover the preparation of the records, nor to include working documents not yet designated as quality assurance records. 1.2 Applicability The requirements of this standard apply to the work of any individual or organization that participates in 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 the nature and scope of the work to be performed and the importance of the item or service involved, and shall be specified in the procurement documents. The requirements are intended to assure that records are available when needed for their intended purpose. The ASME Boiler and Pressure Vessel Code (Hereafter referred to as the Code) as well as other ANSI Standards, has been considered in the development of this 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 1 and 2 and Section XI of the Code for those activities covered by the Code. This standard is intended to use din conjunction with ANSI N45.2.

REQUIREMENTS FOR COLLECTION, STORAGE AND MAINTENANCE OF QUALITY ASSURANCE RECORDS FOR NUCLEAR POWER PLANTS 2. GENERAL REQUIREMENTS This section sets forth general requirements for the control of quality assurance records. The requirements include collection, filing, storing, maintenance and disposition of records that are required by other codes, standards, specifications, or regulatory requirements. The procedures to be employed to perform the required activities shall be planned and documented. 2.1 Quality Assurance Record System

ANSI/ASME N45.2.9-1974

that an activity was performed in accordance with the applicable requirements but need not be retained for the life of the item. 3. TECHNICAL REQUIREMENTS 3.1 General This section provides requirements for the retention and control of those records generated during the various phases of the project. 3.2 Records Administration

A quality assurance records system shall be established by the organization responsible at the earliest practicable time, consistent with the schedule for accomplishing work activities and in compliance with the general requirements of this standard. The quality assurance records system shall be defined, implemented and enforced in accordance with written procedures, instructions and other documentation. 2.2 Categories Two categories of quality assurance records are established-lifetime and nonpermanent. 2.2.1 Lifetime Quality Assurance Records. Lifetime records are those which meet one or more of the following criteria: 1. Those which would be of significant value in demonstrating capability for safe operation. 2. Those which would be of significant value in maintaining, reworking, repairing, replacing, or modifying the item. 3. Those which would be of significant value in determining the cause of an accident or malfunction of an item. 4. Those which provide required baseline data for inservice inspection. Lifetime quality assurance records are required to be maintained by or for the plant owner for the life of the particular item while it is installed in the plant or stored for future use. 2.2.2 Nonpermanent Quality Assurance Records. Nonpermanent records are those which meet all of the following criteria: 1. Those of no significant value in demonstrating capability for safe operation. 2. Those of no significant value in maintaining, reworking, repairing, replacing, or modifying the item. 3. Those of no significant value in determining the cause 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

3.2.1 Generation of Quality Assurance Records. It is not the intent of this standard to specify the preparation of the quality assurance records to be generated. The applicable design specifications, procurement documents, test procedures, operational procedures or other documents shall specify the quality assurance records to be generated by, supplied to, or held for the owner. All such quality assurance records shall be legible, completely filled out and adequately identifiable to the item involved. The applicable quality assurance records shall be considered valid only if stamped, initialed, signed, or otherwise authenticated and dated by authorized personnel. These records may be either the original or a reproduced copy. 3.2.2 Index. The quality assurance records shall be listed in an index. The index shall indicate, as a minimum, record retention times, where the records are to be stored and the location of the records within the storage area. The index should be established prior to receipt of the records. Index systems used by organizations for the retention of project records should include sufficient identifying information to be compatible with the index system used by the Owner for final storage of records. 3.2.3 Distribution. The quality assurance records shall be distributed and handled in accordance with written procedures. 3.2.4 Identification. Quality assurance records shall provide sufficient information to permit identification between the record and the item, items, or activity to which it applies. 3.2.5 Classification, Quality assurance records shall be classified as Lifetime or Nonpermanent in accordance with Section 2 of this standard.

REQUIREMENTS FOR COLLECTION, STORAGE AND MAINTENANCE OF QUALITY ASSURANCE RECORDS FOR NUCLEAR POWER PLANTS 3.2.6 Supplemental Information to Quality Assurance Records. Quality assurance records may be corrected or supplemented in accordance with procedures which provide for appropriate review or approval by the originating organization. The correction or supplement shall include the date and the identification of the person authorized to issue such corrections 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 of these records may vary. For records not listed in Appendix A, the type most nearly describing the record in question should be followed with respect to its retention period. For records generated prior to commercial operation, the retention period begins on the date of commercial operation. For records generated on items installed after commercial operation, the retention period begins on the date upon which satisfactory operation of the item, as part of a system, has been demonstrated. For periodic maintenance, inspection and test records, such as calibration records, generated after the date of commercial operation, the retention time begins on the date of their generation. When a record is generated as a result of an operational phase activity, the classification of those records will be the same as those types of records generated during the initial construction period. The organization responsible shall establish in writing the retention times of records not listed in Appendix A. 4. RECEIPT OF RECORDS 4.1 General 5.3 This section defines requirements for receipt of documentation during the design, procurement, manufacturing, installation, startup and operation of a nuclear power plant. The designated authority or authorities for receiving quality assurance records shall be aware of the value of such records and shall control their safety during the time that the records are in their possession. 4.2 Timeliness Storage

ANSI/ASME N45.2.9-1974

and implementing a system of receipt control of quality assurance records. This system shall apply to the receipt of records into a temporary working file and the permanent storage file. As a minimum, a receipt control system shall include: 1. A records check list designating the required quality assurance records. 2. A record of quality assurance records received. 3. Procedures for receipt and inspection of incoming records. 4.4 Status

Each receipt control system shall be structured to permit a current and accurate assessment of the status of quality assurance records during the receiving process. 5. STORAGE, PRESERVATION SAFEKEEPING 5.1 General AND

This section establishes storage requirements for the maintenance, preservation and protection of quality assurance record files from the time of receipt until their ultimate disposal. 5.2 Location of Facilities

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

To assure their availability, a specific submittal plan shall be established for quality assurance records by agreement between the purchaser and supplier. 4.3 Receipt Control

Each organization responsible for the receipt of quality assurance records shall designate a person or agency responsible for receiving the records. The designated authority shall be responsible for organizing

Prior to storage of records in a quality assurance record file, a written storage procedure shall be prepared and a custodian shall be designated with the responsibility to enforce the procedure. This procedure 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 and that the records are in good condition. 4. A method of verifying that the records agree with the preestablished records check list (see paragraph 4.3). 5. The rules governing access to and control of the files. 6. A method for maintaining control of and accountability for records removed from the storage facility. 7. A method for filing supplemental information (see paragraph 3.2.6) and disposing of superseded records.

REQUIREMENTS FOR COLLECTION, STORAGE AND MAINTENANCE OF QUALITY ASSURANCE RECORDS FOR NUCLEAR POWER PLANTS 5.4 Preservation

ANSI/ASME N45.2.9-1974

Records shall be stored in a manner approved by the organization or organizations responsible for the files. In order to preclude deterioration of the records the following requirements shall apply: 1. Condensation. Provisions shall be made in the storage arrangement to prevent damage from condensation. 2. Loose Records. Records shall not be stored loosely. They shall be firmly attached in binders or placed in folders or envelopes for storage on shelving in containers. Steel file cabinets are preferred. 3. Special Processed Records. Special processed records (such as radiographs, photographs, negatives, and microfilm) which are light-sensitive, pressure sensitive or temperature sensitive shall be packaged and stored as recommended by the manufacturer of these materials. 5.5 Safekeeping

surface 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 protection to the storage facility are to be located within the facility. For storage of film and other special processed records, humidity and temperature controls shall be provided to maintain an environment as recommended by the manufactures. 5.7 Audits

A full time security system shall be established to preclude the entry of unauthorized personnel into the storage area. This system shall guard against larceny and vandalism. 5.6 Facility

An audit system shall be established to assure that the quality assurance records' storage system is effective. The following shall be performed as a minimum: 1. Periodic surveys to assure that the records logged in are available and have been placed in their proper location within the files, and to assure that the control system is adequate. 2. Periodic audits to assure that the facilities are in good condition and that the temperature/humidity controls and protective devices are functioning properly. 3. Periodic audits of the records to assure that the documents are not deteriorating due to improper storage practices or rough handling. 6. RETRIEVAL

Permanent and temporary record storage facilities shall 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 extreme variations in temperature and humidity conditions. A satisfactory alternative to the establishing of a record storage facility is maintenance of duplicate records stored in a separate remote location. Records discussed in this standard are appropriately classified for fire protection purposes as National Fire Protection Association Class I and as such should be afforded the equivalent protection of a NFPA Class A, four hour minimum rated facility. Where a single record storage facility is maintained, at least the following features should be considered in its construction: 1. Reinforced concrete, concrete block, masonry, or equal construction. 2. Concrete floor and roof with sufficient slope for drainage: if a floor drain is provided, a check valve (or equal) shall be included. 3. Structure, doors, frames and hardware should be Class A fire-rated with a recommended four hour minimum rating. 4. Sealant applied over walls as a moisture or condensation barrier. 5. Surface sealant on floor providing a hard-wear

6.1

General

This section is intended to establish requirements for the retrieval of documents that are stored within the quality assurance record files. 6.2 Accessibility

Storage systems shall provide for the accurate retrieval 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 lifetime records for the life of the items involved or for the designated retention periods for nonpermanent records. 7. DISPOSITION 7.1 General

This section is intended to provide requirements for the transfer of quality assurance records to the Owner, who has ultimate responsibility for these documents, and their disposition.

REQUIREMENTS FOR COLLECTION, STORAGE AND MAINTENANCE OF QUALITY ASSURANCE RECORDS FOR NUCLEAR POWER PLANTS 7.2 Accumulation and Transfer of Records 8. REVISIONS STANDARDS OF

ANSI/ASME N45.2.9-1974 REFERENCED ANSI

Quality assurance records accumulated at various locations prior to final transfer to the Owner shall be made accessible to the Owner directly, or through the procuring organization. Examples of such records are vendor manufacturing records, construction documentation, and startup data. Upon final transfer, the Owner shall inventory the submittals, acknowledge receipt and process these records in accordance with this Standard. 7.3 Disposition of Nonpermanent Records

When any of the following standards referred to in this document is superseded by a revision approved by the American National Standards Institute, the revision is not mandatory until it has been incorporated as a part of this standard. Revisions to the referenced standards, and revisions to this standard issued after the date of a specific contract invoking this standard may be used by mutual consent of the purchaser and the supplier. N45.2 Quality Assurance Program Requirements for Nuclear Power Plants. N45.2.10 Quality Assurance Terms and Definitions

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