Nuclear Auditing Handbook , livre ebook

ASQ Quality Press

Découvre YouScribe en t'inscrivant gratuitement

Je m'inscris

Obtenez un accès à la bibliothèque pour le consulter en ligne
En savoir plus

321 pages

English

Vous pourrez modifier la taille du texte de cet ouvrage

Obtenez un accès à la bibliothèque pour le consulter en ligne
En savoir plus

A propos
Informations
Extrait

Description

Initially developed as a tool for training lead auditors of nuclear quality systems, the Nuclear Auditing Handbook has also been used as a reference by quality managers who plan quality system audits. It provides detailed material in such aspects as the development, administration, planning, preparation, performance, and reporting of quality system audits in energy-related fields. ASQ's Nuclear Committee of the Energy and Environment Division gathered a team of highly seasoned experts in the nuclear auditing field to expand this new edition's content and bring it current to modern-day best practices and standards.
This book introduces updated information about requirements and standards, including the 2019 editions of the American Society of Mechanical Engineers (ASME) NQA-1 Quality Assurance Program Requirements for Nuclear Facility Applications and ASME BPVC Sections I; IV; and VIII, Divisions 1 and 2. The authors and editors have also added helpful tools to aid nuclear auditors, including case studies suitable for training auditors, blank forms for convenient use, and samples of completed forms.

Sujets

Auditing

Economie gestion

Economics

Business

Informations

Publié par	ASQ Quality Press
Date de parution	01 septembre 2021
Nombre de lectures	1
EAN13	9781636940083
Langue	English
Poids de l'ouvrage	6 Mo

Informations légales : prix de location à la page 0,7500€. Cette information est donnée uniquement à titre indicatif conformément à la législation en vigueur.

Extrait

Nuclear Auditing Handbook
A Guide for Quality Systems Practitioners
Editors
Charles Moseley
Karen Douglas
Norman Moreau
ASQ Quality Press
Milwaukee, Wisconsin
Nuclear Auditing Handbook: A Guide for Quality Systems Practitioners
1986, 2009, 2021
Copyright © by ASQ Energy and Environment Division
All rights reserved. Published 2021
Publisher’s Cataloging-in-Publication Data
Names: Moseley, Charles H., 1943-, editor. | Douglas, Karen M., 1952-, editor. | Moreau, Norman P., 1952-, editor.
Title: Nuclear auditing handbook : a guide for quality systems professionals / Editors: Charles Moseley; Karen Douglas; Norman Moreau.
Description: Includes bibliography. | Milwaukee, WI: ASQ Quality Press, 2021
Identifiers: LCCN: 2021942948 | ISBN: 978-1-63694-007-6 (paperback) | 978-1-63694-008-3 (ebook)
Subjects: LCSH Nuclear power plants—Quality control. | Nuclear industry—United States—Quality control. | Quality assurance. | Electric power-plants—Quality control | BISAC BUSINESS & ECONOMICS / Auditing | BUSINESS & ECONOMICS / Industries / Energy | TECHNOLOGY & ENGINEERING / Power Resources / Nuclear
Classification: LCC TK9023 .N78 2021 | DDC 621.48/35—dc23
No part of this book may be reproduced in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of the publisher.
ASQ advances individual, organizational, and community excellence worldwide through learning, quality improvement, and knowledge exchange.
Attention bookstores, wholesalers, schools, and corporations: Quality Press books are available at quality discounts with bulk purchases for business, trade, or educational uses. For information, please contact Quality Press at 800-248-1946 or books@asq.org .
To place orders or browse the selection of Quality Press titles, visit our website at http://www.asq.org/quality-press .
Table of Contents
Cover
Title page
CIP data
Preface
Section 1—Introduction
Handbook Objective and Use
1.1. Objective
1.2. Use
Types of Audits
1.3. Quality System Audit
1.4. Quality System Survey vs. Quality System Audit
1.5. Other Types of Audits
Auditor Ethics
Section 2—Quality Assurance Program Requirements
2.1. Commercial Nuclear Quality Assurance
2.2. Other Energy Sources
2.3. Reference Documents
Section 3—Audit Objectives
Quality Assurance Systems Assessment
3.1. Owner’s Assessment
3.2. Audit Objectives
3.3. Interfaces
Utility/Owner
3.4. Responsibilities
3.5. Mandatory Audit Commitments
Other Participating Organizations
3.6. Purpose
3.7. Prime Organizations
3.8. Sub-Tier Organizations
Section 4—Development and Administration of an Audit Program
Development of Audit Organization
4.1. Company Management Policy and Authority
4.2. Organizational Structure
4.3. Auditor Independence
Planning and Scheduling an Audit Program
4.4. Planning and Scheduling
4.5. Type of Audit
4.6. Development of an Audit Plan
4.7. Scheduling of Audit Activities
4.8. Personnel Requirements
4.9. Checklists
Audit Personnel Administration
4.10. Auditor Attributes
4.11. Selection
4.12. Training
4.13. Certification
Maintenance of Audit Records
4.14. Audit Records
4.15. Audit Personnel Records
4.16. Audit Follow-Up Records
4.17. Audit Files
Section 5—Mechanics of an Individual Audit
Audit Preparation
5.1. Key Considerations
5.2. Audit Plan
5.3. Defining Scope of Audit
5.4. Audit Scheduling and Notification
5.5. Team Selection
5.6. Identification of Documents Required to Conduct the Audit
5.7. Development of the Audit Checklists
Audit Performance
5.8. Pre-Audit Conference Agenda
5.9. Conduit of Audit
5.10. Adjustment of Audit Progress
5.11. Findings
5.12. Evaluation and Analysis of Audit Observations
5.13. Post-Audit Conference
Reporting Audit Results
5.14. Communications
5.15. Objective/Subjective Reporting
5.16. Reporting Format and Content
Corrective Action and Follow-Up
5.17. Corrective Action
5.18. Follow-Up
Section 6—Audit Techniques
Assembling and Review of Audit Materials
6.1. Program Documents
6.2. Ancillary Documents
6.3. Trace Back of Requirements
6.4. Review of Quality Assurance Manual
Audit Checklists
6.5. Requirement Checklist
6.6. Auditor’s Option Checklist
6.7. One-Item Trace Back vs. List of Questions Checklist
6.8. Procedures as Checklists
6.9. Standard Audit Checklist and Procedures
Pre-Audit Conference
6.10. Rapport Establishment
Audit Conduct
6.11. Fact Finding and Verification
6.12. Sampling
6.13. Environment for Interview
6.14. Auditor’s Obligation
6.15. Tactics
Findings
6.16. Objectivity
6.17. Keeping Notes
6.18. Backup Data
6.19. Reproduction of Copies
6.20. Discussions of Findings During Audit
Post-Audit Conference
6.21. Overall Presentation
6.22. Presentation of Findings
6.23. Presentation of Recommendations
6.24. Presentation of Observations
Human Factors
6.25. Facts vs. Opinion
6.26. Reporting Writing
6.27. Understanding People
6.28. Analytical Ability
6.29. Audit Team Motivation
6.30. Audit Ethics
6.31. Psychology of Auditing
Section 7—Industry Initiatives and Developments (Updated 2021)
Section 7.1. Commercial Grade Dedication
Section 7.2. Software Used in Design Analyses
Section 7.3. CGD of Software Used in Design and Analysis
Section 7.4. Control of Electronic Records
Section 7.5. Counterfeit, Fraudulent, and Suspect Items
Section 7.6. Control of Electronic Records Code of Federal Regulations
Section 7.7. Suspect/Counterfeit Items
Appendices
Appendix A—Reference Documents
Appendix B—Case Studies
Case Study 1—Internal Audit of Nuclear Utility
Case Study 2—Utility Audit of Manufacturing Supplier
Case Study 3—Internal Audit of Nuclear Utility (Construction/Civil)
Case Study 4—Internal Audit of Nuclear Utility (Construction/Mechanical)
Case Study 5—External Subcontractor Readiness Audit (Technical/Laboratory)
Case Study 6—Commercial Grade Dedication of Item
Case Study 7—Suspect/Counterfeit Items
Case Study 8—Software Use in Nuclear Applications
Case Study 9—Software Verification and Validation
Case Study 10—Control of Electronic Records
Case Study Solutions
Appendix C—Examination Questions
Introduction
Examination
Additional Lead Auditor Exam Questions
Additional Questions
Appendix D—Auditing in a Nuclear Power Plant
Introduction to Auditing at a Nuclear Generating Site
Nuclear Oversight Qualifications and Training Table of Contents
Nuclear Oversight Audit Plan
Nuclear Oversight Checklist
2016 Nuclear Oversight Fleet Design Control (A-Des-[Plant X]) Table of Contents
Nuclear Oversight Audit Report
Appendix E—Auditing of Nuclear Industry Suppliers
Background
Summary Sheet
Appendix F—Blank Forms
Audit Checklist
Audit Finding Report
Attendance Sheet
Audit Observation Report
Audit Notification and Audit Plan
Audit Schedule
Auditor - Annual Evaluation
Auditor Participation Record
Introduction of Audit Team
Nuclear Oversight Audit Exit Meeting Outline
Standard Audit Plan: Applies to This Audit
Nuclear Oversight Audit Report
Audit Feedback Form
Nuclear Oversight Auditor Certification of Qualification
Solutions to Appendix C Examination Questions
About the Authors
Preface
This Handbook is published by the American Society for Quality (ASQ) as an auditing guide primarily for nuclear-related industries. It was developed as a tool for training, indoctrination, and qualification of personnel conducting audits on nuclear quality systems. It is directed primarily at the development of the lead auditor or audit team leader. This Handbook may also be used as a reference by quality managers who plan or are subject to quality system audits. It provides detailed material in such aspects as the development, administration, planning, preparation, performance, and reporting of quality system audits in nuclear-related fields.
The third edition of the Handbook has undergone changes to make it timelier and more useful to individuals actively involved in quality system auditing. Requirements and standards, including those in the 2019 editions III of ASME NQA-1 “Quality Assurance Program Requirements for Nuclear Facility Applications” and ASME BPVC Sections I; IV; and VIII, Divisions 1 and 2, have been added.
In Section 2, “Quality Assurance System Requirements,” Figure 2.1 previously depicted document relationships and imposing authorities of various regulations and standards that govern only the design and construction of nuclear facilities. Additional figures now consider the operation of a nuclear facility, including procurement of replacement items and services and the complete nuclear life cycle through plant decontamination and decommissioning.
The numerous figures involving forms presented throughout the text have been expanded, improved, and clarified. Each form is now shown as a blank (not completed) form for convenient use by the auditor and also as a completed form for reference in training auditors. The completed forms are placed within the text while the blank forms are located in the Appendices.
Appendix A, “Reference Documents,” has been expanded to include ASME NQA-1, NUREG, technical specifications (Appendix to Operating License), and additional ASME sections. Table A.1 includes standards used in international nuclear industry applications.
The Appendices have also been expanded to include new glossary sections of major terms, which are presented for easy reference by the auditor as well as those involved in training auditors.
Six case studies have been added to Appendix B, and the solutions for all 10 case studies now include a relevant nuclear standard section to improve their overall usefulness for and suitability to the training of auditors.
This document has been developed by ASQ’s Nuclear Committee of the Energy and Environ