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ASME NQA-1 INTERPRETATIONS

ASME NQA-1 INTERPRETATIONS

Replies to Technical Inquiries


December 2010 Through October 2012

FOREWORD

General Information
This publication includes all of the written replies issued between the indicated dates by the
Secretarial Staff, speaking for the ASME Committee on Nuclear Quality Assurance, to inquiries
concerning interpretations of technical aspects of ASME NQA-1, Quality Assurance Requirements
for Nuclear Facility Applications.
These replies are taken verbatim from the original letters except for a few typographical
corrections and some minor editorial corrections made for the purpose of improved clarity. In
some instances, a review of the interpretation revealed a need for corrections of a technical nature;
in these cases a corrected interpretation follows immediately after the original reply.
These interpretations were prepared in accordance with the accredited ASME procedures.
ASME procedures provide for reconsideration of these interpretations when or if additional
information is available which the inquirer believes might affect the interpretation. Further,
persons aggrieved by this interpretation may appeal to the cognizant ASME committee or subcom-
mittee. ASME does not “approve,” “certify,” “rate,” or “endorse” any item, construction, proprie-
tary device, or activity.
An interpretation applies to the Edition and Addenda stated in the interpretation itself or, if
none is stated, to the latest published Edition at the time it is issued. Subsequent revisions to
the rules may have superseded the reply.
For detailed instructions on the preparation of technical inquiries, refer to the Preparation of
Technical Inquiries to the Nuclear Quality Assurance Committee (p. vii of ASME NQA-1).

Subject and Numerical Indexes


Subject and numerical indexes have been prepared to assist the user in locating interpretations
by subject matter or location in this Standard. These indexes, which are the compilation of former
NQA-1 and NQA-2 interpretations indexes, will be updated with each Edition.

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ASME NQA-1 INTERPRETATIONS

Interpretation: QA12-001

Subject: NQA-1–1994, Basic Requirement 17, Supplement 17S-1, and Section 4.4.3
Date Issued: December 15, 2010
File: 09-1801

Question (1): Does NQA-1–1994, Supplement 17S-1, Supplementary Requirements for Quality
Assurance Records, Section 4.4.3, Temporary Storage, which requires an organization to specify
the maximum allowable time limit for temporary storage in procedures, permit the maximum
allowable time limit for temporary storage to be applied individually to the organizational areas
involved in the creation, processing, and/or handling of the records? For example, if the maximum
allowable time limit for temporary storage is 120 days, can the total temporary storage time
exceed 120 days if no single individual storage for an organizational area exceeds 120 days?
Reply (1): No. The maximum allowable time limit for temporary storage is from the time the
record is authenticated to the time it is placed in permanent storage or from the time a record
is removed from permanent storage to its return to permanent storage.

Question (2): Is the temporary storage of a record based on the type of record and not the
organizational area controlling the temporary storage?
Reply (2): Yes.

Question (3): Can different types of records within the same organizational area have different
temporary storage times?
Reply (3): Yes.

Interpretation: QA12-002

Subject: NQA-1–1983 and NQA-1–1994, Non-Nuclear Related Audits Requirements


Date Issued: January 19, 2011
File: 09-967

Question: Is Interpretation QA83-014 still recognized as applicable to this Standard?


Reply: Yes. However, it is only applicable to those editions specifically referenced in Interpreta-
tion QA83-014, which are ANSI/ASME N45.2.12-1977, ANSI/ASME N45.2.23-1978, and ANSI/
ASME NQA-1–1983.

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Interpretation: QA12-003

Subject: NQA-1–2004, Part I, Requirement 3, Section 800 and Part II, Section 2

Date Issued: February 16, 2011


File: 09-1179

Question (1): Does NQA-1–2004, Requirement 3, para. 401 apply to commercial off-the-shelf
(COTS) software used for design analysis?

Reply (1): Yes. Paragraph 401 states, “To the extent required in paras. 401(a) and (b) of this
Requirement, computer program acceptability shall be preverified or the results verified with
the design analysis for each application.”
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Question (2): Does NQA-1–2004, Requirement 3, Section 800 apply to COTS software used for
design analysis?

Reply (2): No. Section 800 pertains to the software design process, which is out of scope for
COTS software that was obtained as a completed package.

Question (3): Does NQA-1–2004, Requirement 11, Section 400 apply to COTS software used
for design analysis?

Reply (3): Yes. Testing of this software shall be performed in accordance with procedures as
specified in Section 400.

Question (4): Does NQA-1–2004, Subpart 2.7 apply to COTS software used for design analysis?

Reply (4): Yes. Preverified computer programs shall be controlled in accordance with the
requirements of this Standard, which includes Subpart 2.7.

Interpretation: QA12-004

Subject: NQA-1–2000, Approved Vendor List

Date Issued: May 6, 2011

File: 11-427

Question (1): Does Part I, Requirement 7, Section 200 permit the use of A2LA Certificates to
place a calibration Supplier on the Approved Vendors List?

Reply (1): No.

Question (2): Does Part I, Requirement 7, Section 200 permit the use of a Material Organization
certificate meeting ASME 3800 to place a Supplier on their Approved Vendor List for supplying
material as listed on the Certificate?

Reply (2): No.

Question (3): Does Part I, Requirement 7, Section 200 permit the use of a certificate awarded
by A2LA or ADCAP to place a material testing company on their Approved Vendors List for
testing of material in accordance with the listing of the certificate?

Reply (3): No.

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ASME NQA-1 INTERPRETATIONS

Interpretation: QA12-005

Subject: NQA-1–1994, Part III, Appendix 2A-1, Related Experience


Date Issued: June 23, 2011
File: 10-1146

Question: When the QA Program defines the qualification process, can related experience in
equivalent inspection or testing activities, which are not performed as QA/QC titled individuals,
such as gained as maintenance technicians, engineers, or plant operators, be credited as “related
experience” to support the qualification of Level I, II, or III Inspection and Test Personnel as
identified in NQA-1–1994, Appendix 2A-1, paras. 3.1 through 3.3, respectively?
Reply: Yes.

Interpretation: QA12-006

Subject: NQA-1–2008 Edition With the 2009 Addenda, Permanently Installed Process Instrument
and Control Devices
Date Issued: November 10, 2011
File: 11-630

Question: Are permanently installed process instrument and control devices used to measure
and test in nuclear power plants subject to the scope of Part I, Requirement 12?
Reply: Yes.

Interpretation: QA12-007

Subject: NQA-1–2000 Through NQA-1b–2011, Acceptability of Section 100, Basic of the 18


Requirements of Part I
Date Issued: March 22, 2012
File: 10-1365

Question: For an implementer, is choosing to apply only Section 100 of applicable requirements
of Parts I and II of the Standard an appropriate and sufficient method to implement an NQA-1-
based Quality Assurance program?
Reply: No. With the exception of the Part I requirement areas: 5, Instructions, Procedures, and
Drawings; 14, Inspection, Test, and Operating Status; and 16, Corrective Action, Section 100
is a summary and introductory paragraph for additional mandatory criteria contained in the
requirement area. The application of only Section 100 by an implementing organization is insuffi-
cient to claim credit for implementing Part I or Part II of an NQA-1-based Quality Assurance
program. It is also insufficient for an invoking organization to invoke only Section 100 of Part I
or Part II and expect results equivalent to specifying all of Part I or Part II. This response is
applicable to NQA-1–2000, NQA-1–2004, NQA-1–2008, and the NQA-1b–2011 Addenda.
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Interpretation: QA12-008

Subject: NQA-1–2000, NQA-1–2004, and NQA-1–2008, Nuclear Quality Assurance Record


Date Issued: March 22, 2012
File: 10-2111

Question (1): In accordance with NQA-1–2000, NQA-1–2004, or NQA-1–2008, are radiographs


(the film media) a quality assurance record?
Reply (1): Yes. Under current NQA-1–2000, NQA-1–2004, and NQA-1–2008 definitions and
terms, radiographs are cited as examples of quality records. Note that the classification of the
retention of this quality record is determined by the applicable Code or regulatory requirement.

Question (2): In accordance with NQA-1–2000, NQA-1–2004, or NQA-1–2008, are radiograph


reader sheets a quality assurance record?
Reply (2): Yes.

Note: Reference Part I, Section 400, Terms and Definitions.

Interpretation: QA12-009

Subject: NQA-1–1994 Edition With the 1995 Addenda, Subpart 2.2, Para. 4.3.3, Handling
Precautions
Date Issued: April 2, 2012
File: 10-2110

Question (1): In the NQA-1–1994 Edition with the 1995 Addenda, Subpart 2.2, para. 4.3.3,
Handling Precautions states, “All austenitic stainless steel and nickel base alloys shall be handled
in such a manner that they are not in contact with lead, zinc, copper, mercury, or other low
melting point elements, alloys, or halogenated material.” Specifically, does this requirement govern
contact of fixturing, tooling, and table tops during in-process fabrication?
Reply (1): Yes. Handling includes any in-process activities of materials.

Question (2): Does this requirement apply to handling, storage, and packaging?
Reply (2): Yes.

Question (3): Are in-process activities of materials considered to be part of handling?


Reply (3): Yes.

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Interpretation: QA12-010

Subject: NQA-1–2008 Edition With the 2009 Addenda, Part I, Requirement 3


Date Issued: October 3, 2012
File: 11-1860

Question: When using NQA-1–2008 with the 2009 Addenda, are the verification and control
requirements included in Part I, Requirement 3 relative to computer programs used to support
engineering design and analysis sufficient to accomplish dedication of commercial grade computer
programs?
Reply: No. The requirements described in Part I, Requirement 3 relative to computer programs
used to support engineering design and analysis are not sufficient to accomplish dedication of
commercial grade computer programs. The additional requirements of Part II, Subpart 2.7, Quality
Assurance Requirements for Computer Software for Nuclear Facilities, and 2.14, Quality
Assurance Requirements for Commercial Grade Dedication of Items and Services, are necessary
to accomplish commercial grade dedication of computer programs.
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NUMERICAL INDEX

Edition/ Edition/
Location Interpretation Addenda Location Interpretation Addenda
PART I (FORMER NQA-1) 1S-1, 2.1 QA88-007 1c-88
QA90-007 1b-91
Introduction QA01-003 a02
... QA82-8 1a-83 2S-1 QA89-002 1a-89
Terms and QA01-006 04 QA90-005 1b-91
definitions QA90-006 1b-91
QA05-002 a05 2S-2, 2.1 QA90-003 1b-91
QA12-008 12 2S-1, 2.5 QA84-015 1c-85
QA87-011 1c-88
Basic Requirements 2S-1, 2.6 QA98-001 00
... QA87-002 1b-87 2S-1, 2.8 QA84-005 1b-84
BR-2 QA85-012 1a-86 2S-2 QA86-018 1b-87
QA85-016 1a-86 QA88-007 1c-88
QA86-002 1a-86 QA87-004 1a-89
QA90-001 1b-91 2S-2, 2.1 QA86-004 1a-86
QA90-005 1b-91 2S-3 QA81-4 1b-81
QA02-001 a05 QA82-8 1a-83
QA08-009 00 QA83-009 1b-84
QA12-009 12 QA89-010 1c-92
BR-3 QA82-8 1a-83 QA92-002 1c-92
QA01-005 a02 2S-3, 2.1 QA85-018 1a-86
QA08-003 00 QA87-007 1c-88
QA08-008 08 2S-3, 3 QA83-014 1b-84
QA12-003 12 QA86-009 1a-86
QA12-010 12 QA91-004 1c-92
BR-5 QA88-004 1c-88 QA12-002 12
BR-6 QA81-7 1b-81 2S-3, 3.4 QA84-012 1c-85
QA85-004 1a-86 2S-3, 4.1 QA87-009 1c-88
BR-7 QA12-004 12 QA91-003 1c-92
BR-8 QA90-008 1b-91 2S-3, 5.2 QA84-012 1c-85
BR-10 QA04-003 a05 QA86-009 1a-86
BR-11 QA01-005 a02 QA87-007 1c-88
BR-12 QA12-006 12 QA92-001 1c-92
BR-13 QA84-017 1c-85 3S-1 QA84-014 1c-85
BR-14 QA85-014 1a-86 QA91-002 1c-92
BR-15 QA90-008 1b-91 QA08-002 94
QA92-013 a95 QA08-007 94
QA08-006 00 3S-1, 2 QA82-2 1c-82
BR-16 QA92-013 a95 3S-1, 3 QA82-2 1c-82
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BR-17 QA12-001 12 3S-1, 3.1 QA80-12 1b-81


BR-18 QA12-007 12 QA85-010 1a-86
QA86-012 1a-86
Supplements 3S-1, 4 QA80-12 1b-81
... QA87-002 1b-87 QA81-10 1c-82
S-1 QA80-013 1b-81 QA85-009 1a-86
QA84-002 1b-84 QA86-012 1a-86
QA86-008 1a-86 3S-1, 4.2.1 QA84-007 1b-84
QA89-003 1a-89 3S-1, 4.2.3 QA81-10 1c-82
QA89-006 1a-89 3S-1, 5 QA88-004 1c-88
QA89-007 1a-89 QA99-02 00
QA94-006 a95 QA04-001 a05

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Edition/ Edition/
Location Interpretation Addenda Location Interpretation Addenda
3S-1, 7 QA86-017 1b-87 17S-1, 2.7 QA81-7 1b-81
4S-1 QA82-3 1a-83 QA06-001 08
QA89-006 1a-89 17S-1, 2.7.1 QA83-3 1a-83
4S-1, 2 QA89-003 1a-89 17S-1, 2.7.2 QA84-001 1b-84
4S-1, 2.7 QA85-015 1a-86 17S-1, 2.9 QA86-006 1a-86
4S-1, 3 QA81-9 1c-82 QA91-006 1c-92
6S-1 QA85-004 1a-86 17S-1, 3.2 QA83-1 1a-83
QA88-004 1c-88 QA84-006 1b-84
6S-1, 2 QA89-011 1b-91 QA84-012* 1b-84
6S-1, 3 QA91-008 1c-92 QA89-012 1b-91
7S-1 QA80-13 1b-81 QA92-005 a95
QA82-3 1a-83 17S-1, 4 QA86-007 1a-86
QA87-007 1c-88 QA94-007 a95
QA89-006 1a-89 17S-1, 4.1 QA83-004 1b-84
QA90-008 1b-91 QA84-006 1b-84
7S-1, 3.1 QA80-2 1b-81 QA84-012* 1b-84
QA86-014 1b-87 QA85-017 1a-86
QA86-015 1b-87 17S-1, 4.2 QA92-008 a95
QA87-008 1c-88 QA92-010 a95
17S-1, 4.4 QA83-011 1b-84
QA88-001 1c-88
QA85-003 1c-85
QA89-003 1a-89
QA87-001 1b-87
7S-1, 8 QA82-4 1a-83
17S-1, 4.4.1 QA87-003 1b-87
7S-1, 8.3 QA86-014 1b-87
17S-1, 4.4.3 QA85-005 1c-85
QA86-015 1b-87
QA90-004 1b-91
7S-1, 10 QA89-003 1a-89
QA89-009 1c-92
QA90-010 1b-91
QA91-009 a95
QA91-001 1c-92
17S-1, 4.4.4 QA90-002 1b-91
9S-1 QA90-009 1b-91
QA90-004 1b-91
10S-1, 2.1 QA88-007 1c-88
17S-1, 5.6 QA87-005 1c-88
QA90-007 1b-91 17S-1, 6 QA83-004 1b-84
QA01-003 a02 18S-1 QA90-012 1c-92
10S-1, 4.2 QA94-005 a95 QA94-002 a95
10S-1, 7.3 QA08-005 94 18S-1, 3.2 QA81-4 1b-81
11S-2 QA89-007 1a-89 QA83-009 1b-84
11S-2, 2.2 QA91-007 1c-92 18S-1, 3.3 QA83-014 1b-84
12S-1, 3.2 QA05-001 a05 18S-1, 5 QA83-014 1b-84
13S-1 QA84-017 1c-85 18S-1, 8 QA86-006 1a-86
13S-1, 3.3 QA86-011 1b-87
15S-1 QA90-008 1b-91 Appendices
QA92-013 a95 2A-1 QA90-006 1b-91
QA93-005 a95 QA08-005 94
15S-1, 4.4 QA99-02 00 2A-1, 3 QA86-003 1a-86
17S-1 QA83-008 1b-84 2A-1, 3.3.3 QA84-016 1c-85
QA85-007 1a-86 2A-3, 2 QA83-006 1b-84
QA86-008 1a-86 2A-3, 2.3 QA84-008 1b-84
QA86-017 1b-87 QA87-006 1c-88
QA89-008 1b-91 3A-1, 2 QA80-12 1b-81
QA92-011 a95 3A-1, 4 QA80-12 1b-81
17S-1, 2.1 QA83-008 1b-84 3A-1, 6 QA81-10 1c-82
17S-1, 2.2 QA82-11 1a-83 4A-1 QA82-3 1a-83
QA91-005 1c-92 7A-1 QA82-3 1a-83
17S-1, 2.3 QA82-11 1a-83 QA82-4 1a-83
QA85-013 1a-86 7A-1, 2 QA80-2 1b-81
QA85-017 1a-86 17A-1 QA84-012* 1b-84
QA91-005 1c-92 QA86-017 1b-87
17A-1, 3.1 QA94-003 a95
17S-1, 2.4 QA83-1 1a-83

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Edition/ Edition/
Location Interpretation Addenda Location Interpretation Addenda
PART II (FORMER NQA-2) QA86-019 2b-87
Table 5.6 QA92-003 a95
Subpart 2.11 QA89-004 2a-90
Subpart 2.71 QA93-003 a95
1
Subpart 2.2 QA01-005 a02
2.2 QA85-011 2a-86
QA08-004 00 Subpart 2.81 QA85-008 2a-86
3.7.2 QA02-003 a05 QA07-001 a09
3.9 QA86-010 2a-86
4.3.3 QA12-006 12 Subpart 2.151 QA99-003 a02
5.2.1 QA88-006 2c-88 QA08-001 a09
5.2.2 QA84-003 2a-85
QA86-005 2a-86 PART III
6.1.2 QA85-011 2a-86
6.4.2 QA94-004 a95 Appendix
2A-1 QA12-005 12
Subpart 2.51
9 QA84-013 2a-85 1
Subparts 2.1, 2.2, 2.5, 2.7, 2.8, and 2.15 were formerly Parts 2.1,
9.5 QA86-001 2a-86 2.2, 2.5, 2.7, 2.8, and 2.15, respectively, in NQA-2.
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ASME NQA-1 INTERPRETATIONS

SUBJECT INDEX

Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Applicability Design Control
mechanical equipment and systems QA85-008 2a-86 applies to QA82-8 1a-83
Audits/Surveys — Items or Ser- computer type QA08-003 00
vices (See also Internal Audits) documentation QA86-017 1b-87
Calibration services QA82-4 1a-83 QA91-002 1b-92
definition QA02-001 a05 QA00-001 a02
need for — supplier selection QA88-001 1c-88 documentation — design analyses QA85-010 1a-86
performed by QA83-014 1b-84 QA86-012 1a-86
QA12-002 12 file retention QA08-002 94
qualification of a supplier QA80-2 1b-81 final design — changes to QA82-2 1c-82
subtier suppliers QA82-3 1a-83 plant modification — review of QA88-004 1c-88
QA99-02 00
Auditors (See Qualification of) review and approval QA86-012 1a-86
review and checking QA80-12 1b-81
Basic Requirements and Supplements QA85-009 1a-86
applicability QA04-003 a05
relationship between QA87-002 1b-87 Design Verification QA81-10 1c-82
QA85-009 1a-86
QA86-012 1a-86
Calibration QA05-001 a05
documentation — design review QA84-007 1b-84
QA99-01 00
Certificate of Conformance
documentation — planning QA84-014 1c-85
authentication QA80-13 1b-81
procedures QA84-014 1c-85
composed of QA84-002 1b-84
reviewer QA80-12 1b-81
for commercial grade items QA90-010 1b-91
QA08-007 94
signature QA08-008 08
Change Control QA04-001 a05
Document Control (See also Design QA81-7 1b-81
Cleaning of Fluid Systems Control and Design Verification
flushing QA89-004 2a-90 Documentation)
approval of QA89-011 1b-91
Commercial Grade Items document vs. record QA82-11 1a-83
acceptability of QA90-010 1b-91 QA85-004 1a-86
quality assurance program QA89-006 1a-89 QA89-011 1b-91
requirements QA89-006 1a-89 documents in a package QA87-005 1c-88
services — calibration QA89-003 1a-89 storage of documents QA87-005 1c-88
validation QA82-11 1a-83
Computer QA83-008 1b-84
documentation of design activities QA91-002 1c-92 QA89-011 1b-91
in-use tests QA91-007 1c-92
Handling, Storage, and Shipping
system — applicability QA89-007 1a-89
crates and skids QA02-003 a05
levels of storage QA94-004 a95
Computer Software
precautions QA12-009 12
verification QA93-003 a95
radioactive materials QA84-017 1c-85
special handling tools and QA86-011 1b-87
Control of Processes QA90-009 1b-91 equipment

Design Analysis Housekeeping Zone


commercial off-the-shelf software QA12-003 12 record of entry and exit QA86-013 2a-86
computer programs QA12-010 12 size limitation QA86-013 2a-86

(d)
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Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Inspection Nondestructive Examination Personnel
acceptance criteria — welding QA86-001 2a-86 different edition of SNT-TC-1A QA87-004 1a-89
frequency — welding QA86-019 2b-87 independence QA88-007 1c-88
method — bolting QA84-013 2a-85 qualification requirements QA08-009 a02
recertification of — retested QA87-004 1a-89
Inspection, Test, and Operating Status recertification of — use of ASNT QA86-018 1b-87
control of stamps QA85-014 1a-86 policy
sampling QA94-005 a95 use of SNT-TC-1A QA86-004 1a-86
vertical impact QA99-03 a02 QA90-003 1b-91

Inspection and Test Personnel (See also Qualification of)


Procurement Control
location QA05-002 a05
document review QA81-9 1c-82
performing and documenting QA08-005 94
purchased items — material QA80-2 1b-81
inspection and test results
QA82-3 1a-83
reporting — independence QA90-007 1b-91
purchased service — calibration QA82-4 1a-83
QA98-001 00
QA86-015 1b-87
QA01-003 a02
QA86-014 1b-87
Installation, Inspection, and Testing
in-process tests QA92-003 a95 Programmable Logic Control QA01-005 a02
Systems
Internal Audits
quality assurance department QA81-4 1b-81 Qualification of Auditors
QA83-009 1b-84 experience QA82-8 1a-83
QA85-018 1a-86
Lead Auditors QA83-014 1b-84 internal audits QA81-4 1b-81
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QA12-002 12 QA83-009 1b-84


certification of competency QA83-006 1b-84 QA94-002 a95
QA84-008 1b-84 technical specialists QA89-010 1c-92
QA87-006 1c-88
QA92-002 1c-92
Qualification of Lead Auditors (See Lead Auditors)
examination — development and QA84-012 1c-85
administration of
examination — integrity QA92-001 1c-92 Qualification of Inspection and Test Personnel
examination — development of QA87-007 1c-88 applicability QA89-002 1a-89
examination — objective evidence QA86-009 1a-86 certification — requirements QA88-002 1c-88
maintenance of proficiency QA87-009 1c-88 QA90-005 1b-91
QA91-003 1c-92 QA90-006 1b-91
QA91-004 1c-92 determination of initial capability QA84-015 1c-85
responsible auditing organization QA87-007 1c-88 QA87-011 1c-88
training QA86-009 1a-86 education QA84-016 1c-85
QA89-010 1c-92 experience QA86-003 1a-86
physical requirements QA84-005 1b-84
Marking
metal surfaces QA86-010 2a-86 Qualification of Nondestructive Examination Personnel (See
Nondestructive Examination Personnel)
Measurement and Testing
process instruments and control QA12-006 12
Quality Assurance Program
devices
applicability QA82-8 1a-83
Nonconforming Items QA85-016 1a-86
condition evaluation QA08-006 00 QA90-005 1b-91
conditional release QA90-008 1b-91 assessment of QA85-012 1a-86
movement control QA08-006 00 QA86-002 1a-86
use of QA90-008 1b-91 QA90-001 1b-91
QA92-013 a95 implementation of QA86-002 1a-86
QA93-005 a95 QA12-007 12
QA99-02 00 related experience QA12-005 12

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Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Quality Assurance Records Records Storage Facility
applicability QA83-004 1b-84 dual storage facility QA85-005 1c-85
QA83-008 1b-84 QA85-007 1a-86
audit records QA86-006 1a-86 QA90-004 1b-91
QA90-012 1c-92 QA92-011 a95
classification QA81-7 1b-81 fire protection QA83-011 1b-84
QA83-3 1a-83 QA85-003 1c-85
QA84-001 1b-84 QA87-001 1b-87
QA86-008 1a-86 QA87-003 1b-87
QA88-008 1a-89 QA91-009 a95
QA06-001 08 in-process records QA83-011 1b-84
location of QA85-005 1c-85
computer software program QA83-3 1a-83
QA86-007 1a-86
corrected information QA91-006 1c-92
QA90-002 1b-91
design records QA86-017 1b-87
QA92-010 a95
QA94-003 a95
safekeeping of QA86-007 1a-86
document vs. record QA82-11 1a-83
QA94-007 a95
QA85-004 1a-86
temporary storage QA89-009 1c-92
documents in a package QA87-005 1c-88
QA12-001 12
indexing/checklist QA83-1 1a-83
QA84-006 1b-84 Spare and Replacement Parts
QA84-012* 1b-84 procurement QA85-015 1a-86
QA92-005 a95
microfilmed copies QA85-013 1a-86 Storage Area
procedures QA83-1 1a-83 Level A requirements QA85-011 2a-86
QA82-11 1a-83 Level C valves QA08-004 00
QA85-007 1a-86 Level D requirements QA94-004 a95
QA85-017 1a-86
Supplier Selection
QA86-007 1a-86 services only — calibration QA86-014 1b-87
QA89-012 1b-91 QA86-015 1b-87
revision to a document QA91-008 1c-92 QA89-003 1a-89
QA94-006 a95 sharing of information QA87-008 1c-88
special processed records QA92-008 a95 source evaluation QA80-2 1b-81
time frame for submittal of QA84-012* 1b-84 QA88-001 1c-88
QA85-007 1a-86 subtier supplier QA89-003 1a-89
QA85-017 1a-86
turnover/transfer QA83-1 1a-83 Surveys (See Audits/Surveys)
QA83-004 1b-84
Traceability QA91-001 1c-92
validation QA91-005 1c-92
Use of NQA-1 QA79-8 1a-80
Radiograph/Radiograph Reader QA12-008 12 QA82-8 1a-83
Sheet QA90-005 1b-91

Vendor Listing
Receiving Inspection
calibration supplier QA12-004 12
items inspection QA84-003 2a-85
material supplier QA12-004 12
QA86-005 2a-86
material testing companies QA12-004 12
shipping damage inspection — QA88-006 2c-88
performed by Welding
acceptance criteria for inspection QA86-001 2a-86
Records (See Quality Assurance Records) in-process inspections QA86-019 2b-87

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ASME NQA-1 INTERPRETATIONS

ASME NQA-1 INTERPRETATIONS

Replies to Technical Inquiries


October 2009 Through October 2010

FOREWORD

General Information
This publication includes all of the written replies issued between the indicated dates by the
Secretarial Staff, speaking for the ASME Committee on Nuclear Quality Assurance, to inquiries
concerning interpretations of technical aspects of ASME NQA-1, Quality Assurance Requirements
for Nuclear Facility Applications.
These replies are taken verbatim from the original letters except for a few typographical
corrections and some minor editorial corrections made for the purpose of improved clarity. In
some instances, a review of the interpretation revealed a need for corrections of a technical nature;
in these cases a corrected interpretation follows immediately after the original reply.
These interpretations were prepared in accordance with the accredited ASME procedures.
ASME procedures provide for reconsideration of these interpretations when or if additional
information is available which the inquirer believes might affect the interpretation. Further,
persons aggrieved by this interpretation may appeal to the cognizant ASME committee or subcom-
mittee. ASME does not “approve,” “certify,” “rate,” or “endorse” any item, construction, proprie-
tary device, or activity.
An interpretation applies to the Edition and Addenda stated in the interpretation itself or, if
none is stated, to the latest published Edition and Addenda at the time it is issued. Subsequent
revisions to the rules may have superseded the reply.
For detailed instructions on the preparation of technical inquiries, refer to the Preparation of
Technical Inquiries to the Nuclear Quality Assurance Committee (p. vii of ASME NQA-1).

Subject and Numerical Indexes


Subject and numerical indexes have been prepared to assist the user in locating interpretations
by subject matter or location in this Standard. These indexes, which are the compilation of former
NQA-1 and NQA-2 interpretations indexes, will be updated with each Edition and Addenda.

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Interpretation: QA08-002

Subject: NQA-1–1994, 3S-1, Supplementary Requirements for Design Control


Date Issued: October 8, 2009
File: 08-578

Question: Is it necessary to retain actual computer input and output files or file images associated
with the use of controlled computer software as part of the Design Analysis Quality Assurance
record in order to meet the documentation requirements of NQA-1–1994, Supplement 3S-1,
Section 3.1(b5)?
Reply: Yes. NQA-1–1994, Supplement 3S-1, Section 3.2(b-5) states that “Documentation of
design analysis shall include identification of any computer calculation, including computer type,
computer program, revision identification, inputs, outputs...” It is further understood that the
use of file scans of computer program input and output files is an acceptable approach provided
the electronic record meets the NQA-1 requirements for authentication and maintenance of quality
records.

Interpretation: QA08-003

Subject: NQA-1–2000, Design Control


Date Issued: October 8, 2009
File: 08-1420

Question: Does the level of detail for computer type in Requirement 3, para. 402(e) need to
include the manufacturer name, serial number, model number, and server and desk computer
information?
Reply: No. However, the level of detail to describe the computer type shall provide enough
information to verify the adequacy of the results without recourse to the originator as required
by Requirement 3, Section 400.

Interpretation: QA08-004

Subject: NQA-1–2000, Part II, Subpart 2.2, Section 200


Date Issued: October 8, 2009

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File: 08-1772

Question: Can a valve be stored in other than Level C storage as specified in the NQA-1–2000
Edition, Part 2, Subpart 2.2, para. 202.3?
Reply: Yes. Valves are to be stored as Level C unless a classification evaluation justifying
otherwise has been performed, and documented, by the buyer or the contractor in accordance with
para. 202 of the Standard. Additionally, the manufacturer’s documented standard or minimum
requirements shall be considered when classifying the items.

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Interpretation: QA08-005

Subject: NQA-1–1994, Part III, Appendix 2A-1


Date Issued: October 13, 2009
File: 08-587

Question: When following the guidance of the NQA-1–1994 Edition, do the capabilities of
Level I Inspection Personnel as discussed in para. 2.1, “performing and documenting inspection
and test results,” include the acceptance or acceptability of an item as identified in
Supplement 10S-1, para. 7.3?
Reply: No. Appendix 2A-1, para. 2.2 identifies under the Level II capabilities a provision where
the Level II must have demonstrated capabilities to evaluate the validity and acceptability of
inspection and test results. The provision is that a qualified Level II would evaluate the validity
and acceptability of the inspection and test results documented by a Level I Inspector.

Interpretation: QA08-006

Subject: NQA-1–2000, Requirement 15, Control of Nonconforming Items, Para. 300(b)


Date Issued: November 5, 2009
File: 08-1419

Question (1): Can an electronic process be used as a method of controlling the movement
(further processing) of nonconforming items?
Reply (1): Yes. Electronic processes can be used to control the further processing, delivery,
installation, or use of nonconforming items.

Question (2): Is an evaluation of extent of condition of the nonconformance required by


Requirement 15?
Reply (2): No. However, Requirement 16 applies to all conditions adverse to quality. See
Nonmandatory Appendix 16A-1, para. 301 for further guidance on extent of condition.

Interpretation: QA08-007

Subject: NQA-1–1994, Supplement 3S-1, Para. 4, Design Verification


Date Issued: November 5, 2009
File: 08-1730

Question: For Supplement 3S-1, para. 4, if an individual is involved in the review and approval
of the design analysis per Section 3.1(b)(6), can that person also be the design reviewer per
Section 4?
Reply: Yes, as per the response to Interpretation QA86-012.

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Interpretation: QA08-008

Subject: NQA-1–2008, Requirement 3, Section 500, Design Verification


Date Issued: November 5, 2009
File: 09-596

Question: For Requirement 3, Section 500, where it says, “The results of design verification
shall be documented,” is a signature by the verifier sufficient documentation?
Reply: Yes. The use of a “signature” only of the verifier on the design document is sufficient
when the verification is done in accordance with the verification procedures that comply with
the NQA-1 requirements.

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Interpretation: QA08-009

Subject: NQA-1–2000 Edition With the NQA-1a–2002 Addenda, Requirement 2, Section 301,
SNT-TC-1A Qualification Requirements
Date Issued: October 12, 2010
File: 09-1617

Question (1): Do the SNT-TC-1A qualification requirements of NQA-1–2000, Requirement 2,


Section 301, Nondestructive Examination apply to all inspections or tests to be performed?
Reply (1): No. Section 301 applies only to the qualifications of personnel performing the listed
nondestructive examination methods.

Question (2): Do the SNT-TC-1A qualification requirements of NQA-1–2000, Requirement 2,


Section 301, Nondestructive Examination only apply when specified codes, customer order
requirements, or the responsible organization mandates it?
Reply (2): Yes.

Question (3): Is it the responsibility of the organization that commits to the requirements of
NQA-1–2000, Requirement 2 to establish and document criteria for the capabilities of personnel
performing the inspection and tests?
Reply (3): Yes. NQA-1–2000, Sections 300, Qualification Requirements, and 302, Inspection
and Test, provide requirements on the qualification of inspection and test personnel. Part III,
Nonmandatory Appendix 2A-1provides guidance on the Qualification of Inspection and Test
Personnel.

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NUMERICAL INDEX

Edition/ Edition/
Location Interpretation Addenda Location Interpretation Addenda
PART I (FORMER NQA-1) Supplements (Cont’d)
2S-1 (Cont’d)
Introduction QA90-006 1b-91
... QA82-8 1a-83 2S-2, 2.1 QA90-003 1b-91
Terms and QA01-006 04 2S-1, 2.5 QA84-015 1c-85
definitions QA87-011 1c-88
QA05-002 a05 2S-1, 2.6 QA98-001 00
2S-1, 2.8 QA84-005 1b-84
Basic Requirements
... QA87-002 1b-87 2S-2 QA86-018 1b-87
BR-2 QA85-012 1a-86 QA88-007 1c-88
QA85-016 1a-86 QA87-004 1a-89
QA86-002 1a-86 2S-2, 2.1 QA86-004 1a-86
QA90-001 1b-91 2S-3 QA81-4 1b-81
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QA90-005 1b-91 QA82-8 1a-83


QA02-001 a05 QA83-009 1b-84
QA08-009 00 QA89-010 1c-92
BR-3 QA82-8 1a-83 QA92-002 1c-92
QA01-005 a02 2S-3, 2.1 QA85-018 1a-86
QA08-003 00 QA87-007 1c-88
QA08-008 08 2S-3, 3 QA83-014 1b-84
BR-5 QA88-004 1c-88 QA86-009 1a-86
BR-6 QA81-7 1b-81 QA91-004 1c-92
QA85-004 1a-86 2S-3, 3.4 QA84-012 1c-85
BR-8 QA90-008 1b-91 2S-3, 4.1 QA87-009 1c-88
BR-10 QA04-003 a05 QA91-003 1c-92
BR-11 QA01-005 a02 2S-3, 5.2 QA84-012 1c-85
BR-13 QA84-017 1c-85 QA86-009 1a-86
BR-14 QA85-014 1a-86 QA87-007 1c-88
BR-15 QA90-008 1b-91 QA92-001 1c-92
QA92-013 a95 3S-1 QA84-014 1c-85
QA08-006 00 QA91-002 1c-92
BR-16 QA92-013 a95 QA08-002 94
QA08-007 94
Supplements 3S-1, 2 QA82-2 1c-82
... QA87-002 1b-87 3S-1, 3 QA82-2 1c-82
S-1 QA80-013 1b-81 3S-1, 3.1 QA80-12 1b-81
QA84-002 1b-84 QA85-010 1a-86
QA86-008 1a-86 QA86-012 1a-86
QA89-003 1a-89 3S-1, 4 QA80-12 1b-81
QA89-006 1a-89 QA81-10 1c-82
QA89-007 1a-89 QA85-009 1a-86
QA94-006 a95 QA86-012 1a-86
1S-1, 2.1 QA88-007 1c-88 3S-1, 4.2.1 QA84-007 1b-84
QA90-007 1b-91 3S-1, 4.2.3 QA81-10 1c-82
QA01-003 a02 3S-1, 5 QA88-004 1c-88
2S-1 QA89-002 1a-89 QA99-02 00
QA90-005 1b-91 QA04-001 a05

(a)
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Edition/ Edition/
Location Interpretation Addenda Location Interpretation Addenda
Supplements (Cont’d) Supplements (Cont’d)
3S-1, 7 QA86-017 1b-87 17S-1, 2.3 (Cont’d)
4S-1 QA82-3 1a-83 QA85-013 1a-86
QA89-006 1a-89 QA85-017 1a-86
4S-1, 2 QA89-003 1a-89 QA91-005 1c-92
4S-1, 2.7 QA85-015 1a-86 17S-1, 2.4 QA83-1 1a-83
4S-1, 3 QA81-9 1c-82 17S-1, 2.7 QA81-7 1b-81
6S-1 QA85-004 1a-86 QA06-001 08
QA88-004 1c-88 17S-1, 2.7.1 QA83-3 1a-83
6S-1, 2 QA89-011 1b-91 17S-1, 2.7.2 QA84-001 1b-84
6S-1, 3 QA91-008 1c-92 17S-1, 2.9 QA86-006 1a-86
7S-1 QA80-13 1b-81 QA91-006 1c-92
QA82-3 1a-83 17S-1, 3.2 QA83-1 1a-83
QA87-007 1c-88 QA84-006 1b-84
QA89-006 1a-89 QA84-012* 1b-84
QA90-008 1b-91 QA89-012 1b-91
7S-1, 3.1 QA80-2 1b-81 QA92-005 a95
QA86-014 1b-87 17S-1, 4 QA86-007 1a-86
QA86-015 1b-87 QA94-007 a95
QA87-008 1c-88 17S-1, 4.1 QA83-004 1b-84
QA88-001 1c-88 QA84-006 1b-84
QA89-003 1a-89 QA84-012* 1b-84
7S-1, 8 QA82-4 1a-83 QA85-017 1a-86
7S-1, 8.3 QA86-014 1b-87 17S-1, 4.2 QA92-008 a95
QA86-015 1b-87 QA92-010 a95
7S-1, 10 QA89-003 1a-89 17S-1, 4.4 QA83-011 1b-84
QA90-010 1b-91 QA85-003 1c-85
QA91-001 1c-92 QA87-001 1b-87
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9S-1 QA90-009 1b-91 17S-1, 4.4.1 QA87-003 1b-87


10S-1, 2.1 QA88-007 1c-88 17S-1, 4.4.3 QA85-005 1c-85
QA90-007 1b-91 QA90-004 1b-91
QA01-003 a02 QA89-009 1c-92
10S-1, 4.2 QA94-005 a95 QA91-009 a95
10S-1, 7.3 QA08-005 94 17S-1, 4.4.4 QA90-002 1b-91
11S-2 QA89-007 1a-89 QA90-004 1b-91
11S-2, 2.2 QA91-007 1c-92 17S-1, 5.6 QA87-005 1c-88
12S-1, 3.2 QA05-001 a05 17S-1, 6 QA83-004 1b-84
13S-1 QA84-017 1c-85 18S-1 QA90-012 1c-92
13S-1, 3.3 QA86-011 1b-87 QA94-002 a95
15S-1 QA90-008 1b-91 18S-1, 3.2 QA81-4 1b-81
QA92-013 a95 QA83-009 1b-84
QA93-005 a95 18S-1, 3.3 QA83-014 1b-84
15S-1, 4.4 QA99-02 00 18S-1, 5 QA83-014 1b-84
17S-1 QA83-008 1b-84 18S-1, 8 QA86-006 1a-86
QA85-007 1a-86
QA86-008 1a-86 Appendices
QA86-017 1b-87 2A-1 QA90-006 1b-91
QA89-008 1b-91 QA08-005 94
QA92-011 a95 2A-1, 3 QA86-003 1a-86
17S-1, 2.1 QA83-008 1b-84 2A-1, 3.3.3 QA84-016 1c-85
17S-1, 2.2 QA82-11 1a-83 2A-3, 2 QA83-006 1b-84
QA91-005 1c-92 2A-3, 2.3 QA84-008 1b-84
17S-1, 2.3 QA82-11 1a-83 QA87-006 1c-88

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Edition/ Edition/
Location Interpretation Addenda Location Interpretation Addenda
Appendices (Cont’d) Subpart 2.21 (Cont’d)
3A-1, 2 QA80-12 1b-81 5.2.2 (Cont’d)
3A-1, 4 QA80-12 1b-81 QA86-005 2a-86
3A-1, 6 QA81-10 1c-82 6.1.2 QA85-011 2a-86
4A-1 QA82-3 1a-83 6.4.2 QA94-004 a95
7A-1 QA82-3 1a-83
QA82-4 1a-83 Subpart 2.51
9 QA84-013 2a-85
7A-1, 2 QA80-2 1b-81
9.5 QA86-001 2a-86
17A-1 QA84-012* 1b-84
QA86-019 2b-87
QA86-017 1b-87
Table 5.6 QA92-003 a95
17A-1, 3.1 QA94-003 a95

PART II (FORMER NQA-2) Subpart 2.71 QA93-003 a95


QA01-005 a02
Subpart 2.11 QA89-004 2a-90
Subpart 2.81 QA85-008 2a-86
1
Subpart 2.2 QA07-001 a09
2.2 QA85-011 2a-86
QA08-004 00 Subpart 2.151 QA99-003 a02
3.7.2 QA02-003 a05 QA08-001 a09
3.9 QA86-010 2a-86
5.2.1 QA88-006 2c-88 1
Subparts 2.1, 2.2, 2.5, 2.7, 2.8, 2.15 were formerly Parts 2.1, 2.2,
5.2.2 QA84-003 2a-85 2.5, 2.7, 2.8, and 2.15, respectively, in NQA-2.

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SUBJECT INDEX

Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Applicability Design Control (Cont’d)
mechanical equipment and systems QA85-008 2a-86 documentation (Cont’d)
QA91-002 1b-92
Audits/Surveys — Items or Services (See also Internal Audits) QA00-001 a02
Calibration services QA82-4 1a-83 documentation — design analyses QA85-010 1a-86
definition QA02-001 a05 QA86-012 1a-86
need for — supplier selection QA88-001 1c-88 file retention QA08-002 94
performed by QA83-014 1b-84 final design — changes to QA82-2 1c-82
qualification of a supplier QA80-2 1b-81 plant modification — review of QA88-004 1c-88
subtier suppliers QA82-3 1a-83 QA99-02 00
review and approval QA86-012 1a-86
Auditors (See Qualification of)
review and checking QA80-12 1b-81
QA85-009 1a-86
Basic Requirements and Supplements
applicability QA04-003 a05
Design Verification QA81-10 1c-82
relationship between QA87-002 1b-87
QA85-009 1a-86
Calibration QA05-001 a05 QA86-012 1a-86
documentation — design review QA84-007 1b-84
Certificate of Conformance QA99-01 00
authentication QA80-13 1b-81 documentation — planning QA84-014 1c-85
composed of QA84-002 1b-84 procedures QA84-014 1c-85
for commercial grade items QA90-010 1b-91 reviewer QA80-12 1b-81
QA08-007 94
signature QA08-008 08
Change Control QA04-001 a05
Document Control (See also Design QA81-7 1b-81
Cleaning of Fluid Systems Control and Design Verification
flushing QA89-004 2a-90 Documentation)
approval of QA89-011 1b-91
Commercial Grade Items
document vs. record QA82-11 1a-83
acceptability of QA90-010 1b-91
QA85-004 1a-86
quality assurance program QA89-006 1a-89
QA89-011 1b-91
requirements QA89-006 1a-89
documents in a package QA87-005 1c-88
services — calibration QA89-003 1a-89
storage of documents QA87-005 1c-88
Computer validation QA82-11 1a-83
documentation of design activities QA91-002 1c-92 QA83-008 1b-84
in-use tests QA91-007 1c-92 QA89-011 1b-91
system — applicability QA89-007 1a-89
Handling, Storage, and Shipping
Computer Software crates and skids QA02-003 a05
verification QA93-003 a95 levels of storage QA94-004 a95
radioactive materials QA84-017 1c-85
Control of Processes QA90-009 1b-91 special handling tools and QA86-011 1b-87
equipment
Design Control
applies to QA82-8 1a-83 Housekeeping Zone
computer type QA08-003 00 record of entry and exit QA86-013 2a-86
documentation QA86-017 1b-87 size limitation QA86-013 2a-86

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Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Inspection Nondestructive Examination Personnel (Cont’d)
acceptance criteria — welding QA86-001 2a-86 independence QA88-007 1c-88
frequency — welding QA86-019 2b-87 qualification requirements QA08-009 a02
method — bolting QA84-013 2a-85 recertification of — retested QA87-004 1a-89
recertification of — use of ASNT QA86-018 1b-87
Inspection, Test, and Operating Status policy
control of stamps QA85-014 1a-86 use of SNT-TC-1A QA86-004 1a-86
sampling QA94-005 a95 QA90-003 1b-91
vertical impact QA99-03 a02
Procurement Control
Inspection and Test Personnel (See also Qualification of) document review QA81-9 1c-82
location QA05-002 a05 purchased items — material QA80-2 1b-81
performing and documenting QA08-005 94 QA82-3 1a-83
--`,,```,,,,````-`-`,,`,,`,`,,`---

inspection and test results


purchased service — calibration QA82-4 1a-83
reporting — independence QA90-007 1b-91
QA86-015 1b-87
QA98-001 00
QA86-014 1b-87
QA01-003 a02
Programmable Logic Control QA01-005 a02
Installation, Inspection, and Testing
Systems
in-process tests QA92-003 a95
Qualification of Auditors
Internal Audits
experience QA82-8 1a-83
quality assurance department QA81-4 1b-81
QA85-018 1a-86
QA83-009 1b-84
internal audits QA81-4 1b-81
Lead Auditors QA83-014 1b-84 QA83-009 1b-84
certification of competency QA83-006 1b-84 QA94-002 a95
QA84-008 1b-84 technical specialists QA89-010 1c-92
QA87-006 1c-88
QA92-002 1c-92 Qualification of Lead Auditors (See Lead Auditors)
examination — development and QA84-012 1c-85
administration of Qualification of Inspection and Test Personnel
applicability QA89-002 1a-89
examination — integrity QA92-001 1c-92
certification — requirements QA88-002 1c-88
examination — development of QA87-007 1c-88
examination — objective evidence QA86-009 1a-86 QA90-005 1b-91
maintenance of proficiency QA87-009 1c-88 QA90-006 1b-91
QA91-003 1c-92 determination of initial capability QA84-015 1c-85
QA91-004 1c-92 QA87-011 1c-88
responsible auditing organization QA87-007 1c-88 education QA84-016 1c-85
training QA86-009 1a-86 experience QA86-003 1a-86
QA89-010 1c-92 physical requirements QA84-005 1b-84

Marking Qualification of Nondestructive Examination Personnel (See


metal surfaces QA86-010 2a-86 Nondestructive Examination Personnel)

Nonconforming Items Quality Assurance Program


condition evaluation QA08-006 00 applicability QA82-8 1a-83
conditional release QA90-008 1b-91 QA85-016 1a-86
movement control QA08-006 00 QA90-005 1b-91
use of QA90-008 1b-91 assessment of QA85-012 1a-86
QA92-013 a95 QA86-002 1a-86
QA93-005 a95 QA90-001 1b-91
QA99-02 00 implementation of QA86-002 1a-86

Nondestructive Examination Personnel Quality Assurance Records


different edition of SNT-TC-1A QA87-004 1a-89 applicability QA83-004 1b-84

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Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Quality Assurance Records (Cont’d) Records Storage Facility (Cont’d)
applicability (Cont’d) dual storage facility (Cont’d)
QA83-008 1b-84 QA85-007 1a-86
audit records QA86-006 1a-86 QA90-004 1b-91
QA90-012 1c-92 QA92-011 a95
classification QA81-7 1b-81 fire protection QA83-011 1b-84
QA83-3 1a-83 QA85-003 1c-85
QA84-001 1b-84 QA87-001 1b-87
QA86-008 1a-86 QA87-003 1b-87
QA88-008 1a-89
QA91-009 a95
QA06-001 08
in-process records QA83-011 1b-84
computer software program QA83-3 1a-83
location of QA85-005 1c-85
corrected information QA91-006 1c-92
QA86-007 1a-86
design records QA86-017 1b-87
QA90-002 1b-91
QA94-003 a95
QA92-010 a95
document vs. record QA82-11 1a-83
QA85-004 1a-86 safekeeping of QA86-007 1a-86
documents in a package QA87-005 1c-88 QA94-007 a95
indexing/checklist QA83-1 1a-83 temporary storage QA89-009 1c-92
QA84-006 1b-84
QA84-012* 1b-84 Spare and Replacement Parts
QA92-005 a95 procurement QA85-015 1a-86
microfilmed copies QA85-013 1a-86
procedures QA83-1 1a-83 Storage Area
QA82-11 1a-83 Level A requirements QA85-011 2a-86
QA85-007 1a-86 Level C valves QA08-004 00
QA85-017 1a-86 Level D requirements QA94-004 a95
QA86-007 1a-86
QA89-012 1b-91 Supplier Selection
revision to a document QA91-008 1c-92 services only — calibration QA86-014 1b-87
QA94-006 a95 QA86-015 1b-87
special processed records QA92-008 a95 QA89-003 1a-89
time frame for submittal of QA84-012* 1b-84 sharing of information QA87-008 1c-88
QA85-007 1a-86 source evaluation QA80-2 1b-81
QA85-017 1a-86 QA88-001 1c-88
turnover/transfer QA83-1 1a-83 subtier supplier QA89-003 1a-89
--`,,```,,,,````-`-`,,`,,`,`,,`---

QA83-004 1b-84
validation QA91-005 1c-92 Surveys (See Audits/Surveys)

Receiving Inspection Traceability QA91-001 1c-92


items inspection QA84-003 2a-85
QA86-005 2a-86 Use of NQA-1 QA79-8 1a-80
shipping damage inspection — QA88-006 2c-88 QA82-8 1a-83
performed by QA90-005 1b-91
Records (See Quality Assurance Records)
Welding
Records Storage Facility acceptance criteria for inspection QA86-001 2a-86
dual storage facility QA85-005 1c-85 in-process inspections QA86-019 2b-87

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ASME NQA-1 INTERPRETATIONS

ASME NQA-1 INTERPRETATIONS

Replies to Technical Inquiries


October 2008 Through November 2008

FOREWORD

General Information
This publication includes all of the written replies issued between the indicated dates by the
Secretarial Staff, speaking for the ASME Committee on Nuclear Quality Assurance, to inquiries
concerning interpretations of technical aspects of ASME NQA-1, Quality Assurance Requirements
for Nuclear Facility Applications.
These replies are taken verbatim from the original letters except for a few typographical
corrections and some minor editorial corrections made for the purpose of improved clarity. In
some instances, a review of the interpretation revealed a need for corrections of a technical nature;
in these cases a corrected interpretation follows immediately after the original reply.
These interpretations were prepared in accordance with the accredited ASME procedures.
ASME procedures provide for reconsideration of these interpretations when or if additional
information is available which the inquirer believes might affect the interpretation. Further,
persons aggrieved by this interpretation may appeal to the cognizant ASME committee or subcom-
mittee. ASME does not “approve,” “certify,” “rate,” or “endorse” any item, construction, proprie-
tary device, or activity.
An interpretation applies to the Edition and Addenda stated in the interpretation itself or, if
none is stated, to the latest published Edition and Addenda at the time it is issued. Subsequent
revisions to the rules may have superseded the reply.
For detailed instructions on the preparation of technical inquiries, refer to the Preparation of
Technical Inquiries to the Nuclear Quality Assurance Committee (p. vii of ASME NQA-1).

Subject and Numerical Indexes


Subject and numerical indexes have been prepared to assist the user in locating interpretations
by subject matter or location in this Standard. These indexes, which are the compilation of former
NQA-1 and NQA-2 interpretations indexes, will be updated with each Edition and Addenda.

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ASME NQA-1 INTERPRETATIONS

Interpretation: QA07-001

Subject: NQA-1–1994, Subpart 2.8, Para. 4.3(j)


Date Issued: October 23, 2008

Question: Is it a requirement of Subpart 2.8, para. 4.3(j), that every installation and repair weld
be inspected for materials, process controls, and when the weld procedure requires purging,
adequate purging and removal of purge dams on completion?
Reply: No. Inspections shall be performed in accordance with governing technical requirements.

Interpretation: QA08-001

Subject: NQA-1–2004, Subpart 2.15, Para. 601.4, Rerated Equipment


Date Issued: November 21, 2008

Question (1): Does the term “special lifts” refer to any lift in excess of the hoisting equipment’s
current rated capacity?
Reply (1): Yes. The term “special lifts” in NQA-1–2004 refers to lifts exceeding the rated capacity.

Question (2): Do the requirements of para. 601.4 apply anytime facility hoisting equipment is
rerated to new rated capacity in excess of its current rated capacity?
Reply (2): Yes. The guidelines set forth in para. 601.4 refer specifically to rerated hoisting
equipment.
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ASME NQA-1 INTERPRETATIONS

NUMERICAL INDEX

Edition/ Edition/
Location Interpretation Addenda Location Interpretation Addenda
PART I (FORMER NQA-1) Supplements (Cont’d)
2S-1, 2.6 QA98-001 00
Introduction 2S-1, 2.8 QA84-005 1b-84
... QA82-8 1a-83
2S-2 QA86-018 1b-87
Terms and QA01-006 04 QA88-007 1c-88
definitions
QA87-004 1a-89
QA05-002 a05
2S-2, 2.1 QA86-004 1a-86
Basic Requirements 2S-3 QA81-4 1b-81
... QA87-002 1b-87 QA82-8 1a-83
BR-2 QA85-012 1a-86 QA83-009 1b-84
QA85-016 1a-86 QA89-010 1c-92
QA86-002 1a-86 QA92-002 1c-92
QA90-001 1b-91 2S-3, 2.1 QA85-018 1a-86
QA90-005 1b-91 QA87-007 1c-88
QA02-001 a05 2S-3, 3 QA83-014 1b-84
BR-3 QA82-8 1a-83 QA86-009 1a-86
QA01-005 a02 QA91-004 1c-92
BR-5 QA88-004 1c-88 2S-3, 3.4 QA84-012 1c-85
BR-6 QA81-7 1b-81 2S-3, 4.1 QA87-009 1c-88
QA91-003 1c-92
--`,,```,,,,````-`-`,,`,,`,`,,`---

QA85-004 1a-86
BR-8 QA90-008 1b-91 2S-3, 5.2 QA84-012 1c-85
BR-10 QA04-003 a05 QA86-009 1a-86
BR-11 QA01-005 a02 QA87-007 1c-88
BR-13 QA84-017 1c-85 QA92-001 1c-92
BR-14 QA85-014 1a-86 3S-1 QA84-014 1c-85
BR-15 QA90-008 1b-91 QA91-002 1c-92
QA92-013 a95 3S-1, 2 QA82-2 1c-82
3S-1, 3 QA82-2 1c-82
BR-16 QA92-013 a95
3S-1, 3.1 QA80-12 1b-81
Supplements QA85-010 1a-86
... QA87-002 1b-87 QA86-012 1a-86
S-1 QA80-013 1b-81 3S-1, 4 QA80-12 1b-81
QA84-002 1b-84 QA81-10 1c-82
QA86-008 1a-86 QA85-009 1a-86
QA89-003 1a-89 QA86-012 1a-86
QA89-006 1a-89 3S-1, 4.2.1 QA84-007 1b-84
QA89-007 1a-89 3S-1, 4.2.3 QA81-10 1c-82
QA94-006 a95 3S-1, 5 QA88-004 1c-88
1S-1, 2.1 QA88-007 1c-88 QA99-02 00
QA90-007 1b-91 QA04-001 a05
QA01-003 a02 3S-1, 7 QA86-017 1b-87
2S-1 QA89-002 1a-89 4S-1 QA82-3 1a-83
QA90-005 1b-91 QA89-006 1a-89
QA90-006 1b-91 4S-1, 2 QA89-003 1a-89
2S-2, 2.1 QA90-003 1b-91 4S-1, 2.7 QA85-015 1a-86
2S-1, 2.5 QA84-015 1c-85 4S-1, 3 QA81-9 1c-82
QA87-011 1c-88 6S-1 QA85-004 1a-86

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ASME NQA-1 INTERPRETATIONS

Edition/ Edition/
Location Interpretation Addenda Location Interpretation Addenda
Supplements (Cont’d) Supplements (Cont’d)
6S-1 (Cont’d) 17S-1, 2.7.2 QA84-001 1b-84
QA88-004 1c-88 17S-1, 2.9 QA86-006 1a-86
6S-1, 2 QA89-011 1b-91 QA91-006 1c-92
6S-1, 3 QA91-008 1c-92 17S-1, 3.2 QA83-1 1a-83
7S-1 QA80-13 1b-81 QA84-006 1b-84
QA82-3 1a-83 QA84-012* 1b-84
QA87-007 1c-88 QA89-012 1b-91
QA89-006 1a-89 QA92-005 a95
QA90-008 1b-91 17S-1, 4 QA86-007 1a-86
7S-1, 3.1 QA80-2 1b-81 QA94-007 a95
QA86-014 1b-87 17S-1, 4.1 QA83-004 1b-84
QA86-015 1b-87 QA84-006 1b-84
QA87-008 1c-88 QA84-012* 1b-84
QA88-001 1c-88 QA85-017 1a-86
QA89-003 1a-89 17S-1, 4.2 QA92-008 a95
7S-1, 8 QA82-4 1a-83 QA92-010 a95
7S-1, 8.3 QA86-014 1b-87 17S-1, 4.4 QA83-011 1b-84
QA86-015 1b-87 QA85-003 1c-85
7S-1, 10 QA89-003 1a-89 QA87-001 1b-87
QA90-010 1b-91 17S-1, 4.4.1 QA87-003 1b-87
QA91-001 1c-92 17S-1, 4.4.3 QA85-005 1c-85
9S-1 QA90-009 1b-91 QA90-004 1b-91
10S-1, 2.1 QA88-007 1c-88 QA89-009 1c-92
QA90-007 1b-91 QA91-009 a95
QA01-003 a02 17S-1, 4.4.4 QA90-002 1b-91
10S-1, 4.2 QA94-005 a95 QA90-004 1b-91
11S-2 QA89-007 1a-89 17S-1, 5.6 QA87-005 1c-88
11S-2, 2.2 QA91-007 1c-92 17S-1, 6 QA83-004 1b-84
--`,,```,,,,````-`-`,,`,,`,`,,`---

12S-1, 3.2 QA05-001 a05 18S-1 QA90-012 1c-92


13S-1 QA84-017 1c-85 QA94-002 a95
13S-1, 3.3 QA86-011 1b-87 18S-1, 3.2 QA81-4 1b-81
15S-1 QA90-008 1b-91 QA83-009 1b-84
QA92-013 a95 18S-1, 3.3 QA83-014 1b-84
QA93-005 a95 18S-1, 5 QA83-014 1b-84
15S-1, 4.4 QA99-02 00 18S-1, 8 QA86-006 1a-86
17S-1 QA83-008 1b-84
QA85-007 1a-86 Appendices
QA86-008 1a-86 2A-1 QA90-006 1b-91
QA86-017 1b-87 2A-1, 3 QA86-003 1a-86
QA89-008 1b-91 2A-1, 3.3.3 QA84-016 1c-85
QA92-011 a95 2A-3, 2 QA83-006 1b-84
17S-1, 2.1 QA83-008 1b-84 2A-3, 2.3 QA84-008 1b-84
17S-1, 2.2 QA82-11 1a-83 QA87-006 1c-88
QA91-005 1c-92 3A-1, 2 QA80-12 1b-81
17S-1, 2.3 QA82-11 1a-83 3A-1, 4 QA80-12 1b-81
QA85-013 1a-86 3A-1, 6 QA81-10 1c-82
QA85-017 1a-86 4A-1 QA82-3 1a-83
QA91-005 1c-92 7A-1 QA82-3 1a-83
17S-1, 2.4 QA83-1 1a-83 QA82-4 1a-83
17S-1, 2.7 QA81-7 1b-81 7A-1, 2 QA80-2 1b-81
QA06-001 08 17A-1 QA84-012* 1b-84
17S-1, 2.7.1 QA83-3 1a-83 QA86-017 1b-87

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Edition/ Edition/
Location Interpretation Addenda Location Interpretation Addenda
Appendices (Cont’d) Subpart 2.51 (Cont’d)
17A-1, 3.1 QA94-003 a95 9.5 QA86-001 2a-86
QA86-019 2b-87
PART II (FORMER NQA-2)
Table 5.6 QA92-003 a95
Subpart 2.11 QA89-004 2a-90
Subpart 2.71 QA93-003 a95
Subpart 2.21
QA01-005 a02
2.2 QA85-011 2a-86
3.7.2 QA02-003 a05
3.9 QA86-010 2a-86 Subpart 2.81 QA85-008 2a-86
QA07-001 a09
5.2.1 QA88-006 2c-88
5.2.2 QA84-003 2a-85
QA86-005 2a-86 Subpart 2.151 QA99-003 a02
QA08-001 a09
6.1.2 QA85-011 2a-86
6.4.2 QA94-004 a95

Subpart 2.51 1
Subparts 2.1, 2.2, 2.5, 2.7, 2.8, 2.15 were formerly Parts 2.1, 2.2,
9 QA84-013 2a-85 2.5, 2.7, 2.8, and 2.15, respectively, in NQA-2.
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ASME NQA-1 INTERPRETATIONS

SUBJECT INDEX

Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Applicability Design Control (Cont’d)
mechanical equipment and systems QA85-008 2a-86 documentation (Cont’d)
QA00-001 a02
Audits/Surveys — Items or Services (See also Internal Audits) documentation — design analyses QA85-010 1a-86
Calibration services QA82-4 1a-83 QA86-012 1a-86
definition QA02-001 a05 final design — changes to QA82-2 1c-82
need for — supplier selection QA88-001 1c-88 plant modification — review of QA88-004 1c-88
performed by QA83-014 1b-84 QA99-02 00
qualification of a supplier QA80-2 1b-81 review and approval QA86-012 1a-86
subtier suppliers QA82-3 1a-83 review and checking QA80-12 1b-81
QA85-009 1a-86
Auditors (See Qualification of)
Design Verification QA81-10 1c-82
Basic Requirements and Supplements QA85-009 1a-86
applicability QA04-003 a05
QA86-012 1a-86
relationship between QA87-002 1b-87
documentation — design review QA84-007 1b-84
QA99-01 00
Calibration QA05-001 a05
documentation — planning QA84-014 1c-85
Certificate of Conformance procedures QA84-014 1c-85
authentication QA80-13 1b-81 reviewer QA80-12 1b-81
composed of QA84-002 1b-84
Document Control (See also Design QA81-7 1b-81
for commercial grade items QA90-010 1b-91
Control and Design Verification
Documentation)
approval of QA89-011 1b-91
Change Control QA04-001 a05
document vs. record QA82-11 1a-83
Cleaning of Fluid Systems QA85-004 1a-86
flushing QA89-004 2a-90 QA89-011 1b-91
documents in a package QA87-005 1c-88
Commercial Grade Items storage of documents QA87-005 1c-88
acceptability of QA90-010 1b-91 validation QA82-11 1a-83
quality assurance program QA89-006 1a-89 QA83-008 1b-84
requirements QA89-006 1a-89 QA89-011 1b-91
services — calibration QA89-003 1a-89
Handling, Storage, and Shipping
Computer crates and skids QA02-003 a05
system — applicability QA89-007 1a-89 radioactive materials QA84-017 1c-85
documentation of design activities QA91-002 1c-92 special handling tools and QA86-011 1b-87
in-use tests QA91-007 1c-92 equipment
levels of storage QA94-004 a95
Computer Software
verification QA93-003 a95 Housekeeping Zone
record of entry and exit QA86-013 2a-86
Control of Processes QA90-009 1b-91 size limitation QA86-013 2a-86

Design Control Inspection


applies to QA82-8 1a-83 acceptance criteria — welding QA86-001 2a-86
documentation QA86-017 1b-87 frequency — welding QA86-019 2b-87
QA91-002 1b-92 method — bolting QA84-013 2a-85

(d)
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Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Inspection, Test, and Operating Status Procurement Control (Cont’d)
control of stamps QA85-014 1a-86 purchased items — material QA80-2 1b-81
sampling QA94-005 a95 QA82-3 1a-83
vertical impact QA99-03 a02 purchased service — calibration QA82-4 1a-83
QA86-015 1b-87
Inspection and Test Personnel (See also Qualification of) QA86-014 1b-87
location QA05-002 a05
reporting — independence QA90-007 1b-91 Programmable Logic Control QA01-005 a02
QA98-001 00 Systems
QA01-003 a02
Qualification of Auditors
Installation, Inspection, and Testing experience QA82-8 1a-83
in-process tests QA92-003 a95 QA85-018 1a-86
internal audits QA81-4 1b-81
Internal Audits QA83-009 1b-84
quality assurance department QA81-4 1b-81
QA94-002 a95
QA83-009 1b-84
technical specialists QA89-010 1c-92

Lead Auditors QA83-014 1b-84


Qualification of Lead Auditors (See Lead Auditors)
certification of competency QA83-006 1b-84
QA84-008 1b-84 Qualification of Inspection and Test Personnel
QA87-006 1c-88 applicability QA89-002 1a-89
QA92-002 1c-92 certification — requirements QA88-002 1c-88
examination — development and QA84-012 1c-85 QA90-005 1b-91
administration of
QA90-006 1b-91
examination — integrity QA92-001 1c-92
determination of initial capability QA84-015 1c-85
examination — development of QA87-007 1c-88
QA87-011 1c-88
examination — objective evidence QA86-009 1a-86
education QA84-016 1c-85
maintenance of proficiency QA87-009 1c-88
experience QA86-003 1a-86
QA91-003 1c-92
physical requirements QA84-005 1b-84
QA91-004 1c-92
responsible auditing organization QA87-007 1c-88 Qualification of Nondestructive Examination Personnel (See
training QA86-009 1a-86 Nondestructive Examination Personnel)
QA89-010 1c-92
Quality Assurance Program
Marking applicability QA82-8 1a-83
metal surfaces QA86-010 2a-86 QA85-016 1a-86
QA90-005 1b-91
Nonconforming Items
assessment of QA85-012 1a-86
conditional release QA90-008 1b-91
QA86-002 1a-86
use of QA90-008 1b-91
QA90-001 1b-91
QA92-013 a95
implementation of QA86-002 1a-86
QA93-005 a95
QA99-02 00 Quality Assurance Records
applicability QA83-004 1b-84
Nondestructive Examination Personnel
QA83-008 1b-84
different edition of SNT-TC-1A QA87-004 1a-89
audit records QA86-006 1a-86
independence QA88-007 1c-88
QA90-012 1c-92
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recertification of — retested QA87-004 1a-89


classification QA81-7 1b-81
recertification of — use of ASNT QA86-018 1b-87
policy QA83-3 1a-83
use of SNT-TC-1A QA86-004 1a-86 QA84-001 1b-84
QA90-003 1b-91 QA86-008 1a-86
QA88-008 1a-89
Procurement Control QA06-001 08
document review QA81-9 1c-82 corrected information QA91-006 1c-92

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Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Quality Assurance Records (Cont’d) Records Storage Facility (Cont’d)
computer software program QA83-3 1a-83 fire protection (Cont’d)
design records QA86-017 1b-87 QA85-003 1c-85
QA94-003 a95 QA87-001 1b-87
revision to a document QA91-008 1c-92 QA87-003 1b-87
QA94-006 a95 QA91-009 a95
document vs. record QA82-11 1a-83 in-process records QA83-011 1b-84
QA85-004 1a-86 location of QA85-005 1c-85
documents in a package QA87-005 1c-88 QA86-007 1a-86
indexing/checklist QA83-1 1a-83 QA90-002 1b-91
QA84-006 1b-84 QA92-010 a95
QA84-012* 1b-84 safekeeping of QA86-007 1a-86
QA92-005 a95 QA94-007 a95
microfilmed copies QA85-013 1a-86 temporary storage QA89-009 1c-92
procedures QA83-1 1a-83
QA82-11 1a-83 Spare and Replacement Parts
procurement QA85-015 1a-86
QA85-007 1a-86
QA85-017 1a-86
Storage Area
QA86-007 1a-86
Level A requirements QA85-011 2a-86
QA89-012 1b-91
Level D requirements QA94-004 a95
special processed records QA92-008 a95
time frame for submittal of QA84-012* 1b-84
Supplier Selection
QA85-007 1a-86 services only — calibration QA86-014 1b-87
QA85-017 1a-86 QA86-015 1b-87
turnover/transfer QA83-1 1a-83
QA89-003 1a-89
QA83-004 1b-84
sharing of information QA87-008 1c-88
validation QA91-005 1c-92
source evaluation QA80-2 1b-81
QA88-001 1c-88
Receiving Inspection
items inspection QA84-003 2a-85 subtier supplier QA89-003 1a-89
QA86-005 2a-86
Surveys (See Audits/Surveys)
shipping damage inspection — QA88-006 2c-88
performed by
Traceability QA91-001 1c-92
Records (See Quality Assurance Records)
Use of NQA-1 QA79-8 1a-80
Records Storage Facility QA82-8 1a-83
dual storage facility QA85-005 1c-85 QA90-005 1b-91
QA85-007 1a-86
QA90-004 1b-91 Welding
QA92-011 a95 acceptance criteria for inspection QA86-001 2a-86
fire protection QA83-011 1b-84 in-process inspections QA86-019 2b-87
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ASME NQA-1 INTERPRETATIONS

ASME NQA-1 INTERPRETATIONS

Replies to Technical Inquiries


May 2005 Through December 2006

FOREWORD

General Information
This publication includes all of the written replies issued between the indicated dates by the
Secretarial Staff, speaking for the ASME Committee on Nuclear Quality Assurance, to inquiries
concerning interpretations of technical aspects of ASME NQA-1, Quality Assurance Requirements
for Nuclear Facility Applications.
These replies are taken verbatim from the original letters except for a few typographical
corrections and some minor editorial corrections made for the purpose of improved clarity. In
some instances, a review of the interpretation revealed a need for corrections of a technical nature;
--`,,```,,,,````-`-`,,`,,`,`,,`---

in these cases a corrected interpretation follows immediately after the original reply.
These interpretations were prepared in accordance with the accredited ASME procedures.
ASME procedures provide for reconsideration of these interpretations when or if additional
information is available which the inquirer believes might affect the interpretation. Further,
persons aggrieved by this interpretation may appeal to the cognizant ASME committee or subcom-
mittee. ASME does not “approve,” “certify,” “rate,” or “endorse” any item, construction, proprie-
tary device, or activity.
An interpretation applies to the Edition and Addenda stated in the interpretation itself or, if
none is stated, to the latest published Edition and Addenda at the time it is issued. Subsequent
revisions to the rules may have superseded the reply.
For detailed instructions on the preparation of technical inquiries, refer to the Preparation of
Technical Inquiries to the Nuclear Quality Assurance Committee (p. vi of ASME NQA-1).

Subject and Numerical Indexes


Subject and numerical indexes have been prepared to assist the user in locating interpretations
by subject matter or location in this Standard. These indexes, which are the compilation of former
NQA-1 and NQA-2 interpretations indexes, will be updated with each Edition and Addenda.

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ASME NQA-1 INTERPRETATIONS

Interpretation: QA06-001

Subject: NQA-1–1994; Basic Requirement 17 and Supplement 17S-1 As Described in Sections 2.7
and 2.7.1
Date Issued: December 20, 2006

Question (1): Does a Purchase Order (PO) issued, but not yet accepted by the supplier, meet the
criteria as a lifetime record in accordance with Section 2.7.1 of Supplement 17S-1 of NQA-1–1994?
Reply (1): No, since the terms and conditions of the PO have not been accepted by the supplier,
nothing exists to furnish evidence of the quality of items and/or activities affecting quality.
According to the definition of QA Record — “a completed document that furnishes evidence of
the quality of items and/or activities affecting quality” (ref. NQA-1–1994, Introduction,
Section 4) — the PO is not complete and does not become a record. Also, Section 1, “General,”
of Supplement 17S-1, NQA-1–1994 states, “The requirements of this Supplement apply to quality
assurance records which have been completed.” Since the PO has not been completed, Section 2.7.1
of NQA-1–1994, Supplement 17S-1 is not applicable to this PO.

Question (2): Does an issued PO that has been accepted by the supplier, but the item or service
has not been received or processed, meet the criteria as a Quality Record in accordance with
Section 2.7.1 of Supplement 17S-1 of NQA-1–1994?
Reply (2): Yes, since the terms and conditions of the PO have been accepted by the supplier,
the document furnishes evidence of the quality of items and/or activities affecting quality. This
meets the definition of a Quality Record. The classification of the record in accordance with
Section 2.7 of NQA-1–1994, Supplement 17S-1 will determine if the record is a Lifetime or
Nonpermanent Record.

Question (3): Are supplier documents required by the PO that have been received by the
purchaser and verified as meeting the PO requirements classified in accordance with Section 2.7
of Supplement 17S-1 of NQA-1–1994?
Reply (3): Yes, the documents provided by the supplier are to be classified against the criteria
of Section 2.7, once they satisfy the authentication requirements for completion.

Question (4): Is it acceptable to place a PO in temporary storage, per Section 4.4.3 of Supplement
17S-1 of NQA-1–1994, until such time as the item or service has been received by the purchaser
and verified against requirements of the PO?
Reply (4): Yes, it is acceptable, provided the procedure(s) address temporary storage of records,
including the maximum time permitted in temporary storage.
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ASME NQA-1 INTERPRETATIONS

NUMERICAL INDEX

Edition/ Edition/
Location Interpretation Addenda Location Interpretation Addenda
PART I (FORMER NQA-1) Supplements (Cont’d)
2S-1, 2.6 QA98-001 00
Introduction 2S-1, 2.8 QA84-005 1b-84
... QA82-8 1a-83
2S-2 QA86-018 1b-87
Terms and QA01-006 04 QA88-007 1c-88
definitions
QA87-004 1a-89
QA05-002 a05
2S-2, 2.1 QA86-004 1a-86
Basic Requirements 2S-3 QA81-4 1b-81
... QA87-002 1b-87 QA82-8 1a-83
BR-2 QA85-012 1a-86 QA83-009 1b-84
QA85-016 1a-86 QA89-010 1c-92
QA86-002 1a-86 QA92-002 1c-92
QA90-001 1b-91 2S-3, 2.1 QA85-018 1a-86
QA90-005 1b-91 QA87-007 1c-88
QA02-001 a05 2S-3, 3 QA83-014 1b-84
BR-3 QA82-8 1a-83 QA86-009 1a-86
QA01-005 a02 QA91-004 1c-92
BR-5 QA88-004 1c-88 2S-3, 3.4 QA84-012 1c-85
BR-6 QA81-7 1b-81 2S-3, 4.1 QA87-009 1c-88
QA85-004 1a-86 QA91-003 1c-92
BR-8 QA90-008 1b-91 2S-3, 5.2 QA84-012 1c-85
BR-10 QA04-003 a05 QA86-009 1a-86
BR-11 QA01-005 a02 QA87-007 1c-88
BR-13 QA84-017 1c-85 QA92-001 1c-92
BR-14 QA85-014 1a-86 3S-1 QA84-014 1c-85
BR-15 QA90-008 1b-91 QA91-002 1c-92
QA92-013 a95 3S-1, 2 QA82-2 1c-82
3S-1, 3 QA82-2 1c-82
BR-16 QA92-013 a95
3S-1, 3.1 QA80-12 1b-81
Supplements QA85-010 1a-86
... QA87-002 1b-87 QA86-012 1a-86
S-1 QA80-013 1b-81 3S-1, 4 QA80-12 1b-81
QA84-002 1b-84 QA81-10 1c-82
QA86-008 1a-86 QA85-009 1a-86
QA89-003 1a-89 QA86-012 1a-86
QA89-006 1a-89 3S-1, 4.2.1 QA84-007 1b-84
QA89-007 1a-89 3S-1, 4.2.3 QA81-10 1c-82
QA94-006 a95 3S-1, 5 QA88-004 1c-88
1S-1, 2.1 QA88-007 1c-88 QA99-02 00
QA90-007 1b-91 QA04-001 a05
QA01-003 a02 3S-1, 7 QA86-017 1b-87
2S-1 QA89-002 1a-89 4S-1 QA82-3 1a-83
QA90-005 1b-91 QA89-006 1a-89
QA90-006 1b-91 4S-1, 2 QA89-003 1a-89
2S-2, 2.1 QA90-003 1b-91 4S-1, 2.7 QA85-015 1a-86
2S-1, 2.5 QA84-015 1c-85 4S-1, 3 QA81-9 1c-82
QA87-011 1c-88 6S-1 QA85-004 1a-86

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Edition/ Edition/
Location Interpretation Addenda Location Interpretation Addenda
Supplements (Cont’d) Supplements (Cont’d)
6S-1 (Cont’d) 17S-1, 2.7.2 QA84-001 1b-84
QA88-004 1c-88 17S-1, 2.9 QA86-006 1a-86
6S-1, 2 QA89-011 1b-91 QA91-006 1c-92
6S-1, 3 QA91-008 1c-92 17S-1, 3.2 QA83-1 1a-83
7S-1 QA80-13 1b-81 QA84-006 1b-84
QA82-3 1a-83 QA84-012* 1b-84
QA87-007 1c-88 QA89-012 1b-91
QA89-006 1a-89 QA92-005 a95
QA90-008 1b-91 17S-1, 4 QA86-007 1a-86
7S-1, 3.1 QA80-2 1b-81 QA94-007 a95
QA86-014 1b-87 17S-1, 4.1 QA83-004 1b-84
QA86-015 1b-87 QA84-006 1b-84
QA87-008 1c-88 QA84-012* 1b-84
QA88-001 1c-88 QA85-017 1a-86
QA89-003 1a-89 17S-1, 4.2 QA92-008 a95
7S-1, 8 QA82-4 1a-83 QA92-010 a95
7S-1, 8.3 QA86-014 1b-87 17S-1, 4.4 QA83-011 1b-84
QA86-015 1b-87 QA85-003 1c-85
7S-1, 10 QA89-003 1a-89 QA87-001 1b-87
QA90-010 1b-91 17S-1, 4.4.1 QA87-003 1b-87
QA91-001 1c-92 17S-1, 4.4.3 QA85-005 1c-85
9S-1 QA90-009 1b-91 QA90-004 1b-91
10S-1, 2.1 QA88-007 1c-88 QA89-009 1c-92
QA90-007 1b-91 QA91-009 a95
QA01-003 a02 17S-1, 4.4.4 QA90-002 1b-91
10S-1, 4.2 QA94-005 a95 QA90-004 1b-91
11S-2 QA89-007 1a-89 17S-1, 5.6 QA87-005 1c-88
11S-2, 2.2 QA91-007 1c-92 17S-1, 6 QA83-004 1b-84
12S-1, 3.2 QA05-001 a05 18S-1 QA90-012 1c-92
13S-1 QA84-017 1c-85 QA94-002 a95
13S-1, 3.3 QA86-011 1b-87 18S-1, 3.2 QA81-4 1b-81
15S-1 QA90-008 1b-91 QA83-009 1b-84
QA92-013 a95 18S-1, 3.3 QA83-014 1b-84
QA93-005 a95 18S-1, 5 QA83-014 1b-84
15S-1, 4.4 QA99-02 00 18S-1, 8 QA86-006 1a-86
17S-1 QA83-008 1b-84
QA85-007 1a-86 Appendices
QA86-008 1a-86 2A-1 QA90-006 1b-91
QA86-017 1b-87 2A-1, 3 QA86-003 1a-86
QA89-008 1b-91 2A-1, 3.3.3 QA84-016 1c-85
QA92-011 a95 2A-3, 2 QA83-006 1b-84
17S-1, 2.1 QA83-008 1b-84 2A-3, 2.3 QA84-008 1b-84
17S-1, 2.2 QA82-11 1a-83 QA87-006 1c-88
QA91-005 1c-92 3A-1, 2 QA80-12 1b-81
17S-1, 2.3 QA82-11 1a-83 3A-1, 4 QA80-12 1b-81
QA85-013 1a-86 3A-1, 6 QA81-10 1c-82
QA85-017 1a-86 4A-1 QA82-3 1a-83
QA91-005 1c-92 7A-1 QA82-3 1a-83
17S-1, 2.4 QA83-1 1a-83 QA82-4 1a-83
17S-1, 2.7 QA81-7 1b-81 7A-1, 2 QA80-2 1b-81
QA06-001 08 17A-1 QA84-012* 1b-84
17S-1, 2.7.1 QA83-3 1a-83 QA86-017 1b-87

(b)
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Edition/ Edition/
Location Interpretation Addenda Location Interpretation Addenda
Appendices (Cont’d) Subpart 2.51
17A-1, 3.1 QA94-003 a95 9 QA84-013 2a-85
9.5 QA86-001 2a-86
PART II (FORMER NQA-2) QA86-019 2b-87
Table 5.6 QA92-003 a95
Subpart 2.11 QA89-004 2a-90

Subpart 2.21 Subpart 2.71 QA93-003 a95


2.2 QA85-011 2a-86 QA01-005 a02
3.7.2 QA02-003 a05
3.9 QA86-010 2a-86 Subpart 2.81 QA85-008 2a-86
5.2.1 QA88-006 2c-88
5.2.2 QA84-003 2a-85 Subpart 2.151 QA99-003 a02
QA86-005 2a-86
6.1.2 QA85-011 2a-86 1
Subparts 2.1, 2.2, 2.5, 2.7, 2.8, 2.15 were formerly Parts 2.1, 2.2,
6.4.2 QA94-004 a95 2.5, 2.7, 2.8, and 2.15, respectively, in NQA-2.

(c)
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ASME NQA-1 INTERPRETATIONS

SUBJECT INDEX

Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Applicability Design Control (Cont’d)
mechanical equipment and systems QA85-008 2a-86 documentation (Cont’d)
QA00-001 a02
Audits/Surveys — Items or Services (See also Internal Audits) documentation — design analyses QA85-010 1a-86
Calibration services QA82-4 1a-83 QA86-012 1a-86
definition QA02-001 a05 final design — changes to QA82-2 1c-82
need for — supplier selection QA88-001 1c-88 plant modification — review of QA88-004 1c-88
performed by QA83-014 1b-84 QA99-02 00
qualification of a supplier QA80-2 1b-81 review and approval QA86-012 1a-86
subtier suppliers QA82-3 1a-83 review and checking QA80-12 1b-81
QA85-009 1a-86
Auditors (See Qualification of)
Design Verification QA81-10 1c-82
Basic Requirements and Supplements QA85-009 1a-86
applicability QA04-003 a05
QA86-012 1a-86
relationship between QA87-002 1b-87
documentation — design review QA84-007 1b-84
QA99-01 00
Calibration QA05-001 a05
documentation — planning QA84-014 1c-85
Certificate of Conformance procedures QA84-014 1c-85
authentication QA80-13 1b-81 reviewer QA80-12 1b-81
composed of QA84-002 1b-84
Document Control (See also Design QA81-7 1b-81
for commercial grade items QA90-010 1b-91
Control and Design Verification
Documentation)
approval of QA89-011 1b-91
Change Control QA04-001 a05
document vs. record QA82-11 1a-83
Cleaning of Fluid Systems QA85-004 1a-86
flushing QA89-004 2a-90 QA89-011 1b-91
documents in a package QA87-005 1c-88
Commercial Grade Items storage of documents QA87-005 1c-88
acceptability of QA90-010 1b-91 validation QA82-11 1a-83
quality assurance program QA89-006 1a-89 QA83-008 1b-84
requirements QA89-006 1a-89 QA89-011 1b-91
services — calibration QA89-003 1a-89
Handling, Storage, and Shipping
Computer crates and skids QA02-003 a05
system — applicability QA89-007 1a-89 radioactive materials QA84-017 1c-85
documentation of design activities QA91-002 1c-92 special handling tools and QA86-011 1b-87
in-use tests QA91-007 1c-92 equipment
levels of storage QA94-004 a95
Computer Software
verification QA93-003 a95 Housekeeping Zone
record of entry and exit QA86-013 2a-86
Control of Processes QA90-009 1b-91 size limitation QA86-013 2a-86
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Design Control Inspection


applies to QA82-8 1a-83 acceptance criteria — welding QA86-001 2a-86
documentation QA86-017 1b-87 frequency — welding QA86-019 2b-87
QA91-002 1b-92 method — bolting QA84-013 2a-85

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Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Inspection, Test, and Operating Status Procurement Control (Cont’d)
control of stamps QA85-014 1a-86 purchased items — material QA80-2 1b-81
sampling QA94-005 a95 QA82-3 1a-83
vertical impact QA99-03 a02 purchased service — calibration QA82-4 1a-83
QA86-015 1b-87
Inspection and Test Personnel (See also Qualification of) QA86-014 1b-87
location QA05-002 a05
reporting — independence QA90-007 1b-91 Programmable Logic Control QA01-005 a02
QA98-001 00 Systems
QA01-003 a02
Qualification of Auditors
Installation, Inspection, and Testing experience QA82-8 1a-83
in-process tests QA92-003 a95 QA85-018 1a-86
internal audits QA81-4 1b-81
Internal Audits QA83-009 1b-84
quality assurance department QA81-4 1b-81
QA94-002 a95
QA83-009 1b-84
technical specialists QA89-010 1c-92

Lead Auditors QA83-014 1b-84


Qualification of Lead Auditors (See Lead Auditors)
certification of competency QA83-006 1b-84
QA84-008 1b-84 Qualification of Inspection and Test Personnel
QA87-006 1c-88 applicability QA89-002 1a-89
QA92-002 1c-92 certification — requirements QA88-002 1c-88
examination — development and QA84-012 1c-85 QA90-005 1b-91
administration of
QA90-006 1b-91
examination — integrity QA92-001 1c-92

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determination of initial capability QA84-015 1c-85
examination — development of QA87-007 1c-88
QA87-011 1c-88
examination — objective evidence QA86-009 1a-86
education QA84-016 1c-85
maintenance of proficiency QA87-009 1c-88
experience QA86-003 1a-86
QA91-003 1c-92
physical requirements QA84-005 1b-84
QA91-004 1c-92
responsible auditing organization QA87-007 1c-88 Qualification of Nondestructive Examination Personnel (See
training QA86-009 1a-86 Nondestructive Examination Personnel)
QA89-010 1c-92
Quality Assurance Program
Marking applicability QA82-8 1a-83
metal surfaces QA86-010 2a-86 QA85-016 1a-86
QA90-005 1b-91
Nonconforming Items
assessment of QA85-012 1a-86
conditional release QA90-008 1b-91
QA86-002 1a-86
use of QA90-008 1b-91
QA90-001 1b-91
QA92-013 a95
implementation of QA86-002 1a-86
QA93-005 a95
QA99-02 00 Quality Assurance Records
applicability QA83-004 1b-84
Nondestructive Examination Personnel
QA83-008 1b-84
different edition of SNT-TC-1A QA87-004 1a-89
audit records QA86-006 1a-86
independence QA88-007 1c-88
QA90-012 1c-92
recertification of — retested QA87-004 1a-89
classification QA81-7 1b-81
recertification of — use of ASNT QA86-018 1b-87
policy QA83-3 1a-83
use of SNT-TC-1A QA86-004 1a-86 QA84-001 1b-84
QA90-003 1b-91 QA86-008 1a-86
QA88-008 1a-89
Procurement Control QA06-001 08
document review QA81-9 1c-82 corrected information QA91-006 1c-92

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Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Quality Assurance Records (Cont’d) Records Storage Facility (Cont’d)
computer software program QA83-3 1a-83 fire protection (Cont’d)
design records QA86-017 1b-87 QA85-003 1c-85
QA94-003 a95 QA87-001 1b-87
revision to a document QA91-008 1c-92 QA87-003 1b-87

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QA94-006 a95 QA91-009 a95
document vs. record QA82-11 1a-83 in-process records QA83-011 1b-84
QA85-004 1a-86 location of QA85-005 1c-85
documents in a package QA87-005 1c-88 QA86-007 1a-86
indexing/checklist QA83-1 1a-83 QA90-002 1b-91
QA84-006 1b-84 QA92-010 a95
QA84-012* 1b-84 safekeeping of QA86-007 1a-86
QA92-005 a95 QA94-007 a95
microfilmed copies QA85-013 1a-86 temporary storage QA89-009 1c-92
procedures QA83-1 1a-83
QA82-11 1a-83 Spare and Replacement Parts
procurement QA85-015 1a-86
QA85-007 1a-86
QA85-017 1a-86
Storage Area
QA86-007 1a-86
Level A requirements QA85-011 2a-86
QA89-012 1b-91
Level D requirements QA94-004 a95
special processed records QA92-008 a95
time frame for submittal of QA84-012* 1b-84
Supplier Selection
QA85-007 1a-86 services only — calibration QA86-014 1b-87
QA85-017 1a-86 QA86-015 1b-87
turnover/transfer QA83-1 1a-83
QA89-003 1a-89
QA83-004 1b-84
sharing of information QA87-008 1c-88
validation QA91-005 1c-92
source evaluation QA80-2 1b-81
QA88-001 1c-88
Receiving Inspection
items inspection QA84-003 2a-85 subtier supplier QA89-003 1a-89
QA86-005 2a-86
Surveys (See Audits/Surveys)
shipping damage inspection — QA88-006 2c-88
performed by
Traceability QA91-001 1c-92
Records (See Quality Assurance Records)
Use of NQA-1 QA79-8 1a-80
Records Storage Facility QA82-8 1a-83
dual storage facility QA85-005 1c-85 QA90-005 1b-91
QA85-007 1a-86
QA90-004 1b-91 Welding
QA92-011 a95 acceptance criteria for inspection QA86-001 2a-86
fire protection QA83-011 1b-84 in-process inspections QA86-019 2b-87

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ASME NQA-1a–2005 INTERPRETATIONS

Replies to Technical Inquiries


August 1999 through April 2005

FOREWORD

General Information
This publication includes all of the written replies issued between the indicated dates by the
Secretarial Staff, speaking for the ASME Committee on Nuclear Quality Assurance, to inquiries
concerning interpretations of technical aspects of ASME NQA-1, Quality Assurance Requirements
for Nuclear Facility Applications.
These replies are taken verbatim from the original letters except for a few typographical
corrections and some minor editorial corrections made for the purpose of improved clarity. In
some instances, a review of the interpretation revealed a need for corrections of a technical nature;
in these cases a corrected interpretation follows immediately after the original reply.
These interpretations were prepared in accordance with the accredited ASME procedures.
ASME procedures provide for reconsideration of these interpretations when or if additional
information is available which the inquirer believes might affect the interpretation. Further,
persons aggrieved by this interpretation may appeal to the cognizant ASME committee or subcom-
mittee. ASME does not “approve,” “certify,” “rate,” or “endorse” any item, construction, proprie-
tary device, or activity.
An interpretation applies to the Edition and Addenda stated in the interpretation itself or, if
none is stated, to the latest published Edition and Addenda at the time it is issued. Subsequent
revisions to the rules may have superseded the reply.
For detailed instructions on the preparation of technical inquiries, refer to the Preparation of
Technical Inquiries to the Nuclear Quality Assurance Committee (p. vi of ASME NQA-1).

Subject and Numerical Indexes


Subject and numerical indexes have been prepared to assist the user in locating interpretations
by subject matter or location in this Standard. These indexes, which are the compilation of former
NQA-1 and NQA-2 interpretations indexes, will be updated with each Edition and Addenda.

I-1
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I-2
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QA02-001, QA02-003, QA04-001, QA04-003 ASME NQA-1a–2005

Interpretation: QA02-001

Subject: NQA-1–2000; Requirement 2, Para. 303.3 — Audit Participation


Date Issued: August 13, 2002

Question: Can an activity that meets all aspects of the definition of an “audit” but are identified
or described using a different term be used to meet the requirements of NQA-1-2000, Requirement
2, para. 303.3?
Reply: Yes, provided the activity is consistent with the definition of audit, contained in NQA-
1-2000, and meets the applicable requirements (or provisions) of Requirement 18.

Interpretation: QA02-003

Subject: NQA-1–1994; Subpart 2.2, Para. 3.7.2


Date Issued: November 20, 2003

Question: Does para. 3.7.2 require equipment in excess of 500 lb to be crated and skid-mounted?
Reply: No. Crates and/or skids, as appropriate, are acceptable.

Interpretation: QA04-001

Subject: NQA-1–1989; Supplement 3S-1, Section 5, Change Control


Date Issued: April 26, 2005

Question: Does Section 5 allow for the design organization to issue changes to the design
without obtaining the review and approval of all of the original groups?
Reply: Yes. Section 5 requires that “Changes shall be approved by the same affected groups
or organizations which reviewed and approved the original design documents; except where an
organization which originally was responsible for approving a particular design document is no
longer responsible, then the Owner or his designee shall designate a new responsible organization
which could be the Owner’s engineering organization.”

Interpretation: QA04-003

Subject: NQA-1–1989; Application of Basic Requirement 10 to Special Processes


Date Issued: April 26, 2005

Question: For Requirement 9, was it the intent of the ASME Committee to apply Basic Require-
ment 10, Inspection, to NDE Special Processes to ensure their independence?
Reply: No. The organizational structure and responsibility assignment to achieve and verify
quality is identified in NQA-1–1989 Basic Requirement 1, Organization and Section 2.1, Supple-
ment 1S-1, Supplementary Requirements for Organization.

I-5
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ASME NQA-1a–2005 QA05-001, QA05-002

Interpretation: QA05-001

Subject: NQA-1–1989; Supplement 12S-1, Para. 3.2, Control


Date Issued: April 6, 2005

Question (1): Does the term “out-of-calibration” refer solely to equipment found to be outside
the acceptable accuracy range?
Reply (1): No. The term “out-of-calibration” not only refers to measuring and test equipment
(M&TE) found to be outside the established accuracy range, but also to M&TE for which the

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established calibration interval has expired.

Question (2): The requirements state that out-of-calibration devices shall be tagged or segre-
gated. Does the expired due date listed on the calibration sticker meet the out-of-calibration
tagging requirements?
Reply (2): No. A standrad calibration status does not satisfy the requirement that out-of-
calibration M&TE be tagged or segregated, or both.

Question (3): The guidelines state that out-of-calibration devices may not be used until they
have been calibrated. May equipment that has exceeded its calibration due date interval be used
for informational purposes only (not supporting qualification testing or qualified processes)
without being recalibrated?
Reply (3): NQA-1–1989 applies to quality related items and activities. This question falls outside
the scope of this Standard.

Interpretation: QA05-002

Subject: NQA-1–2004; Part I, Introduction, Para. 400, Terms and Definitions


Date Issued: April 6, 2005

Question: In some cases reexamination and/or retest of reworked items may need to be performed
at a different location, and by different procedures, instrumentation, personnel and/or organiza-
tions. Is this permissible as long as the item meets the original acceptance criteria?
Reply: Yes. The use of different inspection/test personnel working at a different locality is
permissible, provided
(a) the personnel performing the reexamination meet the specified qualification requirements
(b) the reworked items meet the original acceptance criteria
(c) acceptance is determined using the original test or inspection procedures, unless alternate
procedures have been technically evaluated and approved by authorized personnel

I-6
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Cumulative Index — Interpretations 1a-81/2a-85–a05 ASME NQA-1a–2005

NUMERICAL INDEX

Edition/ Edition/ Edition/


Location Interpretation Addenda Location Interpretation Addenda Location Interpretation Addenda
PART I (FORMER NQA-1) Supplements (Cont’d) Supplements (Cont’d)
2S-1, 2.6 QA98-001 00 6S-1 (Cont’d)
Introduction 2S-1, 2.8 QA84-005 1b-84 QA88-004 1c-88
... QA82-8 1a-83 6S-1, 2 QA89-011 1b-91
2S-2 QA86-018 1b-87
Terms and QA01-006 04 6S-1, 3 QA91-008 1c-92
QA88-007 1c-88
definitions 7S-1 QA80-13 1b-81
QA87-004 1a-89
QA05-002 a05 QA82-3 1a-83
2S-2, 2.1 QA86-004 1a-86
2S-3 QA81-4 1b-81 QA87-007 1c-88
Basic Requirements
... QA87-002 1b-87 QA82-8 1a-83 QA89-006 1a-89
BR-2 QA85-012 1a-86 QA83-009 1b-84 QA90-008 1b-91
QA85-016 1a-86 QA89-010 1c-92 7S-1, 3.1 QA80-2 1b-81
QA86-002 1a-86 QA92-002 1c-92 QA86-014 1b-87
QA90-001 1b-91 2S-3, 2.1 QA85-018 1a-86 QA86-015 1b-87
QA90-005 1b-91 QA87-007 1c-88 QA87-008 1c-88
QA02-001 a05 2S-3, 3 QA83-014 1b-84 QA88-001 1c-88
BR-3 QA82-8 1a-83 QA86-009 1a-86 QA89-003 1a-89
QA01-005 a02 QA91-004 1c-92 7S-1, 8 QA82-4 1a-83
BR-5 QA88-004 1c-88 2S-3, 3.4 QA84-012 1c-85 7S-1, 8.3 QA86-014 1b-87
BR-6 QA81-7 1b-81 2S-3, 4.1 QA87-009 1c-88 QA86-015 1b-87
QA85-004 1a-86 QA91-003 1c-92 7S-1, 10 QA89-003 1a-89
BR-8 QA90-008 1b-91 2S-3, 5.2 QA84-012 1c-85 QA90-010 1b-91
BR-10 QA04-003 a05 QA86-009 1a-86 QA91-001 1c-92
BR-11 QA01-005 a02 QA87-007 1c-88 9S-1 QA90-009 1b-91
BR-13 QA84-017 1c-85 QA92-001 1c-92 10S-1, 2.1 QA88-007 1c-88
BR-14 QA85-014 1a-86 3S-1 QA84-014 1c-85 QA90-007 1b-91
BR-15 QA90-008 1b-91 QA91-002 1c-92 QA01-003 a02
3S-1, 2 QA82-2 1c-82 10S-1, 4.2 QA94-005 a95
QA92-013 a95
3S-1, 3 QA82-2 1c-82 11S-2 QA89-007 1a-89
BR-16 QA92-013 a95
3S-1, 3.1 QA80-12 1b-81 11S-2, 2.2 QA91-007 1c-92
Supplements QA85-010 1a-86 12S-1, 3.2 QA05-001 a05
... QA87-002 1b-87 QA86-012 1a-86 13S-1 QA84-017 1c-85
S-1 QA80-013 1b-81 3S-1, 4 QA80-12 1b-81 13S-1, 3.3 QA86-011 1b-87
QA84-002 1b-84 QA81-10 1c-82 15S-1 QA90-008 1b-91
QA86-008 1a-86 QA85-009 1a-86 QA92-013 a95
QA89-003 1a-89 QA86-012 1a-86 QA93-005 a95
QA89-006 1a-89 3S-1, 4.2.1 QA84-007 1b-84 15S-1, 4.4 QA99-02 00
QA89-007 1a-89 3S-1, 4.2.3 QA81-10 1c-82 17S-1 QA83-008 1b-84
QA94-006 a95 3S-1, 5 QA88-004 1c-88 QA85-007 1a-86
1S-1, 2.1 QA88-007 1c-88 QA99-02 00 QA86-008 1a-86
QA90-007 1b-91 QA04-001 a05 QA86-017 1b-87
QA01-003 a02 3S-1, 7 QA86-017 1b-87 QA89-008 1b-91
2S-1 QA89-002 1a-89 4S-1 QA82-3 1a-83 QA92-011 a95
QA90-005 1b-91 QA89-006 1a-89 17S-1, 2.1 QA83-008 1b-84
QA90-006 1b-91 4S-1, 2 QA89-003 1a-89 17S-1, 2.2 QA82-11 1a-83
2S-2, 2.1 QA90-003 1b-91 4S-1, 2.7 QA85-015 1a-86 QA91-005 1c-92
2S-1, 2.5 QA84-015 1c-85 4S-1, 3 QA81-9 1c-82 17S-1, 2.3 QA82-11 1a-83
QA87-011 1c-88 6S-1 QA85-004 1a-86 QA85-013 1a-86

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(a)
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ASME NQA-1a–2005 Cumulative Index — Interpretations 1a-81/2a-85–a05

Edition/ Edition/ Edition/


Location Interpretation Addenda Location Interpretation Addenda Location Interpretation Addenda
Supplements (Cont’d) Supplements (Cont’d) PART II (FORMER NQA-2)
17S-1, 2.3 (Cont’d) 17S-1, 4.4.3 (Cont’d)
QA85-017 1a-86 QA91-009 a95 Subpart 2.11 QA89-004 2a-90
QA91-005 1c-92 17S-1, 4.4.4 QA90-002 1b-91
17S-1, 2.4 QA83-1 1a-83 QA90-004 1b-91 Subpart 2.21
17S-1, 2.7 QA81-7 1b-81 17S-1, 5.6 QA87-005 1c-88 2.2 QA85-011 2a-86
17S-1, 2.7.1 QA83-3 1a-83 17S-1, 6 QA83-004 1b-84 3.7.2 QA02-003 a05
17S-1, 2.7.2 QA84-001 1b-84 18S-1 QA90-012 1c-92
3.9 QA86-010 2a-86
17S-1, 2.9 QA86-006 1a-86 QA94-002 a95
5.2.1 QA88-006 2c-88
QA91-006 1c-92 18S-1, 3.2 QA81-4 1b-81
5.2.2 QA84-003 2a-85
QA83-009 1b-84
17S-1, 3.2 QA83-1 1a-83 QA86-005 2a-86
18S-1, 3.3 QA83-014 1b-84
QA84-006 1b-84 6.1.2 QA85-011 2a-86
18S-1, 5 QA83-014 1b-84
QA84-012* 1b-84 6.4.2 QA94-004 a95
18S-1, 8 QA86-006 1a-86
QA89-012 1b-91
QA92-005 a95 Appendices
Subpart 2.51
17S-1, 4 QA86-007 1a-86 2A-1 QA90-006 1b-91
9 QA84-013 2a-85
QA94-007 a95 2A-1, 3 QA86-003 1a-86
9.5 QA86-001 2a-86
2A-1, 3.3.3 QA84-016 1c-85
17S-1, 4.1 QA83-004 1b-84 QA86-019 2b-87
2A-3, 2 QA83-006 1b-84
QA84-006 1b-84 Table 5.6 QA92-003 a95
2A-3, 2.3 QA84-008 1b-84
QA84-012* 1b-84
QA87-006 1c-88
QA85-017 1a-86 Subpart 2.71 QA93-003 a95
3A-1, 2 QA80-12 1b-81
17S-1, 4.2 QA92-008 a95 QA01-005 a02
3A-1, 4 QA80-12 1b-81
QA92-010 a95
3A-1, 6 QA81-10 1c-82
17S-1, 4.4 QA83-011 1b-84 Subpart 2.81 QA85-008 2a-86
4A-1 QA82-3 1a-83
QA85-003 1c-85 7A-1 QA82-3 1a-83
QA87-001 1b-87 QA82-4 1a-83 Subpart 2.151 QA99-003 a02
17S-1, 4.4.1 QA87-003 1b-87 7A-1, 2 QA80-2 1b-81
17S-1, 4.4.3 QA85-005 1c-85 17A-1 QA84-012* 1b-84 1
Subparts 2.1, 2.2, 2.5, 2.7, 2.8, 2.15 were
QA90-004 1b-91 QA86-017 1b-87 formerly Parts 2.1, 2.2, 2.5, 2.7, 2.8, and 2.15,
QA89-009 1c-92 17A-1, 3.1 QA94-003 a95 respectively, in NQA-2.
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Cumulative Index — Interpretations 1a-81/2a-85–a05 ASME NQA-1a–2005

SUBJECT INDEX

Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Design Control (Cont’d)
Applicability documentation (Cont’d)
mechanical equipment and systems QA85-008 2a-86 QA91-002 1b-92
QA00-001 a02
Audits/Surveys — Items or Services (See also Internal Audits) documentation — design analyses QA85-010 1a-86
Calibration services QA82-4 1a-83 QA86-012 1a-86
definition QA02-001 a05 final design — changes to QA82-2 1c-82
need for — supplier selection QA88-001 1c-88 plant modification — review of QA88-004 1c-88
performed by QA83-014 1b-84 QA99-02 00
qualification of a supplier QA80-2 1b-81 review and approval QA86-012 1a-86
subtier suppliers QA82-3 1a-83 review and checking QA80-12 1b-81
QA85-009 1a-86
Auditors (See Qualification of)
Design Verification QA81-10 1c-82
Basic Requirements and Supplements QA85-009 1a-86
applicability QA04-003 a05
QA86-012 1a-86
relationship between QA87-002 1b-87
documentation — design review QA84-007 1b-84
QA99-01 00
Calibration QA05-001 a05
documentation — planning QA84-014 1c-85
Certificate of Conformance procedures QA84-014 1c-85
authentication QA80-13 1b-81 reviewer QA80-12 1b-81
composed of QA84-002 1b-84
Document Control (See also Design QA81-7 1b-81
for commercial grade items QA90-010 1b-91
Control and Design Verification
Documentation)
approval of QA89-011 1b-91
Change Control QA04-001 a05
document vs. record QA82-11 1a-83
Cleaning of Fluid Systems QA85-004 1a-86

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flushing QA89-004 2a-90 QA89-011 1b-91
documents in a package QA87-005 1c-88
Commercial Grade Items storage of documents QA87-005 1c-88
acceptability of QA90-010 1b-91 validation QA82-11 1a-83
quality assurance program QA89-006 1a-89 QA83-008 1b-84
requirements QA89-006 1a-89 QA89-011 1b-91
services — calibration QA89-003 1a-89
Handling, Storage, and Shipping
Computer crates and skids QA02-003 a05
system — applicability QA89-007 1a-89 radioactive materials QA84-017 1c-85
documentation of design activities QA91-002 1c-92 special handling tools and QA86-011 1b-87
in-use tests QA91-007 1c-92 equipment
levels of storage QA94-004 a95
Computer Software
verification QA93-003 a95 Housekeeping Zone
record of entry and exit QA86-013 2a-86
Control of Processes QA90-009 1b-91 size limitation QA86-013 2a-86

Design Control Inspection


applies to QA82-8 1a-83 acceptance criteria — welding QA86-001 2a-86
documentation QA86-017 1b-87 frequency — welding QA86-019 2b-87

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ASME NQA-1a–2005 Cumulative Index — Interpretations 1a-81/2a-85–a05

Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Inspection (Cont’d) Nondestructive Examination Personnel (Cont’d)
method — bolting QA84-013 2a-85 use of SNT-TC-1A (Cont’d)
QA90-003 1b-91
Inspection, Test, and Operating Status
control of stamps QA85-014 1a-86 Procurement Control
sampling QA94-005 a95 document review QA81-9 1c-82
vertical impact QA99-03 a02 purchased items — material QA80-2 1b-81
QA82-3 1a-83
Inspection and Test Personnel (See also Qualification of) purchased service — calibration QA82-4 1a-83
location QA05-002 a05 QA86-015 1b-87
reporting — independence QA90-007 1b-91 QA86-014 1b-87
QA98-001 00
QA01-003 a02 Programmable Logic Control QA01-005 a02
Systems
Installation, Inspection, and Testing
in-process tests QA92-003 a95 Qualification of Auditors
experience QA82-8 1a-83
Internal Audits QA85-018 1a-86
quality assurance department QA81-4 1b-81 internal audits QA81-4 1b-81
QA83-009 1b-84 QA83-009 1b-84
QA94-002 a95
Lead Auditors QA83-014 1b-84 technical specialists QA89-010 1c-92
certification of competency QA83-006 1b-84
QA84-008 1b-84 Qualification of Lead Auditors (See Lead Auditors)
QA87-006 1c-88
QA92-002 1c-92 Qualification of Inspection and Test Personnel
examination — development and QA84-012 1c-85 applicability QA89-002 1a-89
administration of certification — requirements QA88-002 1c-88
examination — integrity QA92-001 1c-92 QA90-005 1b-91
examination — development of QA87-007 1c-88 QA90-006 1b-91
examination — objective evidence QA86-009 1a-86 determination of initial capability QA84-015 1c-85
maintenance of proficiency QA87-009 1c-88 QA87-011 1c-88
QA91-003 1c-92 education QA84-016 1c-85
QA91-004 1c-92 experience QA86-003 1a-86
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responsible auditing organization QA87-007 1c-88 physical requirements QA84-005 1b-84


training QA86-009 1a-86
QA89-010 1c-92 Qualification of Nondestructive Examination Personnel (See
Nondestructive Examination Personnel)
Marking
metal surfaces QA86-010 2a-86 Quality Assurance Program
applicability QA82-8 1a-83
Nonconforming Items QA85-016 1a-86
conditional release QA90-008 1b-91 QA90-005 1b-91
use of QA90-008 1b-91 assessment of QA85-012 1a-86
QA92-013 a95 QA86-002 1a-86
QA93-005 a95 QA90-001 1b-91
QA99-02 00 implementation of QA86-002 1a-86

Nondestructive Examination Personnel Quality Assurance Records


different edition of SNT-TC-1A QA87-004 1a-89 applicability QA83-004 1b-84
independence QA88-007 1c-88 QA83-008 1b-84
recertification of — retested QA87-004 1a-89 audit records QA86-006 1a-86
recertification of — use of ASNT QA86-018 1b-87 QA90-012 1c-92
policy classification QA81-7 1b-81
use of SNT-TC-1A QA86-004 1a-86 QA83-3 1a-83

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Cumulative Index — Interpretations 1a-81/2a-85–a05 ASME NQA-1a–2005

Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Quality Assurance Records (Cont’d) Records Storage Facility (Cont’d)
classification (Cont’d) dual storage facility (Cont’d)
QA84-001 1b-84 QA92-011 a95
QA86-008 1a-86 fire protection QA83-011 1b-84
QA88-008 1a-89 QA85-003 1c-85
corrected information QA91-006 1c-92 QA87-001 1b-87
computer software program QA83-3 1a-83 QA87-003 1b-87
design records QA86-017 1b-87 QA91-009 a95
QA94-003 a95 in-process records QA83-011 1b-84
revision to a document QA91-008 1c-92 location of QA85-005 1c-85
QA94-006 a95 QA86-007 1a-86
document vs. record QA82-11 1a-83 QA90-002 1b-91
QA85-004 1a-86 QA92-010 a95
documents in a package QA87-005 1c-88 safekeeping of QA86-007 1a-86
indexing/checklist QA83-1 1a-83 QA94-007 a95
QA84-006 1b-84 temporary storage QA89-009 1c-92
QA84-012* 1b-84
QA92-005 a95 Spare and Replacement Parts
microfilmed copies QA85-013 1a-86 procurement QA85-015 1a-86
procedures QA83-1 1a-83
QA82-11 1a-83 Storage Area
QA85-007 1a-86 Level A requirements QA85-011 2a-86
QA85-017 1a-86 Level D requirements QA94-004 a95
QA86-007 1a-86
QA89-012 1b-91 Supplier Selection
special processed records QA92-008 a95 services only — calibration QA86-014 1b-87
time frame for submittal of QA84-012* 1b-84 QA86-015 1b-87
QA85-007 1a-86 QA89-003 1a-89
QA85-017 1a-86 sharing of information QA87-008 1c-88
turnover/transfer QA83-1 1a-83 source evaluation QA80-2 1b-81
QA83-004 1b-84 QA88-001 1c-88
validation QA91-005 1c-92 subtier supplier QA89-003 1a-89

Receiving Inspection Surveys (See Audits/Surveys)


items inspection QA84-003 2a-85
QA86-005 2a-86 Traceability QA91-001 1c-92
shipping damage inspection — QA88-006 2c-88
performed by
Use of NQA-1 QA79-8 1a-80
Records (See Quality Assurance Records) QA82-8 1a-83
QA90-005 1b-91
Records Storage Facility
dual storage facility QA85-005 1c-85 Welding
QA85-007 1a-86 acceptance criteria for inspection QA86-001 2a-86
QA90-004 1b-91 in-process inspections QA86-019 2b-87

--`,,```,,,,````-`-`,,`,,`,`,,`---
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ASME NQA-1–2004 INTERPRETATIONS

Replies to Technical Inquiries


August 1999 through March 2002

FOREWORD

General Information
This publication includes all of the written replies issued between the indicated dates by the
Secretarial Staff, speaking for the ASME Committee on Nuclear Quality Assurance, to inquiries
concerning interpretations of technical aspects of ASME NQA-1, Quality Assurance Requirements
for Nuclear Facility Applications.
These replies are taken verbatim from the original letters except for a few typographical
corrections and some minor editorial corrections made for the purpose of improved clarity. In
some instances, a review of the interpretation revealed a need for corrections of a technical nature;
in these cases a corrected interpretation follows immediately after the original reply.
These interpretations were prepared in accordance with the accredited ASME procedures.
ASME procedures provide for reconsideration of these interpretations when or if additional
information is available which the inquirer believes might affect the interpretation. Further,
persons aggrieved by this interpretation may appeal to the cognizant ASME committee or subcom-
mittee. ASME does not “approve,” “certify,” “rate,” or “endorse” any item, construction, proprie-
tary device, or activity.
An interpretation applies to the Edition and Addenda stated in the interpretation itself or, if
none is stated, to the latest published Edition and Addenda at the time it is issued. Subsequent
revisions to the rules may have superseded the reply.
For detailed instructions on the preparation of technical inquiries, refer to the Preparation of
Technical Inquiries to the Nuclear Quality Assurance Committee (p. vi of ASME NQA-1).

Subject and Numerical Indexes


Subject and numerical indexes have been prepared to assist the user in locating interpretations
by subject matter or location in this Standard. These indexes, which are the compilation of former
NQA-1 and NQA-2 interpretations indexes, will be updated with each Edition and Addenda.

I-1
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I-2
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QA01-006 ASME NQA-1–2004

Interpretation: QA01-006

Subject: ASME NQA-1–1994, Part I — Terms and Definitions


Date Issued: December 4, 2001

Question: May textual and/or pictorial documents be on other than paper media, such as
magnetic media?
Reply: Yes. The definition of document in the ASME NQA-1–1994 edition has been revised in
the ASME NQA-1–2000 edition to eliminate the term any written or pictorial information, and
provides more descriptive details to electronic records.
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I-3
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I-4
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Cumulative Index — Interpretations 1a-81/2a-85–04 ASME NQA-1–2004

NUMERICAL INDEX

Edition/ Edition/ Edition/


Location Interpretation Addenda Location Interpretation Addenda Location Interpretation Addenda
PART I (FORMER NQA-1) Supplements (Cont’d) Supplements (Cont’d)
2S-3 (Cont’d) 7S-1, 3.1 (Cont’d)
Introduction QA82-8 1a-83 QA87-008 1c-88
... QA82-8 1a-83 QA83-009 1b-84 QA88-001 1c-88
Terms and QA01-006 04 QA89-010 1c-92 QA89-003 1a-89
definitions QA92-002 1c-92 7S-1, 8 QA82-4 1a-83
2S-3, 2.1 QA85-018 1a-86 7S-1, 8.3 QA86-014 1b-87
Basic Requirements
QA87-007 1c-88 QA86-015 1b-87
... QA87-002 1b-87
2S-3, 3 QA83-014 1b-84 7S-1, 10 QA89-003 1a-89
BR-2 QA85-012 1a-86
QA86-009 1a-86 QA90-010 1b-91
QA85-016 1a-86
QA91-004 1c-92 QA91-001 1c-92
QA86-002 1a-86
2S-3, 3.4 QA84-012 1c-85 9S-1 QA90-009 1b-91
QA90-001 1b-91
2S-3, 4.1 QA87-009 1c-88 10S-1, 2.1 QA88-007 1c-88
QA90-005 1b-91
QA91-003 1c-92 QA90-007 1b-91
BR-3 QA82-8 1a-83
2S-3, 5.2 QA84-012 1c-85 QA01-003 a02
QA01-005 a02
QA86-009 1a-86 10S-1, 4.2 QA94-005 a95
BR-5 QA88-004 1c-88
QA87-007 1c-88 11S-2 QA89-007 1a-89
BR-6 QA81-7 1b-81
QA92-001 1c-92 11S-2, 2.2 QA91-007 1c-92
QA85-004 1a-86
3S-1 QA84-014 1c-85 13S-1 QA84-017 1c-85
BR-8 QA90-008 1b-91
QA91-002 1c-92 13S-1, 3.3 QA86-011 1b-87
BR-11 QA01-005 a02
3S-1, 2 QA82-2 1c-82 15S-1 QA90-008 1b-91
BR-13 QA84-017 1c-85
3S-1, 3 QA82-2 1c-82 QA92-013 a95
BR-14 QA85-014 1a-86
3S-1, 3.1 QA80-12 1b-81 QA93-005 a95
BR-15 QA90-008 1b-91
QA85-010 1a-86 15S-1, 4.4 QA99-02 00
QA92-013 a95
BR-16 QA92-013 a95 QA86-012 1a-86 17S-1 QA83-008 1b-84
3S-1, 4 QA80-12 1b-81 QA85-007 1a-86
Supplements QA81-10 1c-82 QA86-008 1a-86
... QA87-002 1b-87 QA85-009 1a-86 QA86-017 1b-87

--`,,```,,,,````-`-`,,`,,`,`,,`---
S-1 QA80-013 1b-81 QA86-012 1a-86 QA89-008 1b-91
QA84-002 1b-84 3S-1, 4.2.1 QA84-007 1b-84 QA92-011 a95
QA86-008 1a-86 3S-1, 4.2.3 QA81-10 1c-82 17S-1, 2.1 QA83-008 1b-84
QA89-003 1a-89 3S-1, 5 QA88-004 1c-88 17S-1, 2.2 QA82-11 1a-83
QA89-006 1a-89 QA99-02 00 QA91-005 1c-92
QA89-007 1a-89 3S-1, 7 QA86-017 1b-87 17S-1, 2.3 QA82-11 1a-83
QA94-006 a95 4S-1 QA82-3 1a-83 QA85-013 1a-86
1S-1, 2.1 QA88-007 1c-88 QA89-006 1a-89 QA85-017 1a-86
QA90-007 1b-91 4S-1, 2 QA89-003 1a-89 QA91-005 1c-92
QA01-003 a02 4S-1, 2.7 QA85-015 1a-86 17S-1, 2.4 QA83-1 1a-83
2S-1 QA89-002 1a-89 4S-1, 3 QA81-9 1c-82 17S-1, 2.7 QA81-7 1b-81
QA90-005 1b-91 6S-1 QA85-004 1a-86 17S-1, 2.7.1 QA83-3 1a-83
QA90-006 1b-91 QA88-004 1c-88 17S-1, 2.7.2 QA84-001 1b-84
2S-2, 2.1 QA90-003 1b-91 6S-1, 2 QA89-011 1b-91 17S-1, 2.9 QA86-006 1a-86
2S-1, 2.5 QA84-015 1c-85 6S-1, 3 QA91-008 1c-92 QA91-006 1c-92
QA87-011 1c-88 7S-1 QA80-13 1b-81 17S-1, 3.2 QA83-1 1a-83
2S-1, 2.6 QA98-001 00 QA82-3 1a-83 QA84-006 1b-84
2S-1, 2.8 QA84-005 1b-84 QA87-007 1c-88 QA84-012* 1b-84
2S-2 QA86-018 1b-87 QA89-006 1a-89 QA89-012 1b-91
QA88-007 1c-88 QA90-008 1b-91 QA92-005 a95
QA87-004 1a-89 7S-1, 3.1 QA80-2 1b-81 17S-1, 4 QA86-007 1a-86
2S-2, 2.1 QA86-004 1a-86 QA86-014 1b-87 QA94-007 a95
2S-3 QA81-4 1b-81 QA86-015 1b-87 17S-1, 4.1 QA83-004 1b-84

(a)
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ASME NQA-1–2004 Cumulative Index — Interpretations 1a-81/2a-85–04

Edition/ Edition/ Edition/


Location Interpretation Addenda Location Interpretation Addenda Location Interpretation Addenda
Supplements (Cont’d) Appendices Subpart 2.21 (Cont’d)
17S-1, 4.1 (Cont’d) 2A-1 QA90-006 1b-91 5.2.2 (Cont’d)
QA84-006 1b-84 2A-1, 3 QA86-003 1a-86 QA86-005 2a-86
QA84-012* 1b-84 2A-1, 3.3.3 QA84-016 1c-85 6.1.2 QA85-011 2a-86
QA85-017 1a-86 2A-3, 2 QA83-006 1b-84 6.4.2 QA94-004 a95
17S-1, 4.2 QA92-008 a95 2A-3, 2.3 QA84-008 1b-84
QA92-010 a95 QA87-006 1c-88
3A-1, 2 QA80-12 1b-81 Subpart 2.51
17S-1, 4.4 QA83-011 1b-84
3A-1, 4 QA80-12 1b-81 9 QA84-013 2a-85
QA85-003 1c-85
QA87-001 1b-87 3A-1, 6 QA81-10 1c-82 9.5 QA86-001 2a-86
17S-1, 4.4.1 QA87-003 1b-87 4A-1 QA82-3 1a-83 QA86-019 2b-87
17S-1, 4.4.3 QA85-005 1c-85 7A-1 QA82-3 1a-83 Table 5.6 QA92-003 a95
QA90-004 1b-91 QA82-4 1a-83
QA89-009 1c-92 7A-1, 2 QA80-2 1b-81
Subpart 2.71 QA93-003 a95
QA91-009 a95 17A-1 QA84-012* 1b-84
QA01-005 a02
17S-1, 4.4.4 QA90-002 1b-91 QA86-017 1b-87
QA90-004 1b-91 17A-1, 3.1 QA94-003 a95
17S-1, 5.6 QA87-005 1c-88 Subpart 2.81 QA85-008 2a-86
PART II (FORMER NQA-2)
17S-1, 6 QA83-004 1b-84
18S-1 QA90-012 1c-92 Subpart 2.11 QA89-004 2a-90 Subpart 2.151 QA99-003 a02
QA94-002 a95
18S-1, 3.2 QA81-4 1b-81 Subpart 2.21
QA83-009 1b-84 2.2 QA85-011 2a-86
18S-1, 3.3 QA83-014 1b-84 3.9 QA86-010 2a-86 1
Subparts 2.1, 2.2, 2.5, 2.7, 2.8, 2.15 were
18S-1, 5 QA83-014 1b-84 5.2.1 QA88-006 2c-88 formerly Parts 2.1, 2.2, 2.5, 2.7, 2.8, and 2.15,
18S-1, 8 QA86-006 1a-86 5.2.2 QA84-003 2a-85 respectively, in NQA-2.

--`,,```,,,,````-`-`,,`,,`,`,,`---

(b)
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Cumulative Index — Interpretations 1a-81/2a-85–04 ASME NQA-1–2004

SUBJECT INDEX

Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Design Control (Cont’d)
Applicability review and checking (Cont’d)
mechanical equipment and systems QA85-008 2a-86 QA85-009 1a-86

Audits/Surveys — Items or Services (See also Internal Audits) Design Verification QA81-10 1c-82
Calibration services QA82-4 1a-83 QA85-009 1a-86
need for — supplier selection QA88-001 1c-88 QA86-012 1a-86
performed by QA83-014 1b-84 documentation — design review QA84-007 1b-84
qualification of a supplier QA80-2 1b-81 QA99-01 00
subtier suppliers QA82-3 1a-83 documentation — planning QA84-014 1c-85

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procedures QA84-014 1c-85
Auditors (See Qualification of) reviewer QA80-12 1b-81

Basic Requirements and Supplements Document Control (See also Design QA81-7 1b-81
relationship between QA87-002 1b-87 Control and Design Verification
Documentation)
Certificate of Conformance approval of QA89-011 1b-91
authentication QA80-13 1b-81 document vs. record QA82-11 1a-83
composed of QA84-002 1b-84 QA85-004 1a-86
for commercial grade items QA90-010 1b-91 QA89-011 1b-91
documents in a package QA87-005 1c-88
Cleaning of Fluid Systems storage of documents QA87-005 1c-88
flushing QA89-004 2a-90 validation QA82-11 1a-83
QA83-008 1b-84
Commercial Grade Items QA89-011 1b-91
acceptability of QA90-010 1b-91
quality assurance program QA89-006 1a-89 Handling, Storage, and Shipping
requirements QA89-006 1a-89 radioactive materials QA84-017 1c-85
services — calibration QA89-003 1a-89 special handling tools and QA86-011 1b-87
equipment
Computer levels of storage QA94-004 a95
system — applicability QA89-007 1a-89
Housekeeping Zone
documentation of design activities QA91-002 1c-92
record of entry and exit QA86-013 2a-86
in-use tests QA91-007 1c-92
size limitation QA86-013 2a-86
Computer Software
Inspection
verification QA93-003 a95
acceptance criteria — welding QA86-001 2a-86
frequency — welding QA86-019 2b-87
Control of Processes QA90-009 1b-91
method — bolting QA84-013 2a-85
Design Control
Inspection, Test, and Operating Status
applies to QA82-8 1a-83
control of stamps QA85-014 1a-86
documentation QA86-017 1b-87
sampling QA94-005 a95
QA91-002 1b-92
vertical impact QA99-03 a02
QA00-001 a02
documentation — design analyses QA85-010 1a-86 Inspection and Test Personnel (See also Qualification of)
QA86-012 1a-86 reporting — independence QA90-007 1b-91
final design — changes to QA82-2 1c-82 QA98-001 00
plant modification — review of QA88-004 1c-88 QA01-003 a02
QA99-02 00
review and approval QA86-012 1a-86 Installation, Inspection, and Testing
review and checking QA80-12 1b-81 in-process tests QA92-003 a95

(c)
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ASME NQA-1–2004 Cumulative Index — Interpretations 1a-81/2a-85–04

Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Internal Audits Qualification of Lead Auditors (See Lead Auditors)
quality assurance department QA81-4 1b-81
QA83-009 1b-84 Qualification of Inspection and Test Personnel
applicability QA89-002 1a-89
Lead Auditors QA83-014 1b-84 certification — requirements QA88-002 1c-88
certification of competency QA83-006 1b-84 QA90-005 1b-91
QA84-008 1b-84 QA90-006 1b-91
QA87-006 1c-88 determination of initial capability QA84-015 1c-85
QA92-002 1c-92 QA87-011 1c-88
examination — development and QA84-012 1c-85 education QA84-016 1c-85
administration of experience QA86-003 1a-86
examination — integrity QA92-001 1c-92 physical requirements QA84-005 1b-84
examination — development of QA87-007 1c-88
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examination — objective evidence QA86-009 1a-86 Qualification of Nondestructive Examination Personnel (See
maintenance of proficiency QA87-009 1c-88 Nondestructive Examination Personnel)
QA91-003 1c-92
QA91-004 1c-92 Quality Assurance Program
responsible auditing organization QA87-007 1c-88 applicability QA82-8 1a-83
training QA86-009 1a-86 QA85-016 1a-86
QA89-010 1c-92 QA90-005 1b-91
assessment of QA85-012 1a-86
Marking QA86-002 1a-86
metal surfaces QA86-010 2a-86 QA90-001 1b-91
implementation of QA86-002 1a-86
Nonconforming Items
conditional release QA90-008 1b-91 Quality Assurance Records
use of QA90-008 1b-91 applicability QA83-004 1b-84
QA92-013 a95 QA83-008 1b-84
QA93-005 a95 audit records QA86-006 1a-86
QA99-02 00 QA90-012 1c-92
classification QA81-7 1b-81
Nondestructive Examination Personnel QA83-3 1a-83
different edition of SNT-TC-1A QA87-004 1a-89 QA84-001 1b-84
independence QA88-007 1c-88 QA86-008 1a-86
recertification of — retested QA87-004 1a-89 QA88-008 1a-89
recertification of — use of ASNT QA86-018 1b-87 corrected information QA91-006 1c-92
policy computer software program QA83-3 1a-83
use of SNT-TC-1A QA86-004 1a-86 design records QA86-017 1b-87
QA90-003 1b-91 QA94-003 a95
revision to a document QA91-008 1c-92
Procurement Control QA94-006 a95
document review QA81-9 1c-82 document vs. record QA82-11 1a-83
purchased items — material QA80-2 1b-81 QA85-004 1a-86
QA82-3 1a-83 documents in a package QA87-005 1c-88
purchased service — calibration QA82-4 1a-83 indexing/checklist QA83-1 1a-83
QA86-015 1b-87 QA84-006 1b-84
QA86-014 1b-87 QA84-012* 1b-84
QA92-005 a95
Programmable Logic Control QA01-005 a02 microfilmed copies QA85-013 1a-86
Systems procedures QA83-1 1a-83
QA82-11 1a-83
Qualification of Auditors QA85-007 1a-86
experience QA82-8 1a-83 QA85-017 1a-86
QA85-018 1a-86 QA86-007 1a-86
internal audits QA81-4 1b-81 QA89-012 1b-91
QA83-009 1b-84 special processed records QA92-008 a95
QA94-002 a95 time frame for submittal of QA84-012* 1b-84
technical specialists QA89-010 1c-92 QA85-007 1a-86

(d)
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Cumulative Index — Interpretations 1a-81/2a-85–04 ASME NQA-1–2004

Interpre- Edition/ Interpre- Edition/


Subject tation Addenda Subject tation Addenda
Quality Assurance Records (Cont’d) Records Storage Facility (Cont’d)
time frame for submittal of (Cont’d) safekeeping of (Cont’d)
QA85-017 1a-86 QA94-007 a95
turnover/transfer QA83-1 1a-83 temporary storage QA89-009 1c-92
QA83-004 1b-84
validation QA91-005 1c-92 Spare and Replacement Parts
procurement QA85-015 1a-86
Receiving Inspection
items inspection QA84-003 2a-85 Storage Area
QA86-005 2a-86 Level A requirements QA85-011 2a-86
shipping damage inspection — QA88-006 2c-88 Level D requirements QA94-004 a95
performed by
Supplier Selection
Records (See Quality Assurance Records)
services only — calibration QA86-014 1b-87
QA86-015 1b-87
Records Storage Facility
QA89-003 1a-89
--`,,```,,,,````-`-`,,`,,`,`,,`---

dual storage facility QA85-005 1c-85


sharing of information QA87-008 1c-88
QA85-007 1a-86
source evaluation QA80-2 1b-81
QA90-004 1b-91
QA88-001 1c-88
QA92-011 a95
subtier supplier QA89-003 1a-89
fire protection QA83-011 1b-84
QA85-003 1c-85
Surveys (See Audits/Surveys)
QA87-001 1b-87
QA87-003 1b-87
QA91-009 a95 Traceability QA91-001 1c-92
in-process records QA83-011 1b-84
location of QA85-005 1c-85 Use of NQA-1 QA79-8 1a-80
QA86-007 1a-86 QA82-8 1a-83
QA90-002 1b-91 QA90-005 1b-91
QA92-010 a95
safekeeping of QA86-007 1a-86 Welding
acceptance criteria for inspection QA86-001 2a-86
in-process inspections QA86-019 2b-87

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ASME NQA-1-2000 Interpretations

Replies to Technical Inquiries


November 1991 through November 2001

FOREWORD

General Information

This publication includes all of the written replies issued between the indicated dates by the
Secretarial Staff, speaking for the ASME Committee on Nuclear Quality Assurance, to inquiries
concerning interpretations of technical aspects of ASME NQA-1, Quality Assurance Requirements
for Nuclear Facility Applications.
These replies are taken verbatim from the original letters except for a few typographical
corrections and some minor editorial corrections made for the purpose of improved clarity. In
some instances, a review of the interpretation revealed a need for corrections of a technical
nature; in these cases a corrected interpretation follows immediately after the original reply.
These interpretations were prepared in accordance with the accredited ASME procedures. ASME
procedures provide for reconsideration of these interpretations when or if additional information
--`,,```,,,,````-`-`,,`,,`,`,,`---

is available which the inquirer believes might affect the interpretation. Further, persons aggrieved
by this interpretation may appeal to the cognizant ASME committee or subcommittee. ASME does
not “approve,” “certify,” “rate,” or “endorse” any item, construction, proprietary device, or activity.
An interpretation applies to the Edition and Addenda stated in the interpretation itself or, if
none i s stated, to the latest published Edition and Addenda at the time it is issued. Subsequent
revisions to the rules may have superseded the reply.
For detailed instructions on the preparation of technical inquiries, refer to the Preparation of
Technical Inquiries to the Nuclear Quality Assurance Committee (p. vi¡ of ASME NQA-1).

Subject and Numerical Indexes


Subject and numerical indexes have been prepared to assist the user in locating interpretations
by subject matter or location in this Standard. These indexes, which are the compilation of former
NQA-1 and NQA-2 interpretations indexes, will be updated with each Edition and Addenda.

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2
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ASME NQA-1a-2002 Interpretations QA99-03, QAOO-001

File: QA99-03
Subject: ASME NQA-1-1997, Subpart 2.1 5, Para. 403.1
Date Issued: July 5, 2001

Question (1): Does the vertical impact requirement of para. 403.1(a)(5), apply to the scenario of
the cable breaking and the load falling and hitting a stop?
Reply (1): No. The impact load requirement of this section applies to the structural design for
normal operation, and not for an accident condition as caused by a cable breaking.

Question (2): Does the minimum 10% vertical impact load requirement of para. 403.1 (a)(5), if
applied to a test load of 1O 0 Ib, require the impact load to be 11O Ib, or 1O Ib?
Reply (2): Neither. As stated in this section, the minimum vertical impact load is applied only to
the maximum load to be handled, excluding test loads. If the maximum load handled, excluding
test load, was 1O 0 Ib, then the minimum vertical impact load to be considered would be 10% of the
1O 0 Ib, which is 1O Ib.

File: QAOO-001
Subject: N45.2.11-1974, Para. 5.2.4 - Transmitting Design Information
Date issued: April 6, 2001

--`,,```,,,,````-`-`,,`,,`,`,,`---
Question (1): Does para. 5.2 of ANSI N45.2.11-I 974 apply to information exchanged within the
subdivisions or disciplines of a design organization?
Reply (1): Yes. Organization units that report to different supervisors or managers should have
interfaces identified as prescribed by para. 5.2.1 to control the flow of design information.

Question (2): Do the documentation requirements of ANSI N45.2.11-1974 include:


(a) identification by name of those who provide design inputs to a design analysis?
(b) if so, is a signature of the provider required?
Reply (2): (a) Yes. Paragraph4.2 requires that procedures include requirementsfor the identification
of the source inputs. In addition, para. 6.3.1 requires independent verification that design inputs were
correctly selected and incorporated into the design.
(b) No. The method of identifying individuals that provide, verify, or approve design inputs shall
be documented in the design organization’s procedures. A signature or initial, however, i s an accept-
able method of authentication.

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ASME NQA-1 a-2002 Interpretations QAOl-003, QAOl-O05

File: QAOl -O03


Subject: ASME NQA-1-1989 Edition; 1S-1, Para. 2.1 ; and 1OS-1, Para. 2.1 ; Inspection Personnel -
Reporting Independence
Date Issued: June 18, 2001

Question (1): How is production defined?


Reply (1): Production is not defined, but means the activity the supervisor is responsiblefor achieving.

Question (2): Does production apply to the first line supervisor in the store’s warehouse?
Reply (2): Yes.

Question (3): What are the limits of production “influence boundaries” so the “reporting indepen-
dence” is clear?
Reply (3): The reporting levels of inspectors should be at a sufficient level to ensure that any
influence from “production” will have no undue effect on the inspectors‘ decisions related to quality
or acceptability. The reporting levels should be established by managementwho have overall responsi-
bility for the effectiveness of the QA program.
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Question (4): May a Quality Control Inspector report to a First Line Supervisor responsible for the
“Stores Warehouse“ who also supervises store personnel?
Reply (4): No, not if the Quality Control Inspector is inspecting production work of their first line
supervisor.

File: QAO1-O05
Subject: ASME NQA-1-1997, Programmable Logic Control Systems
Date Issued: November 2, 2001

Question (1): Is ASME NQA-1-1997, Subpart 2.7 applicable to the computer-programmed portion
of a programmable logic control system?
Reply (1): Yes. See Subpart 2.7, para. 100, General, for applicability.

Question (2): Is ASME NQA-1-1997, Part I, Requirement 3, Design Control, applicable to the
computer-programmed portion of a programmable logic control system?
Reply (2): Yes. See Requirement 3, para. 800, Software Design Contorl.

Question (3): Is ASME NQA-1-1997, Part I, Requirement 11, Test Control, applicable to the
computer-programmed portion of a programmable logic control system?
Reply (3): Yes.

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NUMERICAL INDEX

Edition/ Edition/
Location File Addenda File Addenda
Location
PART I (FORMER NQA-I) QA89-01 O 1C-92
QA92-002 1C-92
Introdudion 2s-3, 2.1 ~ ~ 8 5 -a0 1 1a-86
... QA82-8 1a-83
QA87-007 1C-88
25-3, 3 QA83-O14 1b-84
Basic Requirements
... QA87-002 1b-87 QA86-009 1a-86
BR-2 QA85-012 1a-86 QA91-O04 1C-92
QA85-016 1a-86 2s-3, 3.4 QA84-012 iC-85
QA86-002 1a-86 2s-3, 4.1 QA87-009 1c-88
QA90-001 1b-91 QA91-O03 1C-92
QA90-005 1b-91 2s-3, 5.2 QA84-012 iC-85
BR-3 QA82-8 1a-83 QA86-009 1a-86
QAOl -O05 a02 QA87-007 1C-88
8R-5 QA88-004 ic-88 QA92-001 1C-92
8R-6 QA81-7 ib-81 3.5-1 QA84-014 1C-85
QA85-004 1a-86 QA91-O02 1C-92
BR-8 QA90-008 1b-91 3s-1, 2 QA82-2 iC-82
8R-11 QAOl -O05 a02 3s-1, 3 QA82-2 iC-82
BR-13 QA84-017 iC-85 3s-1. 3.1 QA80-12 1b-81
8R-14 QA85-014 1a-86 QA85-01 O 1a-86
BR-15 QA90-008 1b-91 QA86-012 1a-86
--`,,```,,,,````-`-`,,`,,`,`,,`---

QA92-013 a95 3.5-1, 4 QA80-12 1b-81


8R-16 QA92-013 a95 QA81-1O iC-82
QA85-O09 1a-86
Supplements
QA87-002 ib-87
QA86-012 1a-86
s-1 QA80-013 1b-81 3s-1, 4.2.1 QA84-007 ib-84
QA84-002 1b-84 3s-1, 4.2.3 QA81-1 O 1C-82
QA86-008 1a-86 3s-1, 5 QA88-004 ic-88
QA89-003 1a-89 QA99-02 00
QA89-006 1a-89 3s-1, 7 QA86-017 1b-87
QA89-007 1a-89 4s-1 QA82-3 1a-83
QA94-006 a95 QA89-006 1a-89
1s-1, 2.1 QA88-007 1c-88 4s-1, 2 QA89-003 1a-89
QA90-007 1b-91 4s-1, 2.7 QA85-015 1a-86
QAOl -O03 a02 4s-1, 3 QA81-9 iC-82
2s-1 QA89-002 1a-89 6s-1 QA85-O04 1a-86
QA90-005 1b-91 QA88-004 1c-88
QA90-006 1b-91 6s-1, 2 QA89-011 1b-91
2s-2, 2.1 QA90-003 1b-91 6s-1, 3 QA91-O08 1C-92
2s-1, 2.5 QA84-015 iC-85 75- 1 QA80-13 1b-81
QA87-011 1c-88
QA82-3 1a-83
2s-1, 2.6 QA98-001 O0
QA87-007 1C-88
2s-1, 2.8 QA84-005 ib-84
QA89-006 1a-89
2s-2 QA86-018 ib-87
QA88-007 ic-88 QA90-008 1b-91
QA87-004 1a-89 7s-1, 3.1 QABO-2 1b-81
2.52, 2.1 QA86-004 1a-86 QA86-014 ib-87
25-3 QA81-4 1b-81 QA86-015 1b-87
QA82-8 1a-83 QA87-008 ic-88
QA83-009 ib-84 QA88-O01 1C-88

Cumulative Index - interpretations 1a-81/2a-85-a02

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Edition/ Edition/
Location File Addenda Location File Addenda
Supplements (Cont'd) QA91-O09 a95
QA89-003 1a-89 17s-1. 4.4.4 QA90-002 1b-91
7s-1, 8 QA82-4 1a-83 QA90-004 1 b-91
7s-1, 8.3 QA86-014 1b-87 17s-1, 5.6 QA87-005 1c-88
QA86-015 1b-87 17s-1, 6 QA83-004 1b-84
7s-1, 1 O QA89-003 1a-89 1as-1 QA90-012 1C-92
QA90-01 O lb-91 QA94-002 a95
QA91-O01 1c-92 18s-1 3.2I QA81-4 1b-81
9s-1 QA90-009 lb-91 QA83-009 1b-84
1os-1, 2.1 Qh88-007 1C-88 18s-1,3.3 QA83-014 1b-84
QA90-007 lb-91 1as-1, 5 QA83-014 1b-84
QAOl-O03 a02 1as-1, 8 QA86-006 1a-86
10s-1, 4.2 QA94-005 a95
11s-2 QA89-007 1a-89 Appendices
11s-2, 2.2 QA91-O07 1c-92 2A-1 QA90-006 1b-91
13s-1 QA84-017 1c-85 2A-1, 3 QA86-003 1a-86
13s-1, 3.3 QA86-011 1b-87 2A-1, 3.3.3 QA84-016 1C-85
15s-1 QA90-008 lb-91 2A-3, 2 QA83-006 1b-84
QA92-013 a95 2A-3, 2.3 QA84-008 1b-84
QA93-005 a95 QA87-006 1C-88
15s-1, 4.4 QA99-02 O0 3A-1, 2 QA80-12 1b-81
17s-1 QA83-008 1b-84 3A-1, 4 QA80-12 1b-81
QA85-O07 la-86 3A-1, 6 QA81-1 O 1C-82
QA86-008 1a-86 4A-1 QA82-3 1a-83
QA86-017 1b-87 7A-1 QA82-3 1a-83
QA89-008 lb-91 QA82-4 1a-83
QA92-011 a95 7A-1, 2 QA80-2 1b-81
17s-1, 2.1 QA83-008 1b-84 17A-1 QA84-012' 1b-84
17s-1, 2.2 QA82-11 1a-83 QA86-017 1b-87
QA91-O05 1c-92 17A-1, 3.1 QA94-003 a95
17s-1, 2.3 QA82-11 1a-83
QA85-013 1a-86 PART II (FORMER NQA-2)
QA85-017 1a-86
QA91-O05 1c-92 Subpart 2.1** QA89-O04 2a-90
17s-1, 2.4 QA83-1 1a-83
17s-1, 2.7 QA81-7 lb-81 Subpart 2.2**
17s-1, 2.7.1 QA83-3 1a-83 2.2 QA85-011 2a-86
1 7s-1, 2.7.2 QA84-001 1b-84 3.9 QA86-01 O 2a-86
17s-1. 2.9 QA86-006 1a-86 5.2.1 QA88-006 2~-88
QA91-006 1c-92 5.2.2 QA84-003 2a-85
17s-1, 3.2 QA83-1 1a-83 QA86-005 2a-86
QA84-006 1b-84 6.1.2 QA85-Oll 2a-86
QA84-012' 1b-84 6.4.2 QA94-004 a95
QA89-012 lb-91
QA92-005 a95 Subpart 2.5**
17s-1, 4 QA86-007 1a-86 9 QA84-013 2a-85
QA94-007 a95 9.5 QA86-001 2a-86
17s-1, 4.1 QA83-004 1b-84 QA86-019 2b-87
QA84-006 1b-84 Table 5.6 QA92-003 a95
QA84-012* 1b-84
QA85-O17 1a-86 Subpart 2.7** QA93-003 a95
17s-1, 4.2 QA92-008 a95 QAOl-O05 a02
QA92-01 O a95
17s-1, 4.4 QA83-011 1b-84 Subpart 2.8** QA85-O08 2a-86
QA85-003 1C-85
QA87-001 1b-87 Subpart 2.15** QA99-03 a02
17s-1, 4.4.1 QA87-003 1b-87
17s-1, 4.4.3 QA85-O05 1C-85 **Subpart 2.1, Subpart 2.2, Subpart 2.5, Subpart 2.7, Subpart
Q A9O-OO4 lb-91 2.8, and Subpart 2.15 were formerly Part 2.1, Part 2.2, Part 2.5,
QA89-009 1C-92 Part 2.7, Part 2.8, and Part 2.1 5, respectively, in NQA-2.

íb) Cumulative Index - interpretations 1a-81/2a-85-a02

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SUBJECT INDEX

Edition/
Subject File Addenda

Applicability
mechanical equipment and systems ......................................... QA85-008 2a-86

AuditdSurveys - Items or Services (See also Internal Audits)


Calibration services ...................................................... QA82-4 1a-83
need for - supplier selection .............................................. QA88-001 ic-88
performed by ........................................................... QA83-014 1b-84
qualification of a supplier . . . . . . . . . . . . . . . . . . . ............................ QA80-2 1b-81
subtier suppliers ........................... ............................ QA82-3 1a-83

Auditors (See Qualification of)

Basic Requirements and Supplements


relationship between ....................... ....................... QA87-002 1b-87

Certificate of Conformance
authentication ............................. ............................ QA80-13 1b-81
composed of . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ............................ QA84-002 1b-84
for commercial grade items . . . . . . . . . . . . . . . . . . ............................ QA90-01O 1b-91

Cleaning of Fluid Systems


flushing .................................. ............................ QA89-004 2a-90

Commercial Grade Items


acceptability of ............................ ............................ QA90-01O 1b-91
quality assurance program . . . . . . . . . . . . . . . . . . . ............................ QA89-006 1a-89
requirements ............................................................ QA89-006 1a-89
services - calibration .................................................... QA89-003 1a-89

Computer
system - applicability
.. .................................................... QA89-007 1a-89
documentation of design activities . . . . . . .................................. QA91-O02 1C-92
in-use tests ......................... .................................. QA91-O07 1C-92

Computer Software
verification ......................... .................................. QA93-003 a95

Control of Processes . . . . . . . . . . . . . . . . . .................................. QA90-009 1b-91

Design Control
applies to .......................... .................................. QA82-8 1a-83
documentation ...................... .................................. QA86-017 ib-87
QA91-O02 1b-92
QAOO-001 a02
documentation - design analyses . . . . . . . . .................................. QA85-01O 1a-86
QA86-012 1a-86
final design - changes to . . . . . . . . . . . . . .................................. QA82-2 iC-82
plant modification - review of . . . . . . . . .................................. QA88-004 ic-88
QA99-02 O0

Cumulative Index - Interpretations1a-81/2a-85-a02


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Subiect File Addenda

Design Control (Cont?d)


review and approval . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA86-012 1a-86
review and checking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA80-12 1b-81
QA85-O09 1a-86

Design Verification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA81-1 O 1c-82


QA85-O09 1a-86
QA86-012 1a-86
documentation - design review . .... . ........................... QA84-007 1b-84
QA99-01 00
documentation - planning . . . . . . . . . . . . . . . . . . ......................... QA84-014 1c-85
procedures . . . . . . . . . . . . . . . . . . . . . . . . . . .. .. .... . . . QA84-014 1c-85
reviewer . . ..................... QA8O-12 1b-81

Document Control (See also Design Control and Design Verification


Documentation) . . . . . . . . . . . . . . . . . . . . . ....................... QA81-7 1b-81
approval of . . . . . . . . . . . .............................................. QA89-011 1b-91
document vs. record . . . . . . . . . . . . . . . . . . . ...................... QA82-11 1a-83
QA85-O04 1a-86
QA89-Oll 1b-91
documents in a package . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA87-005 1c-88
storage of documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA87-005 1c-88
validation .............................................................. QA82-11 1a-83
QA83-008 1b-84
QA89-011 1b-91
Handling, Storage, and Shipping
.
radioactive materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA84-017 1c-85

--`,,```,,,,````-`-`,,`,,`,`,,`---
special handling tools and equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA86-011 1b-87
levels of storage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA94-004 a95

Housekeeping Zone
record of entry and exit . . . . . . . . . . . . . . . . . . . .......................... QA86-013 2a-86
size limitation . . . . . . . . . . . . . . . .. ....................................... QA86-013 2a-86

Inspection
acceptance criteria - welding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA86-001 2a-86
frequency - welding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA86-019 2b-87
method - bolting ....................................................... QA84-013 2a-85

Inspection, Test, and Operating Status


control of stamps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA85-014 1a-86
sampling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA94-005 a95
.
vertical impact . . . . . . . . . . . . . . . . . . . . . , . . . . . . . . .. . . . , . . . . . . . . . . . . . . . . , . QA99-03 a02

Inspection and Test Personnel (See also Qualification of)


reporting - independence . . . . . . . . . . . . . . . . . . . . . . . . ................ QA90-007 1b-91
QA98-001 00
QAOl -O03 a02

Installation, Inspection, and Testing


in-process tests .......................................................... QA92-003 a95

Internal Audits
quality assurance department . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . QA81-4 1b-81
QA83-009 1b-84

lead Auditors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA83-014 1b-84


certification of competency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA83-006 1b-84
QA84-008 1b-84

(4 Cumulative Index - Interpretations 1a-81/2a-85-a02

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Edition/
-
Subject File Addenda

Lead Auditors (Cont’d) QA87-006 ic-88


QA92-002 1c-92
examination - development and administration of . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA84-012 iC-85
examination - integrity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA92-001 1c-92
examination - development of . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA87-007 1c-88
examination - objective evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA86-009 1a-86
maintenance of proficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA87-009 ic-88
QA91-O03 1C-92
QA91-O04 1c-92
responsible auditing organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA87-007 ic-88
training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA86-009 1a-86
QA89-01 O 1C-92
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Marking
metal surfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA86-01 O 2a-86

Nonconforming Items
conditional release . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA90-008 1b-91
use of . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA90-008 1b-91
QA92-013 a95
QA93-005 a95
QA99-02 O0

Nondestructive Examination Personnel


different edition of SNT-TC-1A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA87-004 1a-89
independence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA88-007 ic-88
recertification of - retested . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA87-004 1a-89
recertification of - use of ASNT policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA86-018 ib-87
use of SNT-TC-1A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA86-004 1a-86
QA90-003 1b-91

Procurement Control
document review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA81-9 iC-82
.
purchased items - material . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA80-2 1b-81
QA82-3 1a-83
purchased service - calibration . . . . . . , . . . . . . . .. . . . . . . . . . . . . . . . . . . .. . . . . . QA82-4 1a-83
QA86-015 1b-87
QA86-014 1b-87

Programmable Logic Control Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QAOl -O05 a02

Qualification of Auditors
experience ............................................................. QA82-8 1a-83
QA85-018 1a-86
internal audits ........................................................... QA81-4 ib-81
QA83-009 1b-84
QA94-002 a95
technical specialists ...................................................... QA89-01O 1c-92

Qualification of Lead Auditors (See Lead Auditors)

Qualification of Inspection and Test Personnel


applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA89-002 1a-89
certification - requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA88-002 ic-88
QA90-005 1b-91
QA90-006 1b-91
determination of initial capability . .. . . . . . . . . . . .. . . .. . . . . . . . . . . . . . . . . . . . . . QA84-015 iC-85
QA87-011 ic-88

Cumulative Index - Interpretations 1a-al /2a-85-a02

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Edition/
Subject File Addenda

Qualification of Inspection and Test Personnel (Cont’d)


education .............................................................. QA84-016 1c-85
experience ............................................................. QA86-003 1a-86
.
physical requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA84-005 1b-84

Qualification of Nondestructive Examination Personnel (See Nondestructive


Examination Personnel)

Quality Assurance Program


applicability ......................................................... QA82-8 1a-83
QA85-016 1a-86
QA90-005 1b-91
assessment of ........................................................... QA85-012 1a-fi6
QA86-002 1a-86
QA90-001 1b-91
implementation of . .. .. . . . .. . . . . . . . . . . . . . . . . . . . . ., . . . . . . ... . . . . . .. . . . . . . . QA86-002 1a-86

Quality Assurance Records


applicability . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ........................ QA83-004 1b-84
QA83-008 1b-84
audit records . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . .. . . . . . . . . . . . .. . . . . . . QA86-006 1a-86
QA90-012 1c-92
classification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . QA81-7 1b-81
QA83-3 1a-83
QA84-001 1b-84
QA86-008 1a-86
QA88-O08 1a-89
corrected information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA91-O06 1C-92
computer software program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA83-3 1a-83
design records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA86-017 1b-87
QA94-003 a95
revision to a document . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . QA91-O08 1C-92
QA94-006 a95
documentvs. record ..................................................... QA82-11 1a-83
QA85-004 1a-86
documentsin a package .................................................. QA87-005 1c-88
indexingkhecklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. QA83-1 1a-83
QA84-006 1b-84
QA84-012* 1b-84
QA92-005 a95
microfilmed copies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... QA85-013 1a-86
procedures ............................................................. QA83-1 1a-83
QA82-11 1a-83
QA85-007 1a-86
QA85-017 1a-86
QA86-007 1a-86
QA89-O12 1b-91
special processed records . . . . . . . . . . . . . . . . . . . .. . . . . . . . . .. . . . . . . . . . . . . .. . . QA92-008 a95
time frame for submittal of . . . . . . . . . .. . . . . . . . .. .. . . . . . . .. . . . . . . . . . . . . . . .. QA84-012* 1b-84
QA85-O07 1a-86
QA85-017 1a-86
turnoverltransfer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . QA83-1 1a-83
QA83-004 1b-84
validation .............................................................. QA91-O05 1C-92

Receiving Inspection
items inspection ..................................................... QA84-003 2a-85
QA86-005 2a-86
shipping damage inspection - performed by . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . QA88-006 2~-88

(O
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Cumulative index - Interpretations 1a-81/2a-85-a02

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Edition/
-
Subject File Addenda

Records (See Quality Assurance Records)

Records Storage Facility


dual storage facility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA85-O05 iC-85
QA85-007 1a-86
QA90-004 1b-91
QA92-011 a95
fire protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . .. . . . . . . . . . . . . . . . . .. QA83-011 1b-84
QA85-003 iC-85
QA87-001 ib-87
QA87-003 1b-87
QA91-O09 a95
in-process records ...................................................... QA83-011 ib-84
location o f . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA85-O05 iC-85
QA86-007 1a-86
QA90-002 1b-91
QA92-01O a95
safekeeping of . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . QA86-007 1a-86
QA94-007 a95
temporary storage ........................................................ QA89-009 1C-92

Spare and Replacement Parts


procurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA85-015 1a-86

Storage Area
LevelA requirements ............................ . . . . . . . . . . . . . . . . . . . . . . . . . QA85-Oll 2a-86
Level D requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA94-004 a95

Supplier Selection
services only - calibration .. .. .. . . . ... . ..... . . ... . . . .. ..... .. . . . . .. .. QA86-014 ib-87
QA86-015 1b-87
QA89-003 1a-89
sharing of information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA87-008 ic-88
source evaluation ........................................................ QA80-2 1b-81
QA88-001 ic-88
subtier supplier .......................................................... QA89-003 1a-89

Surveys (See AuditdSurveys)

Traceability ............................................................. QA91-O01 1C-92

Use of NQA-1 . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . QA79-8 1a-80


QA82-8 1a-83
QA90-005 1b-91

Welding
acceptance criteria for inspection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA86-001 2a-86
in-process inspections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . QA86-019 2b-87

Cumulative Index - Interpretations1 a-81/2a-85-a02


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ASME NQA-1-2000 Interpretations
Replies to Technical Inquiries
November 1991 through July 1999

FOREWORD

General Information
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This publication includes all of the written replies issued between the indicated dates by the
Secretarial Staff, speaking for the ASME Committee on Nuclear Quality Assurance, to inquiries
concerning interpretations of technical aspects of ASME NQA-1 , Quality Assurance Requirements
for Nuclear Facility Applications.
These replies are taken verbatim from the original letters except for a few typographical
corrections and some minor editorial corrections made for the purpose of improved clarity. In
some instances, a review of the interpretation revealed a need for corrections of a technical
nature; in these cases a corrected interpretation follows immediately after the original reply.
These interpretations were prepared in accordance with the accredited ASME procedures. ASME
procedures provide for reconsideration of these interpretations when or if additional information
is available which the inquirer believes might affect the interpretation. Further, persons aggrieved
by this interpretation may appeal to the cognizant ASME committee or subcommittee. ASME does
not “approve,” “certify,” “rate,” or “endorse” any item, construction, proprietary device, or activity.
An interpretation applies to the Edition and Addenda stated in the interpretation itself or, if
none is stated, to the latest published Edition and Addenda at the time it i s issued. Subsequent
revisions to the rules may have superseded the reply.
For detailed instructions on the preparation of technical inquiries, refer to the Preparation of
Technical Inquiries to the Nuclear Quality Assurance Committee (p. vii of ASME NQA-1).

Subject and Numerical Indexes


Subject and numerical indexes have been prepared to assist the user in locating interpretations
by subject matter or location in this Standard. These indexes, which are the compilation of former
NQA-1 and NQA-2 interpretations indexes, will be updated with each Edition and Addenda.

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ACME NQA-1-2000 Interpretations QA98-01, QA99-O1

File: QA98-O01
Subject: ASME NQA-1-1989, Supplement 2s-1, Para. 2.6, Evaluation of Performance
Date Issued: April 22, 1999

Question (1): Does the phrase “performing inspection and testing activities” in NQA-1, Supplement 2S-
1, para. 2.6 limit activities to field-performed inspection or testing functions?
Reply (1): No. See Appendix 2A-1, Sections 2.1, 2.2, and 2.3.

Question (2): Can inspection and testing activities include planning inspections and tests, setting up tests
including preparation and set-up of related equipment, supervising or maintaining surveillance over the
inspections or tests, supervising and evaluating the validity and acceptability of inspection and test of same
and lower level personnel?
Reply (2): Yes. Inspection and testing activities is to be defined in the user’s implementing procedures.
See Appendix 2A-1, Sections 2.1, 2.2, and 2.3.

Question (3): Does an annual review of an individual’s inspection and testing activities in his qualified
areas performed by a designated certifying authority on or before the anniversary date of the original
certification date satisfy the requirements of NQA-1, Supplement 2s-1, para. 2.6 in assuring the individual
is performing in his qualified areas for a period of 1 year?
Reply (3): The annual evaluation is only to determine if the certified inspection or test personnel have
performed inspection or test activities in those areas for which they are qualified. This evaluation should
be documented and dated at 1-year intervals from the initial certification date.

File: QA99-O1
Subject: ASME/ANSI N45.2.11-1974
Date Issued: June 22, 1999

Question (1): Are inputs to design analysis that are developed by one or more individuals required to
be documented by ASMUANSI N45.2.11-1974?
Reply (1): Yes.

Question (2): Are the originators of design inputs and design analysis required to be identified and
documented in accordance with ASMWANSI N45.2.11-1974?
Reply (2): Yes.

3
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QA99-O2 ASME NQA-1-2000 Interpretations

File: QA99-O2
Subject: ASME NQA-1-1994, Supplement 35-1 and Supplement 15s-1
Date Issued: July 6, 1999

Question: In accordance with NQA- 1-1994, do nonconfomances to design requirements dispositioned


as “Use-As-Is” or “Repair” require the application of design control measures commensurate with the
original design?
Reply: Yes. Refer to NQA-1-1994, Supplement 3s-1, para. 5, and Supplement 155-1, para. 4.4. In
addition, refer to NQA-1-1997, Requirement 15, para. 404.
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