NR Checklist

Team Member Checklist for NR Survey
Page 1 of 22
Company Name _________________________________________ Date _____________
Date:
Team Member:
NBICPart 3, 1.8.5.1
a.
Organization
a.1.
Has the Organizational Structure of the program identified the levels of management
responsible for the Quality System Program?
a.2.
Are the individual or individuals responsible for the Quality System Program established
and documented? (by title)
a.3.
Are individual or individuals and organization responsible for defining and

measuring the overall effectiveness of the Quality System Program
sufficiently independent from the pressures of production?
a.4.
Do the individual or individuals responsible for Quality have direct access to

upper level management on matters effecting quality?
a.5.
Has management provided measures for individuals or groups assigned

the responsibilities of inspection, testing, checking or otherwise verifying
an activity has been correctly performed?
a.6.
Does the responsibility of individual (s) or group(s) that affect quality include the review,
acceptance and control of written procedures and monitoring of all activities concerned
with the Quality System Program?
Other
References
Objective evidence, observations, deficiencies, CAR status, etc. Include functional title of personnel interviewed
Conform
Y

Page 2 of 22
Date:
Team Member:
NBICPart 3, 1.8.5.1
b. 1.
Quality System Program
b.1.1.
Does the Quality System Program define the organizational structure (chart) within the
program, and is it implemented as described in the text of the Quality Assurance
Manual?
b.1.2.
Does the organizational structure delineate the levels of responsibilities,

authority, and lines of communication for the individual involved in the program?
b.1.3.
Is the Quality System Program clearly documented and supported by written policies,
procedures, and instructions, and are these written policies and procedures based on
the organizations scope of work to be performed?
b.1.4.
Are all the elements that are required by NBIC Part 3 been implemented?
b.1.5.
Does the program provide for accomplishment of activities affecting quality under
suitably controlled conditions and prerequisites for activities satisfied?
b.1.6.
Does the program provide for ready detection of nonconforming materials and
items, and for the timely and positive corrective action?
b.1.7.
Does the Quality System Program clearly and accurately define the scope of activities,
and whether the activities will be conducted in the shop, at field sites, or both?
b.1.8.
Are repair/replacement activities controlled at all points necessary (scope) to assure

conformance to the rules of the NBIC, ASME Section XI, regulatory/jurisdictional
requirements and the Quality System Program?
b.1.9.
Is the Policy and Responsibility Statement signed by management and contain all
required statements?
Other
References
Conform
Y

Page 3 of 22
Date:
Team Member:
NBIC-Part 3, 1.8.5.1
b.2
Indoctrination and Training
b.2.1.
Does the Program clearly establish requirements for indoctrination and training
of all personnel effecting quality, including criteria established for individuals?
b.2.2.
Does the indoctrination and training program achieve suitable proficiency,

and is the program maintained for all personnel affecting quality?
b.2.3.
Does personnel affecting quality within the scope of the program, including
personnel of subcontracted services, qualified as specified by the NBIC?
b.2.4.
Has a system been implemented for documenting indoctrination and training activities,
and is proficiency maintained?
b.2.5.
Are individual(s), or groups responsible for indoctrination and training activities,

well defined, and is the system being implemented as described?
b.3.
Authorized Nuclear Inspection Agency of Record
b.3.1.
Are proposed changes to the Quality System Manual accepted by the

Authorized Nuclear Inspection Agency, (Authorized Nuclear
Inspector Supervisor) prior to implementation?
Other
References
Conform
Y

Page 4 of 22
Date:
Team Member:
b.3.2.
Has the Authorized Nuclear Inspector been notified prior to any changes,
including evidence of acceptance of the Authorized Nuclear
Inspection Agency of the Quality System Manual? (objective evidence)
b.3.3.
Is the accepted Quality System Manual available for use by the Authorized
Nuclear Inspector?
b.3.4.
Verify that work controlled points necessary to implement the program are
controlled to assure conformance to the rules of the NBIC.
b.3.5.
Does the system provide to the ANI drawings, process sheets, procedures and additional
information to accomplish applicable Code requirements, and are there
provisions for instructions to the workforce?
c.
Design Control
c.1.
Does the Quality System Program provide for control of design activities
whether performed by the applicant, owner, or subcontracted services?
c.2.
Does the Quality System assure that, and correctly incorporate the owners design
specifications, drawings, procedures, and instructions which are necessary to
perform the work undertaken?
Other
Reference
s
Conform
Y

Page 5 of 22
Date:
Team Member:
c.3.
Does the system provide provisions to assure that the appropriate quality
standards are specified and included in the owners design specification,
drawings, procedures, and instructions?
c.4.
Does the system provide for the review of the owners design specification,
drawings, procedures, and instructions meeting requirements of a specific code
edition/addenda of Section XI, NBIC or other codes/standards?
c.5.
Are the applicants engineering personnel properly qualified and certified as

required by the applicable Code Section of the ASME Boiler and Pressure Vessel
Code for Section III, and XI?
c.6.
Are there provisions for reconciling any design conflicts between the owner and the
repair/replacement organization?
c.7.
Are controls identified for subcontracting design and verification of design documents?
d.
Procurement Document Control
Other
Reference
s
d.1. Does the program establish a system for control of documents for the
procurement of materials, items, and subcontracted services?
Conform
Y

Page 6 of 22
Date:
Team Member:
d.2.
and
Is there control of documents, including revisions, for procurement of materials, items,

subcontracted services? Does this include requirements to the extent
necessary to assure compliance with the owners design specification, ASME
Section III, or applicable code of construction, and ASME Section XI?
d.3.
Does the quality program require the supplier to maintain a Quality System
Program consistent with the applicable requirements of the section of the
ASME Code to which the items are constructed?
d.4.
Has the system been implemented to assure that all purchased materials, items, and
subcontracted services conform to the requirements as established by the Quality System
Program, the NBIC and the applicable ASME Code Section?
e.
Instructions, Procedures, and Drawings.
e.1.
Has the applicant established a system for the review and approval of instructions,
procedures, and drawings, including revisions?
e.2.
Does the system provide for instructions, procedures, drawings to be used, identified
and distributed to personnel to assure Code compliance?
e.3.
Do the instructions, procedures, and drawings include the appropriate

quantitative and qualitative criteria for determining that activities affecting quality
have been satisfactorily accomplished?
Other
Reference
s
Conform
Y

Page 7 of 22
Date:
Team Member:
e.4.
Does the applicant maintain a written description of procedures used for the control of
quality and examination?
e.5.
Do the written procedures and/or work instructions provide sufficient detail to

accomplish the requirement, and are they implemented as required?
e.6.
Are instructions, procedures, and drawings made available to the Authorized Nuclear
Inspector, and are they approved for release by authorized personnel?
f.
Document Control
f.1.
Does the applicants system establish the controls for issuance, use, revisions, and
disposition of documents for the following?
(a).
(b).
(c).
(d).
Other
Reference
s
Specifications;
Work Instructions;
Procedures;
Drawings.
Conform
Y

Page 8 of 22
Date:
Team Member:
f.2.
Has the Quality System Program established measures to ensure that the latest
applicable documents, including changes are reviewed for adequacy?
f.3.
Does the control system establish measures for distribution of

documents to locations where the prescribed activity will be performed?
g.
Control of Purchased Materials, Items and Services.
g.1.
Has the applicant established a system which assures that all purchased
materials, items and services conform to the requirements of the owners design
specification and applicable edition and addenda of Section III, and Section XI of
the ASME Code?
g.2.
Are activities (inspections, procedures, instructions) that affect quality being properly
implemented in accordance with the Quality System Manual?
g.3.
Does the system require identification of materials, items and services for
traceability for source evaluations?
Other
Reference
s
Conform
Y

Page 9 of 22
Date:
Team Member:
g.4.
Does the system provide for objective evidence of quality requirements for
material, items, or services furnished by suppliers?
g.5.
Does the system provide source and receipt examination of material, items, and suppliers?
h.
Identification and Control of Materials and Items.
h.1.
Has the Quality System Program established requirements for the identification and control
of materials and items, included partially fabricated assemblies?
h.2.
Does the system require maintenance of identification of materials and items,

either on the material or item, or on a record throughout the repair, or replacement
activity? (storage and handling)
h.3.
Is the method used for the identification markings of materials, or items either
permanent or temporary? Are the markings, whether permanent or temporary,
legible and not detrimental to the component or system?
h.4.
Do the instructions for identification of materials or items describe where the

identification will be located, and assure that the markings will not interfere
with the function or quality of the item?
Other
Reference
s
Conform
Y

Page 10 of 22
Date:
Team Member:
Other
Reference
s
h.5. Is the information on Certified Material Test Reports, or Certificates of Compliance

verified for applicable Code requirements, as specified in the owners design
specification?
h.6. Is the applicants program requirements for the review and acceptance of all
Certified Material Test Reports, and Certificate of Compliance adequate?
h.7. Are tests performed by the applicant in compliance with the material specification or other
requirements and the supporting documents list all the required range of values?
i.
Control of Processes.
i.1. Does the Quality System Program establish controls for processes used; i.e., NDE, Welding,
Heat Treatment and Bending and Forming?
i.2. Is all NDE performed in accordance with the owners specification and Code requirements?
Conform
Y

Page 11 of 22
Date:
Team Member:
Other
Reference
s
i.2.2. Are all NDE Procedures and personnel approved and qualified in accordance with the
applicants Quality System Program?
i.2.3. Have all NDE Procedures been demonstrated to the satisfaction of the
Authorized Nuclear Inspector on sample pieces with known defects prior to use?
i.2.4. Are there provisions for the Authorized Nuclear Inspector to have NDE
Procedures and/or NDE personnel re-qualified, when deemed necessary?
i.3.
Is welding performed in accordance with the applicants Quality System

Program, the applicable sections of Section XI, the NBIC, and properly documented?
i.3.1. Are there provisions that welding be performed in accordance with the owners
design specification using qualified procedures and personnel?
i.3.2. Are there provisions for the responsibility for qualification and certification of
welding procedures?
i.3.3. Has responsibility been established for qualification and certification of welders,
and welding operators?
Conform
Y

Page 12 of 22
Date:
Team Member:
Other
Reference
s
i.3.4. Is there a system in place that establishes responsibility for instruction,

assignment, and supervision of welders, and welding operators?
i.3.5. Does the system provide for re-qualification of weld procedures, welders, and welding
operators by the Authorized Nuclear Inspector?
i.4.
Has the applicant qualified, or if subcontracted, approved the applicable Heat

Treatment procedures in accordance with the owners specification?
i.4.1. Does the approved heat treatment procedures satisfy the applicable ASME
Sections III, or Section XI requirements, whichever is applicable?
i.4.2. Are personnel performing heat treatment activity qualified and certified, as applicable, to
the certificate holders procedures?
i.4.3. Has the applicants program established provisions for the review and acceptance of heat
treatment activities, which includes requirements for identification, traceability, and receipt
inspection?
Conform
Y

Page 13 of 22
Date:
Team Member:
Other
Reference
s
i.4.4. Do the welding procedures that are used, satisfy the heat treatment requirements as
established by the owners design specification, and applicable Code requirements?
i.5.
Has the applicant established bending and forming procedures to satisfy applicable Code
requirements, and the owners specification?
i.5.1. Does the applicants bending and forming procedure identify the appropriate
acceptance requirements as established by the Code or the owners design
specification?
i.5.2. Have the procedures for bending and forming operation been reviewed and
approved as required?
i.6.
Do the Process Sheets, Check Lists, or Travelers identify NDE, Welding,

Heat Treatment, Bending and Forming activities? Are documents numbered and
assigned a revision level which the process conforms? Is space provided for
reporting results of the completion of specific operations?
j.
Examination, Tests, and Inspections.
j.1.
Are in-process, final examination, and tests performed in accordance with the applicants
Quality System Program?
Date:
Other
Conform
Y

Page 14 of 22
Team Member:
Reference
s
j.2. Has the applicant established that in-process and final examination and tests are in
accordance with specifications, drawings, instructions, and procedures which
incorporate or reference the requirements and acceptance limits contained in the
applicable design documents?
(a).
(b).
(c).
(d).
(e).
(f).
Calibrated instrumentation;
Equipment type;
Trained personnel;
Condition of test equipment and the item to be tested;
Suitable environmental conditions;
Provisions for data acquisition.
j.3. Are examination activities affecting quality performed by persons other than the
person who performed the activity being examined?
j.4. Do process sheets, travelers, or checklists identify the activity to be performed,
document number, and revision to which the examination or test is to be
performed, with space provided for recording the applicable results?
j.5. Do process sheets, travelers, or checklists provide provisions for the quality personnel and
Authorized Nuclear Inspectors to select Hold Points and sign off inspections?
j.6. Does the applicants Quality System Program establish requirements that the
Authorized Nuclear Inspectors Hold Points cannot be bypassed?
Conform
Y

Page 15 of 22
Date:
Team Member:
Other
Reference
s
k.
Test Control
k.1. Has an interface system been established between the certificate holders and the owners
test control procedures, which incorporates or references the requirements and acceptance
limits contained in the design documents?
k.2. Do test control procedures include provisions for assuring that the prerequisites for given
tests have been met, and is there adequate (calibrated) instrumentation available and used?
k.3. Are the necessary provisions for monitoring or witnessing tests identified in the applicable
test procedure?
k.4 . Has the applicant established prerequisites that calibrated instrumentation, and the
appropriate equipment used; trained personnel are used, and condition of test
equipment and the item to be tested meet suitable environmental conditions, and are there
provisions for data acquisition?
k.5 . Is there a system for compiling, documenting, and evaluating test results?
l.
Control of Measurement and Test Equipment
l.1.
Does the applicants Quality System Program establish requirements for the
calibration, control, issuance, and retrieval of measurement and test equipment?
Co
nfo
rm
Y

Page 16 of 22
Date:
Team Member:
Other
Reference
s
l.2. Is measurement and test equipment identified to ensure traceability of the

equipment being tested, and are records maintained?
l.3. Is the measurement and test equipment designed for the activity being tested, in regard to
range, type, and accuracy to verify conformance to established requirements?
l.4. Has the applicant developed procedures to ensure that all measurement and test equipment is
calibrated, properly adjusted at specific periods, or used at intervals to maintain accuracy
within the specified limits? (frequency)
l.5. Are the calibration methods used for measurement and test equipment
traceable to known standards, where such standards exist?
m.
Quality Records
m.1. Has the applicant established procedures for maintenance of Quality Records
based on the owners designation for the repair and replacement program?
m.2. Does the applicants procedure for Quality Records identify requirements for
maintenance of the following?
(a). Materials;
(b). Manufacturing;
(c). Examinations and test data taken before and during the repair or replacement;
(d). Applicable procedures;
(e). Specifications;
(f). Drawings used (as builts) with applicable revisions, and issue date;
(g) Identification numbers of all documents;
(h) Others as required by the Code and QA manual.
Conform
Y

Page 17 of 22
Date:
Team Member:
m.3.
Do the Quality Records identify qualification of personnel, procedures,

equipment and related repairs, or replacement activities?
m.4.
Verify that the applicant provides suitable protection from deterioration

and damage for all records while in the applicants care.
m.5.
Verify the control system used for the storage, maintenance, retrieval and
correction of records.
m.6.
Are there provisions for transfer of records to the owner at their request?
m.7.
Does the system provide for, after the completion of repair, or

replacement activities that the records, including audit reports required to verify
compliance with the applicable engineering documents and the applicants
Quality System Program have been maintained at a place mutually agreed upon by the
owner and the applicant?
Other
Reference
s
m.8. Is there identified responsibilities for review, approval and certification of records as
identified in the QA manual including NR-1 or NVR-1?
Conform
Y

Page 18 of 22
Date:
Team Member:
m.9.
but
Other
Reference
s
Does the applicants program identify requirements that Quality Records shall be
maintained for a period of five years after the completion of the repair, or replacement,
not less than two years after further normal operation of the plant?
m.10. Does the applicants Quality System Program identify requirements for
submitting the original and one legible copy of the completed Form NR-1, or
Form NVR-1, as applicable to the National Board, and the jurisdiction, if required?
n.
Examination and Test Status.
n.1.
Does the applicants Quality System Program establish requirements to

indicate by the use of markings, such as stamps, tags, labels, routing cards, or
other suitable means, the status of examinations and tests performed upon
individual items?
n.2.
Does the applicants Quality System Program establish measures that provide for the
identification of items which conform to examination and test requirements, and those that
do not conform?
n.3.
Has the applicant developed and implemented procedures for control of statistics?
n.4.
Does the Quality System Program identify responsibilities for controlling status indicators,
including the authority for applying and removing status indicators?
Conform
Y

Page 19 of 22
Date:
Team Member:
o.
Nonconforming Materials or Items.
o.1.
Does the applicants system provide for responsibility of identifying

nonconforming items, procedures, and instructions?
o.2.
Does the applicants nonconforming system provide for identification of

deviation of Code or manual requirements?
o.3.
Does the applicants system provide for correction of nonconforming items or

procedures?
o.4.
Does the system provide for the identification of nonconforming items?
o.5.
Does the applicants system provide for resolution of non-conformances?
o.6.
Does the applicants system provide for the Authorized Nuclear Inspectors
involvement?
o.7.
Does the Quality System Program provide for closure and filing/maintenance of
documents?
Other
Reference
s
Conform
Y

Page 20 of 22
Date:
Team Member:
p.
Other
Reference
s
Corrective Action
p.1. Does the applicants system provide for correction of conditions adverse to
quality?
p.2. Does the system provide for documenting corrective actions?
p.3. Verify that the system provides for determining conditions for corrective action.
p.4. Verify that the system provides for management review.
q.
Audits
q.1. Are there provisions for planned, comprehensive annual audits of all elements of the
Quality
System to determine effectiveness of the program?
q.2.
Does the applicant provide responsibility for assigning auditors and lead
auditors for both internal and external audits?
q.3.
Does the system provide for audits to be conducted in accordance with an audit
scope, audit plans, and audit checklists?
q.4.
Does the applicants system provide for not assigning auditors to areas where they are
responsible?
q.5.
Are there provisions for the required audit report to be submitted by the lead auditor?
q.6.
Are there provisions for qualification and certification of auditors and lead
auditors?
Objectives, evidence, observations, deficiencies, CAR status, etc. Include functional title of personnel interviewed.
Conform

Page 22 of 22
Date:
Team Member:
NBIC Part 3, 1.8.5.1
r.
Authorized Nuclear Inspector
r.1.
Are there provisions for the Authorized Inspectors review of design documents,
including the Users Design Specification?
r.2.
Are there provisions for free access of the applicants or subcontracted facility to satisfy
Code requirements?
r.3.
Are there provisions for selecting Code required and additional Hold and
inspection Points?
r.4.
Are there provisions for annual audits?
r.5.
Are there provisions for signing Form NR-1?
r.6.
Are there provisions for a Bound Diary to document performed activities?
Other
Reference
s
Conform
Y
Observations, evidence, observations, deficiencies, CAR status, etc. Include functional title of personnel interviewed
Date:
Team Member:
Other
Conform

Page 22 of 22
NBIC-Part 3, 1.8.5.1 & 1.8.6
r.7.
Are there provisions for monitoring the certificate holders program and recording
such monitoring in the Bound Diary?
s.
Interface with the Owners Repair
s.1.
Is the applicants repair and replacement program acceptable to the jurisdiction and the
Owners Authorized In-Service Nuclear Inspector (ANII)?
Reference
s
s.2. Does the applicants repair and replacement program satisfy Section XI of the ASME Code?
s.3. Does the applicants repair and replacement program have provisions for documenting the
activities on the Form NR-1 or Form NVR-1, whichever is applicable?
s.4. Does the applicant provide the Form NR-1 and/or NVR-1 provided to the Owner, and
jurisdiction as required?
s.5. Does the applicants program provide for control of nameplates and stamping?
Objectives, evidence, observations, deficiencies, CAR status, etc. Include title of personnel interviewed.

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Team Member Checklist for NR Survey

Are individual or individuals and organization responsible for defining and

Do the individual or individuals responsible for Quality have direct access to

Has management provided measures for individuals or groups assigned

Team Member Checklist for NR Survey

Quality System Program

Does the organizational structure delineate the levels of responsibilities,

Are repair/replacement activities controlled at all points necessary (scope) to assure

Team Member Checklist for NR Survey

Indoctrination and Training

Does the indoctrination and training program achieve suitable proficiency,

Are individual(s), or groups responsible for indoctrination and training activities,

Authorized Nuclear Inspection Agency of Record

Are proposed changes to the Quality System Manual accepted by the

Team Member Checklist for NR Survey

Team Member Checklist for NR Survey

Are the applicants engineering personnel properly qualified and certified as

Procurement Document Control

Team Member Checklist for NR Survey

Is there control of documents, including revisions, for procurement of materials, items,

Instructions, Procedures, and Drawings.

Do the instructions, procedures, and drawings include the appropriate

Team Member Checklist for NR Survey

Do the written procedures and/or work instructions provide sufficient detail to

Team Member Checklist for NR Survey

Does the control system establish measures for distribution of

Control of Purchased Materials, Items and Services.

Team Member Checklist for NR Survey

Identification and Control of Materials and Items.

Does the system require maintenance of identification of materials and items,

Do the instructions for identification of materials or items describe where the

Team Member Checklist for NR Survey

h.5. Is the information on Certified Material Test Reports, or Certificates of Compliance

Team Member Checklist for NR Survey

Is welding performed in accordance with the applicants Quality System

Team Member Checklist for NR Survey

i.3.4. Is there a system in place that establishes responsibility for instruction,

Has the applicant qualified, or if subcontracted, approved the applicable Heat

Team Member Checklist for NR Survey

Do the Process Sheets, Check Lists, or Travelers identify NDE, Welding,

Examination, Tests, and Inspections.

Team Member Checklist for NR Survey

Team Member Checklist for NR Survey

Control of Measurement and Test Equipment

Team Member Checklist for NR Survey

l.2. Is measurement and test equipment identified to ensure traceability of the

Team Member Checklist for NR Survey

Do the Quality Records identify qualification of personnel, procedures,

Verify that the applicant provides suitable protection from deterioration

Does the system provide for, after the completion of repair, or

Team Member Checklist for NR Survey

Examination and Test Status.

Does the applicants Quality System Program establish requirements to

Team Member Checklist for NR Survey

Nonconforming Materials or Items.

Does the applicants system provide for responsibility of identifying

Does the applicants nonconforming system provide for identification of

Does the applicants system provide for correction of nonconforming items or

Does the system provide for the identification of nonconforming items?