Probationary Phase Rules: Section Vi

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SECTION VI
Design and Construction Rules for Mechanical
Components of PWR Nuclear Islands
Z I SUBSECTIONS A - GENERAL RULES

PROBATIONARY PHASE RULES


Z - TECHNICAL ANNEXES

2012 Edition afcen


RCC-M - 2012 Edition Tome VI - RPP

SECTION VI
PROBATIONARY PHASE RULES (RPP)

Pages

RPP GENERAL INFORMATION ................................................................. RPP 0 /1

RPP 000 GENERAL INFORMATION .................................................................................. /1

RPP 100 LIST OF RPPs ............................................................................................................ /1

RPP n°1 NUCLEAR MANAGEMENT SYSTEM .......................................... RPP 1 /1

RPP-1/ 000 SUBJECT ...................................................................................................................... /1

RPP-1/ 100 MANAGEMENT SYSTEM .................................................................................... /2

RPP-1/ 110 GENERAL REQUIREMENTS ....................................................................................... /2

RPP-1/ 120 SAFETY CULTURE ........................................................................................................ /3

RPP-1/ 130 GRADING THE APPLICATION OF MANAGEMENT SYSTEM


REQUIREMENTS ............................................................................................................ /4

RPP-1/ 140 DOCUMENTATION OF THE MANAGEMENT SYSTEM ......................................... /4

RPP-1/ 200 MANAGEMENT OF RESPONSIBILITIES .................................................... /5

RPP-1/ 210 TOP MANAGEMENT COMMITMENT (CEO) ............................................................. /5

RPP-1/ 220 SATISFACTION OF INTERESTED PARTIES ........................................................... /5


RPP-1/ 230 ORGANIZATIONAL POLICIES .................................................................................... /5

RPP-1/ 240 PLANNING ....................................................................................................................... /6

RPP-1/ 250 RESPONSIBILITY AND AUTHORITY


MANAGEMENT SYSTEM.............................................................................................. /6

RPP-1/ 300 RESOURCE MANAGEMENT ............................................................................. /7

RPP-1/ 310 APPROPRIATENESS / ADEQUACY OF RESOURCES ......................................... /7

RPP-1/ 320 HUMAN RESOURCES................................................................................................... /7


RPP-1/ 330 INFRASTRUCTURE AND THE WORKING ENVIRONMENT ................................. /7

RPP-1/ 400 PROCESS IMPLEMENTATION......................................................................... /8

RPP-1/ 410 DEVELOPING PROCESSES ........................................................................................ /8

RPP-1/ 420 PROCESS MANAGEMENT........................................................................................... /8

 n° 137-2012 RPP / 1
RCC-M - 2012 Edition Tome VI - RPP

RPP-1/ 430 PROCESS GENERIC MANAGEMENT SYSTEM PROCESSES ............................ /9


RPP-1/ 431 Control of documents
RPP-1/ 432 Control of products
RPP-1/ 433 Control of records
RPP-1/ 434 Purchasing
RPP-1/ 435 Communication
RPP-1/ 436 Managing organizational change

RPP-1/ 500 MEASUREMENT, ASSESSMENT AND IMPROVEMENT ................... /12

RPP-1/ 510 MONITORING AND MEASUREMENT ........................................................................ /12


RPP-1/ 520 SELF-ASSESSMENT ..................................................................................................... /12
RPP-1/ 530 INDEPENDENT ASSESSMENT ................................................................................... /12
RPP-1/ 540 MANAGEMENT SYSTEM REVIEW............................................................................. /13

RPP-1/ 550 NON-CONFORMANCES AND CORRECTIVE AND


PREVENTIVE ACTIONS................................................................................................ /14

RPP-1/ 560 IMPROVEMENT .............................................................................................................. /14

RPP / 2  n° 137-2012
RCC-M - 2012 Edition Section VI- RPP No. 0

RPP*
PROBATIONARY PHASE RULES (RPP)
GENERAL INFORMATION

RPP 000 GENERAL INFORMATION

Probationary Phase Rules have been introduced to allow innovative developments to be included by
the replacement of or addition to Code chapters or parts thereof as specified in each RPP.

The implementation of Probationary Phase Rules and related measures are the responsibility of the
user, who shall verify the soundness of the solutions adopted and their relevance to result sought.

Subject to prior approval from the Operator, the user may propose compensatory measures should
the content of a Probationary Phase Rule proves difficult to implement.

The continued inclusion of a Probationary Phase Rule shall be subject to periodic review in the light
of available feedback.

* RPP : stands for "PROBATIONARY PHASE RULES" even if PPR should be the right abbreviation

RPP 100 LIST OF RPPs

RPP No. 1 (December 2011) : NUCLEAR MANAGEMENT SYSTEM

 n° 137-2012 RPP 0 / 1
RCC-M - 2012 Edition Section VI- RPP No. 0

RPP 0 / 2  137-2012
RCC-M - 2012 Edition Section VI- RPP No. 1

RPP No. 1

PROBATIONARY PHASE RULE (RPP)


NUCLEAR MANAGEMENT SYSTEM

This chapter is an AFCEN Probationary Phase Rule (RPP).

Its application is the responsibility of the user who wishes to comply with the scope of chapter
A 5000 of the Code, as an alternative to the detailed requirements in subchapter A 5100. It
demonstrates how chapter A 5000 is applied by giving answers accepted under the Code.

Users of this RPP shall be conscious of the innovative nature of this rule and the need to make
choices as to how it should be applied based on their own best knowledge of industrial practice.
They are urged to submit suggested improvements or modifications to the authors of the Code.

Editing and maintenance of this RPP will be reviewed annually by AFCEN.

This document incorporates information and criteria from GS-R-3 (1) of 2006 in literally (shown in
bold, with a reference in quotation marks to the source paragraph of the GS-R-3), so that it is self-
contained from a user perspective.

RPP-1/ 000 SUBJECT


This chapter covers RCC-M requirements applicable to the preparation and implementation of
management systems. These requirements are based on those of the IAEA Safety Requirements
document No. GS-R-3 and on the application(1) guides thereto. This chapter applies to the
client/supplier relationship.

Its structure follows that of IAEA Safety Requirements document No. GS-R-3 and uses the same
terminology.

- RPP-1/ 100 Management system


- RPP-1/ 200 Management responsibility
- RPP-1/ 300 Resource management
- RPP-1/ 400 Process implementation
- RPP-1/ 500 Measurement, assessment and improvement

1
IAEA Safety Requirements No. GS-R-3: 2006. See also application guides GS-G-3.1 and GS-G-3.5.
 137-2012 RPP 1 / 1
RCC-M - 2012 Edition Section VI- RPP No. 1

Definition [According to the glossary in IAEA GS-R-3]:

Management system: A set of interrelated or interacting elements (system) for establishing


policies and objectives and enabling the objectives to be achieved in an efficient and effective
way.

The management system integrates all elements of an organization into one coherent system to
enable all of the organization’s objectives to be achieved. These elements include the structure,
resources and processes. Personnel, equipment and organizational culture as well as the
documented policies and processes are parts of the management system. The organization’s
processes have to address the totality of the requirements on the organization as established
in, for example, IAEA safety standards and other international codes and standards.

A quality management system which complies with the requirements of ISO 9001-20082 is a
prerequisite to the provision of any activity specified by this body of rules.

Any supplier in charge of such an activity shall implement a management system which fulfils the
requirements of this chapter.

RPP-1/ 100 MANAGEMENT SYSTEM

RPP-1/ 110 GENERAL REQUIREMENTS


[2.1] A management system shall be established, implemented, assessed and continually
improved. It shall be aligned with the goals of the organization and shall contribute to
their achievement. The main aim of the management system shall be to achieve and
enhance safety by:
- Bringing together in a coherent manner all the requirements for managing the
organization;
- Describing the planned and systematic actions necessary to provide adequate
confidence that all these requirements are satisfied;

[2.2.] Safety shall be paramount within the management system, overriding all other
demands.
The safety requirements or safety level shall be specified in the purchase order. The
management system supplied in fulfilment of the order shall demonstrate how it prioritizes
safety over other aspects.

2
Standard NF EN ISO 9001 Ed. 11/2008 +AC 07/2009 "Quality Management Systems - Requirements"; certification
by a third party organization in relation to this standard is not required.

RPP 1 / 2  137-2012
RCC-M - 2012 Edition Section VI- RPP No. 1

[2.3.modified] The management system shall incorporate the requirements of this chapter:
- Provisions ensuring compliance with the statutory and regulatory requirements of
the State to which the equipment is being delivered;
- Provisions ensuring compliance with any requirements formally agreed with
interested parties;
- Provisions ensuring compliance with any requirements contained in other codes and
standards adopted by the organization relating to its use;
Identification of the provisions referred to in [2.3] and their application shall be contractually
defined between purchaser and supplier.

[2.4.] The organization shall be able to demonstrate the effective fulfilment of its
management system requirements.

RPP-1/ 120 SAFETY CULTURE


[2.5] The management system shall be used to promote and support a strong safety culture
by:
- Ensuring a common understanding of the key aspects of safety culture within the
organization;
- Providing the means by which the organization supports individuals and teams in
carrying out their tasks safely and successfully, taking into account the interaction
between individuals, technology and the organization;
- Reinforcing a learning and questioning attitude at all levels of the organization;
- Providing the means by which the organization continually seeks to develop and
improve its safety culture.

The promotion and support of the safety culture shall, as a minimum, be founded on:
- identification of activities which are important for safety within the organization,
- planning and provision of resources as required to perform the tasks in question,
- an awareness program for all concerned people of the organization.

 137-2012 RPP 1 / 3
RCC-M - 2012 Edition Section VI- RPP No. 1

RPP-1/ 130 GRADING THE APPLICATION OF MANAGEMENT


SYSTEM REQUIREMENTS
[2.6] The application of management system requirements shall be graded so as to deploy
appropriate resources, on the basis of the consideration of:
- The significance and complexity of each product or activity;
- The hazards and the magnitude of the potential impact (risks) associated with the
safety, health, environmental, security, quality and economic elements of each
product or activity;
- The possible consequences if a product fails or an activity is carried out incorrectly.
- The safety class of the equipment and the contribution of components and subassemblies
to the performance of the function classified.
- The feedback experience.

[2.7.] Grading of the application of management system requirements shall be applied to the
products and activities of each process.

RPP-1/ 140 DOCUMENTATION OF THE MANAGEMENT SYSTEM


[2.8.] The documentation of the management system shall include the following:
- The policy statements of the organization;
- A description of the management system;
- A description of the structure of the organization;
- A description of the functional responsibilities, accountabilities, levels of authority
and interactions of those managing, performing and assessing work;
- A description of the processes and supporting information that explain how work is
to be prepared, reviewed, carried out, recorded, assessed and improved.

[2.9.] The documentation of the management system shall be developed to be understandable


to those who use it. Documents shall be readable, readily identifiable and available at
the point of use.

[2.10.] The documentation of the management system shall reflect:


- The characteristics of the organization and its activities;
- The complexities of processes and their interactions
A product performance document shall clearly identify its area of application and be
structured in such a way as to be applicable to the specified area without ambiguity.

RPP 1 / 4  137-2012
RCC-M - 2012 Edition Section VI- RPP No. 1

RPP-1/ 200 MANAGEMENT OF RESPONSIBILITIES

RPP-1/ 210 TOP MANAGEMENT COMMITMENT (CEO)3


MANAGEMENT COMMITMENT
[3.1.] Management at all levels shall demonstrate its commitment to the establishment,
implementation, assessment and continual improvement of the management system
and shall allocate adequate resources to carry out these activities.

[3.2.] Senior management shall develop individual values, institutional values and
behavioural expectations for the organization to support the implementation of the
management system and shall act as role models in the promulgation of these values
and expectations.

[3.3.] Management at all levels shall communicate to individuals the need to adopt these
individual values, institutional values and behavioural expectations as well as to comply
with the requirements of the management system.

[3.4.] Management at all levels shall foster the involvement of all individuals in the
implementation and continual improvement of the management system.
[3.5.] Senior management shall ensure that it is clear when, how and by whom decisions are
to be made within the management system.

RPP-1/ 220 SATISFACTION OF INTERESTED PARTIES


[3.6.] The expectations of interested parties shall be considered by senior management in the
activities and interactions in the processes of the management system, with the aim of
enhancing the satisfaction of interested parties while at the same time ensuring that
safety is not compromised.

The organization shall put the resources in place so that it can be notified immediately of any
problem with the performance of a product or activity which might impact compliance with
critical characteristics (having repercussions for safety choices), and can additionally be in a
position to communicate this in a timely manner to the customer (see paragraph RPP-1/ 550)
and other interested parties.

RPP-1/ 230 ORGANIZATIONAL POLICIES


[3.7.] Senior management shall develop the policies of the organization. The policies shall be
appropriate to the activities and facilities of the organization.

3
CEO: Chief Executive Officer or Chairman

 137-2012 RPP 1 / 5
RCC-M - 2012 Edition Section VI- RPP No. 1

RPP-1/ 240 PLANNING


[3.8.] Senior management shall establish goals, strategies, plans and objectives that are
consistent with the policies of the organization.

[3.9.] Senior management shall develop the goals, strategies, plans and objectives of the
organization in an integrated manner so that their collective impact on safety is
understood and managed.

[3.10.] Senior management shall ensure that measurable objectives for implementing the
goals, strategies and plans are established through appropriate processes at various
levels in the organization.

[3.11.] Senior management shall ensure that the implementation of the plans is regularly
reviewed against these objectives and that actions are taken to address deviations from
the plans where necessary.

RPP-1/ 250 RESPONSIBILITY AND AUTHORITY


FOR THE MANAGEMENT SYSTEM
[3.12.] Senior management shall be ultimately responsible for the management system and
shall ensure that it is established, implemented, assessed and continually improved.

[3.13.] An individual reporting directly to senior management shall have specific responsibility
and authority for:
- Coordinating the development and implementation of the management system, and
its assessment and continual improvement;
- Reporting on the performance of the management system, including its influence on
safety and safety culture, and any need for improvement;
- Resolving any potential conflicts between requirements and within the processes of
the management system.

[3.14.] The organization shall retain overall responsibility for the management system when
an external organization is involved in the work of developing all or part of the
management system.

RPP 1 / 6  137-2012
RCC-M - 2012 Edition Section VI- RPP No. 1

RPP-1/ 300 RESOURCE MANAGEMENT

RPP-1/ 310 APPROPRIATENESS / ADEQUACY OF RESOURCES


[4.1.] Senior management shall determine the amount of resources necessary and shall
provide the resources4 to carry out the activities of the organization and to establish,
implement, assess and continually improve the management system.

[4.2.] The information and knowledge of the organization shall be managed as a resource.
Criterion 4.2 implies perpetuating the company’s skills in respect of safety-related activities,
the lack of which might impact conformance of off-the-shelf equipment to qualified
equipment, or even the capability to produce the said equipment.

RPP-1/ 320 HUMAN RESOURCES


[4.3.] Senior management shall determine the competence requirements for individuals at all
levels and shall provide training or take other actions to achieve the required level of
competence. An evaluation of the effectiveness of the actions taken shall be conducted.
Suitable proficiency shall be achieved and maintained.

[4.4.] Senior management shall ensure that individuals are competent to perform their
assigned work and that they understand the consequences for safety of their activities.
Individuals shall have received appropriate education and training, and shall have
acquired suitable skills, knowledge and experience to ensure their competence.
Training shall ensure that individuals are aware of the relevance and importance of
their activities and of how their activities contribute to safety in the achievement of the
organization’s objectives.
Comment: Criterion 4.4 is a direct consequence of the instilment of the safety culture within
the supply chain.

RPP-1/ 330 INFRASTRUCTURE AND THE WORKING ENVIRONMENT


[4.5.] Senior management shall determine, provide, maintain and re-evaluate the
infrastructure and the working environment necessary for work to be carried out in a
safe manner and for requirements to be met.
Safety Guide GS G 3.5 (paragraphs 4.19 to 4.25) provides clarification regarding the aspects
to be considered.

4
‘Resources’ includes individuals, infrastructure, the working environment, information and knowledge, and suppliers,
as well as material and financial resources.

 137-2012 RPP 1 / 7
RCC-M - 2012 Edition Section VI- RPP No. 1

RPP-1/ 400 PROCESS IMPLEMENTATION

RPP-1/ 410 DEVELOPING PROCESSES


[5.1.] The processes of the management system that are needed to achieve the goals, provide
the means to meet all requirements and deliver the products of the organization shall
be identified, and their development shall be planned, implemented, assessed and
continually improved.

[5.2.] The sequence and interactions of the processes shall be determined.

[5.3.] The methods necessary to ensure the effectiveness of both the implementation and the
control of the processes shall be determined and implemented.

[5.4.] The development of each process shall ensure that the following are achieved:
- Process requirements, such as applicable regulatory, statutory, legal, safety, health,
environmental, security, quality and economic requirements, are specified and addressed.
- Hazards and risks are identified, together with any necessary mitigatory actions.
- Interactions with interfacing processes are identified.
- Process inputs are identified.
- The process flow is described.
- Process outputs (products) are identified.
- Process measurement criteria are established.

[5.5.] The activities of and interfaces between different individuals or groups involved in a
single process shall be planned, controlled and managed in a manner that ensures
effective communication and the clear assignment of responsibilities.

RPP-1/ 420 PROCESS MANAGEMENT


[5.6.] For each process a designated individual shall be given the authority and responsibility
for:
- Ensuring that there is effective interaction between interfacing processes;
- Ensuring that process documentation is consistent with any existing documents;
- Ensuring that the records required to demonstrate that the process results have been
achieved are specified in the process documentation;

RPP 1 / 8  137-2012
RCC-M - 2012 Edition Section VI- RPP No. 1

- Monitoring and reporting on the performance of the process;


- Promoting improvement in the process;
- Ensuring that the process, including any subsequent changes to it, is aligned with the
goals, strategies, plans and objectives of the organization.
This criterion shall be adjusted according to the grading of requirements covered in
RPP-1/ 130 and RPP-1/ 320.

[5.7.] For each process, any activities for inspection, testing, verification and validation, their
acceptance criteria and the responsibilities for carrying out these activities shall be
specified. For each process, it shall be specified if and when these activities are to be
performed by designated individuals or groups other than those who originally
performed the work.
In implementing the two aforementioned criteria [5.6] and [5.7], the requirements to be met
by the test laboratories shall be specified. For activities defined by standard
NF EN ISO/CEI 17025: 2005, the laboratory’s documented process may satisfy the
requirements of the standard.

[5.8.] Each process shall be evaluated to ensure that it remains effective.

[5.9.] The work performed in each process shall be carried out under controlled conditions,
by using approved current procedures, instructions, drawings or other appropriate
means that are periodically reviewed to ensure their adequacy and effectiveness.
Results shall be compared with expected values.

[5.10.] The control of processes contracted to external organizations shall be identified within
the management system. The organization shall retain overall responsibility when
contracting any processes.

RPP-1/ 430 PROCESS GENERIC MANAGEMENT SYSTEM PROCESSES


[5.11] The following generic processes shall be developed in the management system.

RPP-1/ 431 CONTROL OF DOCUMENTS


[5.12.] Documents5 shall be controlled. All individuals involved in preparing, revising,
reviewing or approving documents shall be specifically assigned this work, shall be
competent to carry it out and shall be given access to appropriate information on which
to base their input or decisions. It shall be ensured that document users are aware of
and use appropriate and correct documents.

5
Documents may include: policies; procedures; instructions; specifications and drawings (or representations in other
media); training materials; and any other texts that describe processes, specify requirements or establish product
specifications.
 137-2012 RPP 1 / 9
RCC-M - 2012 Edition Section VI- RPP No. 1

The documents shall be checked by different individuals from those who drew them up.
[5.13.] Changes to documents shall be reviewed and recorded and shall be subject to the same
level of approval as the documents themselves.

RPP-1/ 432 CONTROL OF PRODUCTS


[5.14.] Specifications and requirements for products, including any subsequent changes, shall
be in accordance with established standards and shall incorporate applicable
requirements. Products that interface or interact with each other shall be identified and
controlled.

[5.15.] Activities for inspection, testing, verification and validation shall be completed before
the acceptance, implementation or operational use of products.
These activities shall be performed by persons other than those who made the product.
Instruments and equipment used for these activities shall be of the appropriate
measurement range, type, accuracy and precision.

[5.16.] The organization shall confirm that products meet the specified requirements and shall
ensure that products perform satisfactorily in service when contractually required.

[5.17.] Products shall be provided in such a form that it can be verified that they satisfy the
requirements.
Criteria 5.17 and 5.18 may apply via lead product qualification.

[5.18.] Controls shall be used to ensure that products do not bypass the required verification
activities.

[5.19.] Products shall be identified to ensure their proper use. Where traceability is a
requirement, the organization shall control and record the unique identification of the
product.

[5.20.] Products shall be handled, transported, stored, maintained and operated as specified,
to prevent their damage, loss, deterioration or inadvertent use.

RPP-1/ 433 CONTROL OF RECORDS


[5.21.] Records shall be specified in the process documentation and shall be controlled. All
records shall be readable, complete, identifiable and easily retrievable.

RPP 1 / 10  137-2012
RCC-M - 2012 Edition Section VI- RPP No. 1

[5.22.] Retention times of records and associated test materials and specimens shall be
established to be consistent with the statutory requirements and knowledge
management obligations of the organization. The media used for records shall be such
as to ensure that the records are readable for the duration of the retention times
specified for each record.
The duration of archiving shall be defined by the purchaser.
It is the responsibility of the supplier to demonstrate his ability to retrieve records during the
specified period.

RPP-1/ 434 PURCHASING


Products shall be supplied in accordance with the requirements of this RPP and by applying the
grading of paragraph RPP-1/ 130.

[5.23.] Suppliers of products shall be selected on the basis of specified criteria and their
performance shall be evaluated.

[5.24.] Purchasing requirements shall be developed and specified in procurement documents.


Evidence that products meet these requirements shall be available to the organization
before the product is used.
If the product supplier does not have a quality management system which satisfies all the
requirements of this body of rules, and depending on the importance of the product in
relation to the grading requirements listed in paragraph RPP-1/ 130, the purchasing adviser
shall contractually formalize the substitution requirements necessary for the quality and
safety of the product.

[5.25.] Requirements for the reporting and resolution of non-conformances shall be specified
in procurement documents.

RPP-1/ 435 COMMUNICATION


[5.26.] Information relevant to safety, health, environmental, security, quality and economic
goals shall be communicated to individuals in the organization and, where necessary, to
other interested parties.
The interested parties are firstly the Customer and others specified contractually or from a
regulatory perspective.

[5.27.] Internal communication concerning the implementation and effectiveness of the


management system shall take place between the various levels and functions of the
organization.

RPP-1/ 436 MANAGING ORGANIZATIONAL CHANGE


[5.28.] Organizational changes shall be evaluated and classified according to their importance
to safety and each change shall be justified.

 137-2012 RPP 1 / 11
RCC-M - 2012 Edition Section VI- RPP No. 1

[5.29.] The implementation of such changes shall be planned, controlled, communicated,


monitored, tracked and recorded to ensure that safety is not compromised.

Note: INSAG 18 (International Nuclear Safety Advisory Group “Managing change in the Nuclear Industry: the effect
on Safety”, 2003) outlines this requirement in greater detail.

RPP-1/ 500 MEASUREMENT, ASSESSMENT AND IMPROVEMENT

RPP-1/ 510 MONITORING AND MEASUREMENT


[6.1.] The effectiveness of the management system shall be monitored and measured to
confirm the ability of the processes to achieve the intended results and to identify
opportunities for improvement.

RPP-1/ 520 SELF-ASSESSMENT


[6.2.] Senior management and management at all other levels in the organization shall carry
out self-assessment to evaluate the performance of work and the improvement of the
safety culture.

RPP-1/ 530 INDEPENDENT ASSESSMENT


The terms “inspections” and “surveillance” which facilitate assessment, are included in this
document, within the meaning of NF EN ISO/CEI 17000 and the IAEA 2007 Glossary.

[6.3.] Independent assessments shall be conducted regularly on behalf of senior management:


- To evaluate the effectiveness of processes in meeting and fulfilling goals, strategies,
plans and objectives;
- To determine the adequacy of work performance and leadership;
- To evaluate the organization’s safety culture;
- To monitor product quality;
- To identify opportunities for improvement.
The areas covered by independent assessment shall be documented, and proof shall be
provided that the work has been carried out. (e.g. safety culture).

RPP 1 / 12  137-2012
RCC-M - 2012 Edition Section VI- RPP No. 1

[6.4.] An organizational unit shall be established with the responsibility for conducting
independent assessments6. This unit shall have sufficient authority to discharge its
responsibilities.
The roles and authority of the assessors shall be clearly defined and documented.

[6.5.] Individuals conducting independent assessments shall not assess their own work.

[6.6.] Senior management shall evaluate the results of the independent assessments, shall take
any necessary actions, and shall record and communicate their decisions and the
reasons for them.
The type of decision and actions to be undertaken as a result of the findings of the
assessments shall be defined in advance. (Consistency, legitimacy of implementation, etc.).

Note: this point includes the following actions, in particular: inspections of activities, audits (internal and external),
technical audits of processes and activities

RPP-1/ 540 MANAGEMENT SYSTEM REVIEW


[6.7.] A management system review shall be conducted at planned intervals to ensure the
continuing suitability and effectiveness of the management system and its ability to
enable the objectives set for the organization to be accomplished.

[6.8.] The review shall cover but shall not be limited to:
- Outputs from all forms of assessment;
- Results delivered and objectives achieved by the organization and its processes;
- Non-conformances and corrective and preventive actions;
- Lessons learned from other organizations;
- Opportunities for improvement.

[6.9.] Weaknesses and obstacles shall be identified, evaluated and remedied in a timely
manner.

[6.10.] The review shall identify whether there is a need to make changes to or improvements
in policies, goals, strategies, plans, objectives and processes.
In addition to the knowledge gained by the supplier from his experience of other
organizations as indicated under criterion 6.8, the customer’s order shall prescribe the
requirements based on his own knowledge gained from experience.

6
The size of the assessment unit differs from organization to organization. In some organizations, the assessment
function may even be a responsibility assigned to a single individual or to an external organization.

 137-2012 RPP 1 / 13
RCC-M - 2012 Edition Section VI- RPP No. 1

RPP-1/ 550 NON-CONFORMANCES AND CORRECTIVE AND


PREVENTIVE ACTIONS
[6.11.] The causes of non-conformances shall be determined and remedial actions shall be
taken to prevent their recurrence.

[6.12.] Products and processes that do not conform to the specified requirements shall be
identified, segregated, controlled, recorded and reported to an appropriate level of
management within the organization. The impact of nonconformances shall be
evaluated and non-conforming products or processes shall be either:
- Accepted;
- Reworked or corrected within a specified time period; or
- Rejected and discarded or destroyed to prevent their inadvertent use.

[6.13.] Concessions granted to allow acceptance of a non-conforming product or process shall


be subject to authorization. When non-conforming products or processes are reworked
or corrected, they shall be subject to inspection to demonstrate their conformity with
requirements or expected results.

Authorisation levels shall be defined and documented and take into account the impact of
nonconformance. Waivers shall be authorized by the organization which issued the
requirements.

[6.14.] Corrective actions for eliminating non-conformances shall be determined and


implemented. Preventive actions to eliminate the causes of potential nonconformances
shall be determined and taken.

[6.15.] The status and effectiveness of all corrective and preventive actions shall be monitored
and reported to management at an appropriate level in the organization.

[6.16.] Potential non-conformances that could detract from the organization’s performance
shall be identified. This shall be done: by using feedback from other organizations, both
internal and external; through the use of technical advances and research; through the
sharing of knowledge and experience; and through the use of techniques that identify
best practices.

RPP-1/ 560 IMPROVEMENT


[6.17.] Opportunities for the improvement of the management system shall be identified and
actions to improve the processes shall be selected, planned and recorded.

[6.18.] Improvement plans shall include plans for the provision of adequate resources. Actions
for improvement shall be monitored through to their completion and the effectiveness
of the improvement shall be checked.

RPP 1 / 14  137-2012

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