EP A Audit of WIPP QA Program : NWP QA 1

- 1 ASME NQA - 1 - 1989 CHECKLIST NQA

- 1 ELEMENT: No. 1 with Supplement 1S

- 1, Organization EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014 Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence Basic Requirements 1. Are the organizational structure, functional responsibilities, levels of authority and lines of communication documented for activities affecting quality? Y WP 13

- 1 , Revision 34, section 1.1, Quality Assu rance Program and Organization CCP

- PO

- 002, Revision 27, section 5.1.1, Organization NWP Organization Chart , provided 7/23/2014 NWP QA Organization Chart , provided 7/23/2014 NWP Management Position description for Ass urance Programs Manager Compensatory Measures Matrix for Phase III Mine Entry Compensatory Measures Matrix for Phase III Mine Manned Entry DOE CBFO letter to NWP LLC, dated 4/11/2014 , Subject: Required Compensatory Measures Plan For Ph ase II Mine Planned E ntry Inter
- Office Correspondence, dated 3/31/ 2014 with regard to N WP Organizational Announcements Inter
- Office Correspondence, dated 4/4/ 2014 with regard to Contractor Assurance System Compensatory Measure s 2. Do persons or organizations responsible for perf orming quality assurance functions have sufficient authority, access to work areas and organizational freedom to:  Identify quality problems?  Initiate, recommend, or provide solutions to quality problems through designated channels?  Verify implementation of solutions?  Assure that further processing, delivery, installation or use is controlled until proper disposition of a nonconformance, deficiency or unsatisfactory condition has occurred? Y WP 13

- 1, Revision 34, section 1. 1.5, Quality Assurance Manager CCP

- PO

- 002, Revision 27, section 5.1.1, Organization NWP Organization Chart, provided 7/23/2014 NWP QA Organization Chart, provided 7/23/2014 NWP Management Position description for Assurance Programs Manager Management Assessment Report MA

- QA

- 2013

- 02 CCP CY 2 014 S urveillance/Assessment Schedule NWP QA Audit Plan, Audit E14

- 03 NWP QA Rolling 2

- Year Independent Assessment Schedule FY 2014/2015 3. Do persons or organizations responsible for performing quality assurance functions have direct access to responsible ma nagement at a level where appropriate action can be effected? Y WP 13

- 1, Revision 34, section 1.1.5, Quality Assurance Manager WP 13

- QA.04, Revision 21, section 4. 0, QA Program Responsibilities CCP

- PO

- 002, Revision 27, section 5.1.1, Organization NWP Orga nization Chart, provided 7/23/2014 NWP QA Organization Chart, provided 7/23/2014 4. Do persons or organizations responsible for performing quality Y WP 13

- 1, Revision 34, section 1.1.5, Quality Assurance ManagerEP A Audit of WIPP QA Program : NWP QA 1

- 2

NQA

- 1 ELEMENT: No. 1 with Supplement 1S

- 1, Organization EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014 Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence assurance functions report to a management level that provides the required authority and organizational freedo m, including sufficient independence from cost and schedule considerations? WP 13

- QA.04, Revision 21, section 4. 0, QA Program Responsibilities CCP

- PO

- 002, Revision 27, section 5.1.1, Organiz ation NWP Organization Chart, provided 7/23/2014 NWP QA Organization Chart, provided 7/23/2014 Supplementary Requirements (1S - 1) 1. Are the organizational structure and the responsibility assignments such that:  Quality is achieved and maintained by those wh o have been assigned responsibility for performing work?  Quality achievement is verified by persons or organizations not directly responsible for performing the work? Y WP 13

- 1, Revision 34, section 1.1.3, Line Management (Section Managers); 1.1.4, Employe e; 1.1.5, Quality Assurance Manager. WP 13

- QA.04, Revision 21, section 4.0, QA Program Responsibilities. CCP

- PO

- 002, Revision 27, section 5.1.1, Organization. NWP Organization Chart, provided 7/23/2014 NWP Management Position description for Assurance Prog rams Manager Management Assessment Report MA

- QA

- 2013

- 02 Manageme nt Assessment Schedule for 2014 CCP CY 2014 S urveillance/Assessment Schedule NWP QA Audit Plan, Audit E14

- 03 NWP QA Rolling 2

- Year Independent Assessment Schedule FY 2014/2015 Partial list of 2014 NCR Nos. and corresponding WIPP Form Nos. IMPS report for WI PP Forms, 1/1/2010 to 7/10/2013 Report for WIPP Forms E ntered between 1/1/2014 and 7/23/2014 Inter
- office Correspondence, WIPP Form 14

- 169

– Review for SCAQ Copies of WIPP Form No s . 14

- 111, 1 4

- 019, 14

- 133 and 14

- 200 WIPP Form M eeting agenda, 7/24/ 20 14 at 9 A.M
. W IPP F orm Committee Attendees, 7/24/2014 2. Do the individuals or organizations responsible for establishing and executing a quality assurance program delegate any or all of the work to o thers, and, if so, do the individuals or organizations retain responsibility for the quality assurance program? Y WP 13

- 1, Revision 34, se ction 1.1.6, Delegation of Work WP 13

- QA.04, Revision 21, section 5.0, Interfaces CCP

- PO

- 002, Revision 27, section 5.1 .1, Organization NWP Organization Chart, provided 7/23/2014 NWP Management Position description for Assurance Programs Manager WIPP QA Surveillor Authorization Card Lead Auditor Qu alification Record (NQA

- 1

- 1989) CCP CY 2014 S urveillance/Assessment ScheduleEP A Audit of WIPP QA Program : NWP QA 1

- 3

NQA

- 1 ELEMENT: No. 1 with Supplement 1S

- 1, Organization EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014 Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence 3. Is responsibility for the control of further processing, delivery, installation or operation of nonconforming items designated in writing? Y WP 13

- 1, Revision 34, sec tion 1.3.3, Nonconforming Items ; section 1.3.4 .3, Corrective Action Planning CCP

- PO

- 002, Revision 27, section 5. 1.1, Organization ; se ction 5.3, Quality Improvement CCP

- QP

- 005, Revision 24, s ection 3.4, Responsible Manager WP 13

- QA3007, Revision 11, External Oversight Activities WP 15

- GM1002, Revision 2, Issues Managem ent, Processing of WIPP F orms MC 1.7, Revision 6 , WIPP Form Screening Committee DOE Order O 232.2 Partial list of 2014 NCR Nos. and corresponding WIPP Form Nos. IMPS report for WIPP Forms, 1/1/2010 to 7/10/2013 Report for WIPP Forms E ntered between 1/1/2014 and 7/23/2014 Inter
- off ice Correspondence, WIPP Form 14

- 169

– Review for SCAQ Copies of WIPP Form No s . 14

- 111, 14

- 019, 14

- 133 and 14

- 200 WIPP Form M eeting agenda, 7/24/ 20 14 at 9 A.M
. W IPP F orm Committee Attendees, 7/24/2014 4. Where more than one organization is involved in the ex ecution of quality assurance activities, is the responsibility and authority of each organization clearly established and documented? Y WP 13

- 1, Revision 34 , section 1.1.10, Interfaces WP 13

- QA.04, Revision 21, section 5.0, Interfaces CCP

- PO

- 002, Revision 27, section 5.1.1, Organization NWP Organization Chart, provided 7/23/2014 NWP QA Organization Chart, provided 7/23/2014 5. Are the external interfaces between organizations, as well as the internal interfaces between organizational units, documented? Are in terface responsibilities defined and documented? Y WP 13

- 1, Revision 34 , section 1.1.10, Interfaces WP 13

- QA.04, Revision 21, section 5.0, Interfaces CCP

- PO

- 002, Revision 27, section 5.1.1, Organization NWP Organization Chart, provided 7/23/2014 NWP QA Org anization Chart, provided 7/23/2014 *Y: The referenced documents adequately define, describe, address or satisfy the NQA

- 1

- 1989 requirement. N: The referenced documents do not adequately define, describe, address or satisfy the NQA

- 1

- 1989 requirement. I: EPA requires additional information to determine if the referenced documents adequately define, describe, address or satisfy the NQA

- 1

- 1989 requirement. N/A: The specific NQA

- 1

- 1989 requirement is not applicable to the subject QA program.EPA Audit of WIPP QA Program : NWP QA 2

- 1 ASME N QA - 1 - 1989 CHECKLIST NQA

- 1 ELEMENT: No. 2 with Supplements 2S

- 1, 2S

- 2, 2S

- 3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S

- 4, Quality Assurance Program Does the reference document adequately define, describe, address or sa tisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence Basic Requirements 1. Is a documented quality assurance program planned, implemented and maintained in accordance with NQA

- 1? Y WP 13

- 1, Revision 34, Introd uction; section 1.1.8, Establishment and Maintenance of Quality Assurance Pr ograms WP 13

- QA.04, Revision 21, Quality Assurance Department Administrative Program 2. Does the quality assurance program identify the activities and items to which it applies? Y WP 13

- 1, Revision 34, section 1.1.8.2, Applicability 3. Does the quality assurance program provide control over activities affecting quality to an extent consistent with their importance? Y WP 13

- 1, Revision 34, section 1.1.8.1, Grading Items and Processes and Applying Quality Assurance Controls 4. Was the quality assurance program established at the earliest time consistent with the schedule for accomplishing the activities? Y WP 13

- 1, Revision 34. WP 13

- QA.04, Revision 21, Quality Assurance Department Administr ative Program 5. Does the quality assurance program provide for the planning and accomplishment of activities affecting quality under suitably controlled conditions, which include the use of appropriate equipment, suitable environmental conditions for accomp lishing the activity and assurance that prerequisites for the given activity have been satisfied? Y WP 13

- 1, Revision 34 , section 1.1.12, Planning Work WP 13

- QA.04, Revision 21, section 4 .0, QA Program Responsibilities CCP

- PO

- 002, Revision 27, section 5.1. 2, Implementation of the QA Program

6. Does the quality assurance program provide for any special controls, processes, test equipment, tools and skills to attain the required quality and for verification of quality? Y WP 13

- 1, Revision 34 , section 1.1.12, Pl anning Work WP 13

- QA.04, Revision 21, section 3.0, Special Processes CCP

- PO

- 002, Revision 27, section 5.1.2, Implementation of the QA Program 7. Does the quality assurance program provide for indoctrination and training of personnel performing activities aff ecting quality? Y WP 13

- 1, Revision 34, section 1.2, Personnel Qualification and Training. WP 13

- QA.04, Revision 21, section 2.0, Training and Indoctrination. CCP

- PO

- 002, Revision 27, section 5.2, Personnel Qualification and Training WIPP QA Surveillor Aut horization Card Lead Auditor Qu alification Record (NQA

- 1

- 1989) 8. Does the management of the organizations implementing the quality assurance program regularly assess the adequacy of that part of the program for which they are responsible and assure its effe ctive implementation? Y WP 13

- 1, Revision 34, sec tion 1.1.3, Quality Improvement WP 13

- QA.04, Revision 21, sect ion 7.1, Management Assessments CCP

- PO

- 002, Revision 27, section 5.10, Management Assessments Management Assessment Report MA

- QA

- 2013

- 02EPA Audit of WIPP QA Program : NWP QA 2

- 2

NQA

- 1 ELEMENT: No. 2 with Supplements 2S

- 1, 2S

- 2, 2S

- 3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S

- 4, Quality Assurance Program Does the reference document adequately define, describe, address or sa tisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence Supplem entary Requirements (2S - 1) 1. Does the responsible organization designate those activities that require qualified inspection and test personnel and minimum requirements for such personnel? Y WP 13

- 1, Revision 34, section 2.4.1.1, Qualification o f Inspection and Test Personnel WP 13

- QA.04, Revision 21, section 3.0, Special P rocesses CCP

- PO

- 002, Revision 27, section 5.9.1, Qualification of Inspection and Test Personnel 2. Has the responsible organization established written procedures for the qualification of ins pection and test personnel to assure that only qualified personnel are permitted to perform inspection and test activities? Y WP 13

- 1, Revision 34, section 2.4.1.1, Qualification o f Inspection and Test Personnel WP 13

- QA.04, Revision 21, Attachment 2, Requ irements for Inspec tors CCP

- PO

- 002, Revision 27, section 5.9.1, Qualification o f Inspection and Test Personnel CCP

- QP

- 002, Revision 37, CCP Training and Qualification Plan CCP

- QP

- 030, Revision 9, CCP Written Practice for the Qualification of CCP Helium Lea k Detec tion Personnel CCP

- QP

- 032, Revision 2, CCP Written Practice for the Qualification of CCP Pressure Change Leak Testing Personnel 3. Do personnel selected for performing inspection and test activities have the experience or training commensurate with th e scope, complexity or special nature of the activities? Y WP 13

- 1, Revision 34, section 2.4.1.1, Qualification o f Inspection and Test Personnel WP 13

- QA.04, Revision 21, Attachment 2, Requir ements for Inspectors, Training WP 13

- QA.06, Revision 9, Quality Assurance Department Qualification and C ertification of Nondestructive Examination Personnel CCP

- PO

- 002, Revision 27, section 5.9.1, Qualification of Inspection and Test Personnel CCP

- QP

- 002, Revision 37, section 4.1, General Training Requirements 4. Have pr ovisions been made for the indoctrination of personnel regarding the technical objectives and requirements of the applicable codes and standards and the quality assurance program elements that are to be employed? Y WP 13

- 1, Revision 34, section 2.4.1.1, Qu alification o f Inspection and Test Personnel CCP

- PO

- 002, Revision 27, section 5.9.1, Qualification of Inspection and Test Personnel WIPP QA Surveillor Authorization Card 5. Has the need for a formal training program been determined? Are training activities, including on

- the

- job training, conducted to qualify personnel who perform inspections and tests? Y WP 13

- 1, Revision 34, section 2.4.1.1, Qualification o f Inspection and Test Personnel WP 13

- QA.04, Revision 21, Attachment 2, Requirements for Inspectors, Tr ai ning CCP

- PO

- 002, Revision 27, section 5.9.1, Qualification of Inspection and Test Personnel WIPP QA Surveillor Authorization Card Lead Auditor Qu alification Record (NQA

- 1

- 1989)EPA Audit of WIPP QA Program : NWP QA 2

- 3

NQA

- 1 ELEMENT: No. 2 with Supplements 2S

- 1, 2S

- 2, 2S

- 3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S

- 4, Quality Assurance Program Does the reference document adequately define, describe, address or sa tisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

CCP CY 2013 Surveillance/Assessment Schedule 6. Are the capabilities of a candi date for certification initially determined by a suitable evaluation of the candidate’s education, experience, training and either test results or capability demonstration? Y WP 13

- 1, Revision 34, section 2.4.1.1, Qualification o f Inspection and Test Perso nnel WP 13

- QA.04, Revision 21, Attachment 2, Requirements for Inspectors , Certification CCP

- PO

- 002, Revision 27, section 5.9.1, Qualification of Inspection and Test Personnel WIPP QA Surveillor Authorization Card Lead Auditor Qu alification Record (NQA

- 1

- 19 89) Manageme nt Assessment Schedule for 2014 CCP CY 2014 S urveillance/Assessment Schedule NWP QA Audit Plan, Audit E14

- 03 NWP QA Rolling 2

- Year Independent Assessment Schedule FY 2014/2015 7. Is the job performance of inspection and test personnel reevaluated at periodic intervals not to exceed three years? Y WP 13

- 1, Revision 34, section 2.4.1.1, Qualification o f Inspection and Test Personnel WP 13

- QA.04, Revision 21, Attachment 2, Requirements for Inspector s, Maintenance of Qualification CCP

- PO

- 002, Revision 27, section 5.9.1, Qualification o f Inspection and Test Personnel CCP

- QP

- 002, Revision 37, section 4.1, General Training Requirements WIPP QA Surveillor Authorization Card Lead Auditor Qu alification Record (NQA

- 1

- 1989) 8. If it is determined at any time tha t the capabilities of an individual are not in accordance with the qualification requirements specified for the job, is that person removed from that activity until such time as the required capability has been demonstrated? Y WP 13

- 1, Revision 34, section 2.4.1.1, Qualification o f Inspection and Test Personnel WP 13

- QA.04, Revision 21, Attachment 2, Requirements for Inspector s, Maintenance of Qualification CCP

- QP

- 002, Revision 37, section 4.1 , General Training Requirements WIPP QA Surveillor Authorization Card Lead Auditor Qu alification Record (NQA

- 1

- 1989) 9. Is a person reevaluated for a required inspection or test capability if activities have not been performed in his or her qualified area for a period of one year? Y WP 13

- 1, Revision 34, section 2.4.1.1, Qualification o f Inspection and Test Personnel WP 13

- QA.04, Revision 21, Attachment 2, Requirements for Inspector s, Maintenance of Qualification CCP

- QP

- 002, Revision 37, section 4.1 , General Training Requirements WIPP QA Surveillor Authorization CardEPA Audit of WIPP QA Program : NWP QA 2

- 4

NQA

- 1 ELEMENT: No. 2 with Supplements 2S

- 1, 2S

- 2, 2S

- 3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S

- 4, Quality Assurance Program Does the reference document adequately define, describe, address or sa tisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Lead Auditor Qu alification Record (NQA

- 1

- 1989) 10. Is the qualification of personnel certified in writing in an appropriate form, including:  Employer’s name?  Identification of person being certified?  Activities certified to perform?  Basis used for certification, i ncluding:

– Education, experience, indoctrination and training?

– Test results, where applicable?

– Results of capability demonstration?  Results of periodic evaluation?  Results of physical examinations, when required?  Signature of employer’s designated represent ative who is responsible for such certification?  Date of certification and date of certification expiration? Y WP 13

- 1, Revision 34, section 2.4.1.1, Qualification o f Inspection and Test Personnel WP 13

- QA.04, Revision 21, Attachment 2, Requirement s for In spectors, Certification CCP

- QP

- 002, Revision 37, section 4.1 , General Training Requirements WIPP QA Surveillor Authorization Card Lead Auditor Qu alification Record (NQA

- 1

- 1989)

11. Has the responsible organization identified any special physical characteristi cs needed in the performance of each activity, including the need for initial and subsequent physical examination? Y WP 13

- 1, Revision 34, section 2.4.1.1, Qualification o f Inspection and Test Personnel WP 13

- QA.04, Revision 21, Attachment 2, Requirements for I nspectors, Physical Examination CCP

- QP

- 030, Revision 9, CCP Written Practice for the Qualification of CCP He lium Leak Detection Personnel CCP

- QP

- 032, Revision 2, CCP Written Practice for the Qualification of CCP Pressur e Change Leak Testing Personnel WIPP QA Surveillor Authorization Card Lead Auditor Qu alification Record (NQA

- 1

- 1989) 12. Does the employer establish and maintain records of personnel qualification? Y WP 13

- 1, Revision 34, section 2.4.1.1, Qualification o f Inspection and Test Personnel WP 13

- QA.04, Revision 21, Attachment 2, Requirements for Inspectors CCP

- QP

- 002, Revision 37, section 4.1, General Training Requirements WIPP QA Surveillor Authorization Card Lead Auditor Qu alification Record (NQA

- 1

- 1989)EPA Audit of WIPP QA Program : NWP QA 2

- 5

NQA

- 1 ELEMENT: No. 2 with Supplements 2S

- 1, 2S

- 2, 2S

- 3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S

- 4, Quality Assurance Program Does the reference document adequately define, describe, address or sa tisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence Supplementary Requirements (2S - 2) 1. Does the quality assurance program provide for the qualification of nondestructive examination personnel to the American Society of Nondestructive Testing Recommended Practice No. SNT

- TC

- 1A, issued June 1980? Y WP 13

- 1, Revision 34, section 2.4.1.2, Qualificat ion of Nonde structive Examination Personnel CCP

- QP

- 002, Revision 37, section 5.9.2, Qualification of Nonde structive Examination Personnel CCP NDE O perator T raining R ecords 2. Has the responsible organization established written procedures for the control and administration of nondestructive examination personnel training, examination and certification? Y WP 13

- 1, Revision 34, section 2.4.1.2, Qualification of Nonde structive Examination Personnel WP 13

- QA.04, Revision 21, section 3.0, Special Processes CCP

- QP

- 002, Revision 37, CCP Training and Qualification Plan CCP

- QP

- 030, Revision 9, CCP Written Practice for the Qualification of CCP Helium Leak Detection Personnel 3. Does the employer establish and maintain records of personnel qualification? Y WP 13

- 1, Revisio n 34, section 2.4.1.2, Qualification of Nondestructive Examination Personnel WP 13

- QA.04, Revision 21, section 2.3, Specific Requirements CCP

- QP

- 002, Revision 37, section 5.9.2, Qualification of Nondestructive Examination Personnel Supplementary Requireme nts (2S - 3) 1. Has the responsible auditing organization established the qualifications for audit personnel and the requirements for the use of technical specialists to accomplish the auditing of quality assurance programs? Y WP 13

- 1, Revision 34, section 3.2 .3, Independent Assessment Team Selection; section 3.2.4, Assessment Personnel Qualifications CCP CY 2014 S urveillance/Assessment Schedule NWP QA Audit Plan, Audit E14

- 03 NWP QA Rolling 2

- Year Independent Assessment Schedule FY 2014/2015 2. Is the competence of audit personnel developed by one or more of the following methods:  Orientation to provide a working knowledge and understanding of NQA

- 1 and the auditing organization’s procedures for implementing audits and reporting results?  Training programs to prov ide general and specialized training in audit performance?  On

- the

- job training, guidance and counseling under the direct Y WP 13

- 1, Revision 34, section 3.2.4.3, Independent Assessor Qualifications WIPP QA Surveillor Authoriz ation Card Lead Auditor Qualification Record (NQA

- 1

- 1989)EPA Audit of WIPP QA Program : NWP QA 2

- 6

NQA

- 1 ELEMENT: No. 2 with Supplements 2S

- 1, 2S

- 2, 2S

- 3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S

- 4, Quality Assurance Program Does the reference document adequately define, describe, address or sa tisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence supervision of a lead auditor? 3. Does a prospective lead auditor have the capability to communicate effectively, both in writing and orally? Has the lead auditor’s employer attested to these skills in writing? Y WP 13

- 1, Revision 34, section 3 .2.4.1.2, Communications Skills WP 13

- QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors, Communication Skills WIPP QA Surveillor Authorization Card Lead Auditor Qualification Record (NQA

- 1

- 1989) CCP CY 2014 Surveillance/Assessme nt Schedule NWP QA Audit Plan, Audit E14

- 03 NWP QA Rolling 2

- Year Independent Assessment Schedule FY 2014/2015 4. Are prospective lead auditors trained, as necessary, to assure their competence in auditing skills, including training in the following areas:  K nowledge and understanding of NQA

- 1 and other nuclear

- related codes, standards, regulations and regulatory guides?  General structure of quality assurance programs as a whole and applicable elements as defined by NQA

- 1?  Auditing techniques of examining, que stioning, evaluating and reporting; methods of identifying and following up on corrective action items; and closing out audit findings?  Audit planning in the quality

- related functions for the following activities: design, purchasing, fabrication, handling, shipping, storage, cleaning, erection, installation, inspection, testing, statistics, nondestructive examination, maintenance, repair, operation, modification of nuclear facilities or associated components, and safety aspects of the nuclear facility?  On

- t he

- job training to include applicable elements of the audit program? Y WP 13

- 1, Revision 34, section 3. 2.4.1.3, Lead Auditor Training WP 13

- QA.04, Revision 21, Attachment 1, Requiremen ts for Lead Auditors, Training Lead Auditor Qu alification Record (NQA

- 1

- 1989)

5. Is a prospective lead auditor required to have participated in a minimum of five quality assurance audits within a period of time not to exceed three years prior to the date of qualification, one audit of which shall be a nuclear quality assurance audit within one year prior to qualification? Y WP 13

- 1, Revision 34, section 3.2.4.1.4, Audit Participation WP 13

- QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors, Audit Participation Lead Auditor Qualification Record (NQA

- 1

- 1989) CCP CY 2 014 Surveillance/Assessment ScheduleEPA Audit of WIPP QA Program : NWP QA 2

- 7

NQA

- 1 ELEMENT: No. 2 with Supplements 2S

- 1, 2S

- 2, 2S

- 3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S

- 4, Quality Assurance Program Does the reference document adequately define, describe, address or sa tisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

NWP QA Audit Plan, Audit E14

- 03 NWP QA Rolling 2

- Year Independent Assessment Schedule FY 2014/2015 6. Is a prospective lead auditor required to pass an examination that evaluates his or her comprehension of and ability to apply the body of knowledge identified under the training requirements (listed under question 4 above)? Y WP 13

- 1, Revision 34, section 3.2.4.1.5, Lead Auditor Examina tion WP 13

- QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors, Examination Lead Auditor Qualification Record (NQA

- 1

- 1989) 7. Do lead auditors maintain their proficiency through one or more of the following:  Regular and active participation in the audit process?  Review and study of codes, standards, procedures, instructions and oth er documents related to quality assurance program and program auditing?  Participation in training programs? Y WP 13

- 1, Revision 34, section 3.2.4.1.7, Lead Auditor Proficiency Maintenance WP 13

- QA.04, Revision 21, Attachment 1, Requirements for Lead Au dito rs, Proficiency Maintenance Lead Auditor Qualification Record (NQA

- 1

- 1989)

8. Does management conduct documented annual assessments of lead auditors to extend their qualification, require retraining or require requalification? Y WP 13

- 1, Revision 34, section 3.2.4.1.7, Lead Auditor Proficiency Maintenance WP 13

- QA.04, Revision 21, Attachment 1, Requirements for Lead Aud itors, Proficiency Maintenance Lead Auditor Qualification Record (NQA

- 1

- 1989) 9. Are lead auditors who fail to maintain their proficiency for a period of two years or more required to requalify? Y WP 13

- 1, Revision 34, section 3.2.4.1.7, Lead Auditor Proficiency Maintenance WP 13

- QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors, Proficiency Maintenance Lead Auditor Qualification Re cord (NQA

- 1

- 1989) 10. Is the employer responsible for training auditors? Y WP 13

- 1, Revision 34, s ection 1.1.2, Senior Management WP 13

- QA.04, Revision 21, Attachment 1, Requirements for Lea d Auditors, Training Lead Auditor Qu alification Record (NQA

- 1

- 1989) W IPP QA Surveillor Authorization Card 11. Does the responsible auditing organization select and assign personnel who are independent of any direct responsibility for performance of the activities that they will audit? Y WP 13

- 1, Revision 34, section 3.2.3, Ind epe ndent Assessment Team Selection WP 13

- QA.03, Revision 22, section 4.3, QA Independent Assessment Planning Lead Auditor Qualification Record (NQA

- 1

- 1989) CCP CY 2014 Surveillance/Assessment Schedule NWP QA Audit Plan, Audit E14

- 03EPA Audit of WIPP QA Program : NWP QA 2

- 8

NQA

- 1 ELEMENT: No. 2 with Supplements 2S

- 1, 2S

- 2, 2S

- 3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S

- 4, Quality Assurance Program Does the reference document adequately define, describe, address or sa tisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

NWP QA Rolling 2

- Year I ndependent Assessment Schedule FY 2014/2015 12. Does the lead auditor, prior to commencing the audit, concur that assigned audit personnel collectively have experience or training commensurate with the scope, complexity or special nature of the activities to be audited? Y WP 13

- 1, Revision 34, section 3.2.3, Indepe ndent Assessment Team Selection WP 13

- QA.03, Revision 22, section 4.3, QA Independent Assessment Planning Lead Auditor Qualification Record (NQA

- 1

- 1989) CCP CY 2014 Surveillance/Assessment Schedule N WP QA Audit Plan, Audit E14

- 03 NWP QA Rolling 2

- Year Independent Assessment Schedule FY 2014/2015 13. Is the employer responsible for the development and administration of the examination for a lead auditor? If the employer delegates this activity to an indep endent certifying agency, does the employer retain responsibility for the conformance of the examination and its administration to the NQA

- 1

- 1989 standard? Y WP 13

- 1, Revision 34, section 3.2. 4.1.5, Lead Auditor Examination WP 13

- QA.04, Revision 21, Attach ment 1, Requirements for Lead Auditors, Examination WIPP QA Surveillor Authorizatio n Card Lead Auditor Qu alification Record (NQA

- 1

- 1989) 14. Does the employer establish and maintain records of personnel qualifications for auditors and lead auditors performing audits? Y WP 13

- 1, Revision 34, section 1.2, Personnel Qualification and Trainin g; section 1.2.1, Qualification WP 13

- QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors WIPP QA Surveillor Authorization Card Lead Auditor Qualification Record (NQA

- 1

- 1989) 15. Does the employer certify each lead auditor as being qualified to lead audits, including documentation of the following by the certification:  Employer’s name?  Lead auditor’s name?  Date of certification or recertification?  Basis of qualificati on (i.e., education, experience, communication skills, training, examination, etc.)?  Signature of employer’s designated representative who is responsible for such certification? Y WP 13

- 1, Revision 34, section 3.2.4. 1.6, Lead Auditor Certification WP 13

- QA .04, Revision 21, Attachment 1, Requirements for Lead Auditors, Certification Lead Auditor Qualification Record (NQA

- 1

- 1989)

16. Are the records for each lead auditor maintained and updated annually? Y WP 13

- 1, Revision 34, section 3.2.4.1.7, Lead Auditor Pro ficiency Maintenance WP 13

- QA.04, Revision 21, Attachment 1, Requirements for Lead Au ditors, Proficiency Maintenance Lead Auditor Qualification Record (NQA

- 1

- 1989)EPA Audit of WIPP QA Program : NWP QA 2

- 9

NQA

- 1 ELEMENT: No. 2 with Supplements 2S

- 1, 2S

- 2, 2S

- 3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S

- 4, Quality Assurance Program Does the reference document adequately define, describe, address or sa tisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence Supplementary Requirements (2S - 4) 1. Are personnel identified for indoctrination or training? Y WP 13

- 1, Revis ion 34, section 1.2.2, Training WP 13

- QA.04, Revision 21 section 2 .0, Training and Indoctrination CCP

- PO

- 002, Revision 27, secti on 5.2.2, Training Requirements WIPP Q A Su rveillor Authorization Card Lead Auditor Qualification Record (NQA

- 1

- 1989) 2. Is the extent of indoctrination and training commensurate with the following:  The scope, complexity and nature of the activity?  The education, experience and proficiency of the person? Y WP 13

- 1, Revis ion 34, section 1.2.2, Training WP 13

- QA.04, Rev ision 21, section 2 .0, Training and Indoctrination CCP

- QP

- 002, Revision 37, CCP Training and Qualification Plan WIPP QA Surveillor Authorization Card Lead Auditor Qualification Record (NQA

- 1

- 1989) 3. Are personnel indoctrinated in the following subjects as t hey relate to a particular function:  General criteria, including applicable codes, standards and company procedures?  Applicable quality assurance program elements?  Job responsibilities and authority? Y WP 13

- 1, Revis ion 34, section 1.2.2, Training WP 13

- QA .04, Revision 21, se ction 2.2, General Requirements CCP

- QP

- 002, Revision 37, CCP Training and Qualification Plan WIPP QA Surveillor Authorization Card Lead Auditor Qualification Record (NQA

- 1

- 1989) 4. Is training provided, if needed, to:  Achieve initial prof

iciency?  Maintain proficiency?  Adapt to changes in technology, methods or job responsibilities? Y WP 13

- 1, Revis ion 34, section 1.2.2, Training WP 13

- QA.04, Revision 21, section 2 .0, Training and Indoctrination CCP

- QP

- 002, Revision 37, section 3.1, Site Pr oject Manager [Responsibilities] Lead Auditor Qualification Record (NQA

- 1

- 1989) CCP CY 2014 Surveillance/Assessment Schedule NWP QA Audit Plan, Audit E14

- 03 NWP QA Rolling 2

- Year Independent Assessment Schedule FY 2014/2015 5. Do records of the implementatio n of indoctrination and training take the form of:  Attendance sheets?  Training logs?  Personnel training records? Y WP 13

- 1, Revis ion 34, section 1.2.2, Training WP 13

- QA.04, Revision 21, section 2 .0, Training and Indoctrination CCP

- QP

- 002, Revision 37, sec tion 4.1 , General Training Requirements Lead Auditor Qualification Record (NQA

- 1

- 1989) *Y: The referenced documents adequately define, describe, address or satisfy the NQA

- 1

- 1989 requirement.EPA Audit of WIPP QA Program : NWP QA 2

- 10

N: The referenced documents do not adequately define, descr ibe, address or satisfy the NQA

- 1

- 1989 requirement. I: EPA requires additional information to determine if the referenced documents adequately define, describe, address or satisfy the NQA

- 1

- 1989 requirement. N/A: The specific NQA

- 1

- 1989 requirement i s not applicable to the subject QA program.EPA Audit of WIPP QA Program: NWP QA 16

- 1 ASME NQA - 1 - 1989 CHECKLIST NQA

- 1 ELEMENT: No. 16, Corrective Action EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014 Does the reference document adequately define, describe, address or s atisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence Basic Requirements 1. Are conditions adverse to quality identified promptly and corrected as soon as practical? Y WP 13

- 1, Revision 34, section 1.3. 4.3, Co rrective Action Planning WP 13

- QA3007, Revision 11, External Oversight Activities WP 15

- GM1002, Revision 2, Issues Management, Processing of WIPP Forms MC 1.7, Revision 6 , WIPP Form Screening Committee CCP

- PO

- 002, Revision 27, se ction 5.3, Quality Improve ment DOE Order O 232.2 Partial list of 2014 NCR Nos. and corresponding WIPP Form Nos. IMPS report for WIPP Forms, 1/1/2010 to 7/10/2013 Report for WIPP Forms Entered between 1/1/2014 and 7/23/2014 Inter
- office Correspondence, WIPP Form 14

- 169

– Review for SCAQ Copies of WIPP Form Nos. 14

- 111, 14

- 019, 14

- 133 and 14

- 200 WIPP Form Meeting agenda, 7/24/ 20 14 at 9 A.M
. WIPP Form Committee Attendees, 7/24/2014 2. In the case of a significant condition adverse to quality, is the cause of the condition determined and corrective action taken to preclude recurrence? Y WP 13

- 1, Revision 34, section 1.3.4 .3, Corrective Action Planning WP 15

- GM1002, Revision 2, Issues Manage ment, Processing of WIPP Forms CCP

- PO

- 002, Revision 27, section 5.3, Quality Improvement Partial lis t of 2014 NCR Nos. and corresponding WIPP Form Nos. IMPS report for WIPP Forms, 1/1/2010 to 7/10/2013 Report for WIPP Forms E ntered between 1/1/2014 and 7/23/2014 Inter
- office Correspondence, WIPP Form 14

- 169

– Review for SCAQ Copies of WIPP Form No s . 14

- 1 11, 14

- 019, 14

- 133 and 14

- 200 WIPP Form M eeting agenda, 7/24/ 20 14 at 9 A.M
. W IPP F orm Committee Attendees, 7/24/2014 3. Are the identification, cause and corrective action for significant conditions adverse to quality documented and reported to appropriate l evels of management? Y WP 13

- 1, Revision 34, section 1.3.4.2, Significant Conditions Adverse to Quality WP 15

- GM1002, Revision 2, Issues Manage ment, Processing of WIPP Forms CCP

- PO

- 002, Revision 27, section 5.3, Quality Improvement Partial list of 2014 NCR Nos. and corresponding WIPP Form Nos. IMPS report for WIPP Forms, 1/1/2010 to 7/10/2013EPA Audit of WIPP QA Program: NWP QA 16

- 2

NQA

- 1 ELEMENT: No. 16, Corrective Action EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014 Does the reference document adequately define, describe, address or s atisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Report for WIPP Forms E ntered between 1/1/2014 and 7/23/2014 Inter
- office Correspondence, WIPP Form 14

- 169

– Review for SCAQ Copies of WIPP Form No s . 14

- 111, 14

- 019, 1 4

- 133 and 14

- 200 WIPP Form M eeting agenda, 7/24/ 20 14 at 9 A.M
. W IPP F orm Committee Attendees, 7/24/2014 4. Is follow

- up action taken to verify implementation of corrective action? Y WP 13

- 1, Revision 34, section 1.3.4. 4, Corrective Action Follow

- Up WP 15

- GM1 002, Revision 2, Issues Manage ment, Processing of WIPP Forms CCP

- PO

- 002, Revision 27, section 5.3, Quality Improvement Partial list of 2014 NCR Nos. and corresponding WIPP Form Nos. IMPS report for WIPP Forms, 1/1/2010 to 7/10/2013 Report for WIPP Forms E n tered between 1/1/2014 and 7/23/2014 Inter
- office Correspondence, WIPP Form 14

- 169

– Review for SCAQ Copies of WIPP Form No s . 14

- 111, 14

- 019, 14

- 133 and 14

- 200 WIPP Form M eeting agenda, 7/24/ 20 14 at 9 A.M
. W IPP F orm Committee Attendees, 7/24/2014 Suppleme ntary Requirement

– None *Y: The referenced documents adequately define, describe, address or satisfy the NQA

- 1

- 1989 requirement. N: The referenced documents do not adequately define, describe, address or satisfy the NQA

- 1

- 1989 requirement. I: EPA requires additional information to determine if the referenced documents adequately define, describe, address or satisfy the NQA

- 1

- 1989 requirement. N/A: The specific NQA

- 1

- 1989 requirement is not applicable to the subject QA program.