EPA Audit of WIPP QA Program : LANL - CO WIPP QA 1 - 1 ASME NQA - 1 - 1989 CHECKLIST NQA - 1 ELEMENT: No. 1 with Supplement 1S - 1, Organization EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– 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 QAPD, Rev ision 11, section 1.1, Organization and Quality Assurance Program; section 1.1.1.4, Communication and Interface Responsibilities, paragraph A; Appendix C, CBFO Organization, Responsibilities, and Interfaces; Appendix D, CBFO Quality Assurance Mana ger Responsibilities; Appendix E, TRU Waste Characterization and Certification Organizational and Individual Responsibilities LCO - ACP - 01, Revision 4, section 2.0, Scope; section 4.0, Responsibilities; section 5.0, Organizational Interfaces LCO - QPD - 06, Revi sion 2, section 2.0, Mission Description; section 3.0, Organization and Quality Assurance Program LANL - CO Organization Chart for EPA Audit , provided 6/2/2014 Key Position Descriptions , provided 6/2/2014 2. Do persons or organizations responsible for perform ing 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 so lutions?  Assure that further processing, delivery, installation or use is controlled until proper disposition of a nonconformance, deficiency or unsatisfactory condition has occurred? Y QAPD, Rev ision 11, section 1.1.1.3, QA Management, paragraphs A and B; Appendix D, CBFO Quality Assur ance Manager Responsibilities LCO - ACP - 01, Revision 4, section 4.3, LANL - CO Quality Assurance Manager; section 4.4, CEMRC Quality Assurance Manager; section 5.3, Quality Assurance LCO - QPD - 06, Revision 2, section 3.2, LANL - CO W IPP/RSO Program Director Responsibilities; section 3.4, QA Manager Responsibilities; section 3.5, Communication Responsibilities LCO - MP18 - 1, Revision 4, section 4.0, Responsibilities; section 5.0, Procedure Key Position Descriptions , provided 6/2/2014 3. Do persons or organizations responsible for performing quality assurance functions have direct access to responsible management at a level where appropriate action can be effected? Y QAPD, Rev ision 11, section 1.1.1.3, QA Management, paragraph A.7; Appendix C , CBFO Organization, Re sponsibilities, and Interfaces LCO - QPD - 06, Revision 2, section 3.2, LANL - CO WIPP/RSO Program Director Responsibilities; section 3.4, QA Manager Responsibilities; section 3.5, Communication Responsibilities LANL - CO Organization Chart for EPA Audit , provided 6/2/2014 LCO - MP18 - 1, Revision 4, section 4.0, Responsibilities; section 5.0, Procedure 4. Do persons or organizations responsible for performing quality assurance functions report to a management level that provides the required autho rity and organizational freedom, including sufficient Y QAPD, Rev ision 11, section 1.1.1.3, QA Management, paragraphs A.7

– 10 and B LCO - QPD - 06, Revision 2, section 3.2, LANL - CO WIPP/RSO Program DirectorEPA Audit of WIPP QA Program : LANL - CO WIPP QA 1 - 2

independence from cost and schedule considerations? Re sponsibilities; section 3.4, QA Manager Responsibilities; section 3.5, Communication Responsibilities LANL - CO Organization Chart for EPA Audit , provided 6/2/2014 Supplementary Requirements (1S - 1) 1. Are the organizational structure and the responsibility as signments such that:  Quality is achieved and maintained by those who have been assigned responsibility for performing work?  Quality achievement is verified by persons or organizations not directly responsible for performing the work? Y QAPD, Rev ision 11, section 1.1.1, Org anization; section 1.1.1.2, Employees; section 1.1.1.3, QA Management; Appendix D, CBFO Quality Ass urance Manager Responsibilities LCO - ACP - 01, Revision 4, section 4.0, Responsibilities; section 5.0, Organizational Interfaces LCO - QPD - 06, R evision 2, section 3.0, Organization and Quality Assurance Program; section 4.0, Qualification and Training Requirements LANL - CO Organization Chart for EPA Audit , provided 6/2/2014 Key Position Descriptions , provided 6/2/2014 2. Do the individuals or organiz ations responsible for establishing and executing a quality assurance program delegate any or all of the work to others, and, if so, do the individuals or organizations retain responsibility for the quality assurance program? Y QAPD, Rev ision 11, sect ion 1 .1.1.5, Delegation of Work LCO - QPD - 06, Revision 2, section 3.0, Organization and Quality Assurance Program LCO - MP18 - 1, Revision 4, section 4.0, Responsibilities; section 5.0, Procedure 3. Is responsibility for the control of further processing, delivery, ins tallation or operation of nonconforming items designated in writing? N/A QAPD, Rev ision 11, section 1.1.1.3, QA Management, paragraph B.4; section 1.3.2.1, Documenting and Evaluating Nonconforming Items, paragraph E 4. Where more than one organization is inv olved in the execution of quality assurance activities, is the responsibility and authority of each organization clearly established and documented? Y QAPD, Rev ision 11, section 1.1.1.4, Communication and Interface Responsibilities, paragraph B; Appendix C , CBFO Organization, R esponsibilities, and Interfaces LCO - ACP - 01, Revision 4, section 4.0, Responsibilities; section 5.0, Organizational Interfaces 5. Are the external interfaces between organizations, as well as the internal interfaces between organizationa l units, documented? Are interface responsibilities defined and documented? Y QAPD, Rev ision 11, section 1.1.1.4, Communication and Interface Responsibilities , paragraph B; Appendix C, CBFO Organization, Responsibilities, and Interfaces LCO - ACP - 01, Revisio n 4, section 4.0, Responsibilities; section 5.0, Organizational Interfaces LCO - QPD - 06, Revision 2, section 3.6, Interface Responsibilities *Y: T he reference d document s adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. N: T he reference d document s do not adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. I : EPA requires additional information to determine if t he reference d document s adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requir ement. N/A: The specific NQA - 1 - 1989 requirement is not applicable to the subject QA program .EPA Audit of WIPP QA Program : LANL - CO WIPP QA 2 - 1 ASME NQA - 1 - 1989 CHECKLIST NQA - 1 ELEMENT: No. 2 with Supplements 2S - 1, 2S - 2, 2S - 3 and EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014

2S - 4, Quality Assurance Program 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. Is a documented quality a ssurance program planned, implemented and maintained in accordance with NQA - 1? Y QAPD, Rev ision 11, section 1.1.2.1, Quality Assurance Program Documents LCO - QP2 - 1, Revision 5, Establishing Quality Controls LCO - QP2 - 2, Revision 5, Quality Assurance Requireme nts for Quality Level One Activities LCO - QP2 - 3, Revision 5, Qualification and Training 2. Does the quality assurance program identify the activities and items to which it applies? Y QAPD, Rev ision 11, section 1.1.2.2, Applicability of QAPD Requirements LCO - Q P2 - 1, Revision 5, Establishing Quality Controls LCO - QP2 - 2, Revision 5, Quality Assurance Requirements for Quality Level One Activities 3. Does the quality assurance program provide control over activities affecting quality to an extent consistent with their importance? Y QAPD, Rev ision 11, section 1.1.2.3, Grading Items and Activities and Applying Management Controls LCO - QP2 - 1, Revision 5, Establishing Quality Controls LCO - QP2 - 2, Revision 5, Quality Assurance Requirements for Quality Level One Activities Grad ing for FY11 and FY12, GRD - 1204 - 01 - 01 - 01 Grading for FY13, GRD - 1301 - 01 - 01 - 01 Grading for FY14, GRD - 1312 - 01 - 01 - 01 4. Was the quality assurance program established at the earliest time consistent with the schedule for accomplishing the activities? Y QAPD, Rev i sion 11, section 1.1.2.3, Grading Items and Activities and Applying Management Controls. LCO - QP2 - 1, Revision 5, Establishing Quality Controls LCO - QP2 - 2, Revision 5, Quality Assurance Requirements for Quality Level One Activities Grading for FY11 and FY12, GRD - 1204 - 01 - 01 - 01 Grading for FY13, GRD - 1301 - 01 - 01 - 01 Grading for FY14, GRD - 1312 - 01 - 01 - 01 5. Does the quality assurance program provide for the planning and accomplishment of activities affecting quality under suitably controlled conditions, which include th e use of appropriate N/A QAPD, Revision 11, section 1.1.2.4, Planning Work, paragraphs E and GEPA Audit of WIPP QA Program : LANL - CO WIPP QA 2 - 2 NQA - 1 ELEMENT: No. 2 with Supplements 2S - 1, 2S - 2, 2S - 3 and EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014

2S - 4, Quality Assurance Program Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence equipment, suitable environmental conditions for accomplishing the activity and assurance that prerequisites for the given activity have been satisfied? 6. Does t he quality assurance program provide for any special controls, processes, test equipment, tools and skills to attain the required quality and for verification of quality? N/A QAPD, Revision 11, section 1.1.2.4, Planning Work 7. Does the quality assurance pr ogram provide for indoctrination and training of personnel performing activities affecting quality? Y QAPD, Rev ision 11, section 1.2.2 , Training Requirements , paragraph A LCO - QP2 - 3, Revision 5, Qualification and Training QA - DL - 01, LANL - CO QA Distribution a nd Required Reading List, TRN - 1406 - 01 - 01 - 01, Revision 11 2013 Peer Inspector Training Attendance Record, TRN - 1302 - 01 - 01 - 01 Training records for B. Ams, D. Guerin D, A. Heiser, D. Reed, C. Stroud 8. Does the management of the organizations implementing the qu ality assurance program regularly assess the adequacy of that part of the program for which they are responsible and assure its effective implementation? Y QAPD, Revision 11, section 1.1.1.3, QA Management LCO - MP18 - 1, Revision 4, Management Assessments Man agement Assessment MA - 12 - 01, MAR - 1203 - 01 - 01 - 01 Management Assessment MA - 12 - 02, MAR - 1205 - 02 - 01 - 01 Management Assessment MA - 12 - 03, MAR - 1210 - 01 - 01 - 01 Management Assessment MA - 12 - 04, MAR - 1209 - 01 - 01 - 01 Management Assessment MA - 12 - 05, MAR - 1208 - 01 - 01 - 01 Managemen t Assessment MA - 12 - 06, MAR - 1303 - 02 - 01 - 01 Management Assessment MA - 13 - 01, MAR - 1303 - 01 - 01 - 01 Management Assessment MA - 13 - 02, MAR - 1310 - 01 - 01 - 01 Management Assessment MA - 13 - 03, MAR - 1305 - 01 - 01 - 01 Management Assessment MA - 13 - 04, MAR - 1404 - 01 - 01 - 01 Management Asse ssment MA - 14 - 01, MAR - 1403 - 01 - 01 - 01 Supplementary Requirements (2S - 1) 1. Does the responsible organization designate those activities that require qualified inspection and test personnel and minimum requirements for such personnel? N/A QAPD, Rev ision 11, s ec tion 2.4.1, Qualification of Inspection and Test Personnel , paragraph AEPA Audit of WIPP QA Program : LANL - CO WIPP QA 2 - 3 NQA - 1 ELEMENT: No. 2 with Supplements 2S - 1, 2S - 2, 2S - 3 and EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014

2S - 4, Quality Assurance Program Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence 2. Has the responsible organization established written procedures for the qualification of inspection and test personnel to assure that only qualified personnel are permitted to perfor m inspection and test activities? N/A QAPD, Rev ision 11, section 2.4.1, Qualification of Inspection and Test Personnel , paragraph A 3. Do personnel selected for performing inspection and test activities have the experience or training commensurate with the scope, complexity or special nature of the activities? N/A QAPD, Rev ision 11, section 1.2.1 , Qualification Requirements , paragraph A; s ection 2.4.1 4. Have provisions been made for the indoctrination of personnel regarding the technical objectives and requi rements of the applicable codes and standards and the quality assurance program elements that are to be employed? N/A QAPD, Rev ision 11, section 2.4.1 , Qualification of Inspection and Test Personnel , paragraph D 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? N/A QAPD, Rev ision 11, section 2.4.1 , Qualification of Inspection and Test Personnel , paragraph E 6. Are the capabili ties of a candidate for certification initially determined by a suitable evaluation of the candidate’s education, experience, training and either test results or capability demonstration? N/A QAPD, Rev ision 11, section 2.4.1 , Qualification of Inspection an d Test Personnel , paragraph F 7. Is the job performance of inspection and test personnel reevaluated at periodic intervals not to exceed three years? N/A QAPD, Rev ision 11, section 2.4.1 , Qualification of Inspection and Test Personnel, paragraph G 8. If it i s determined at any time that 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? N/A QAPD, Rev ision 11, s ection 2.4.1 , Qualification of Inspection and Test Personnel, paragraph G 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 ? N/A QAPD, Rev ision 11, section 2.4.1 , Qualification of Inspection and Test Personnel, paragraph G 10. Is the qualification of personnel certified in writing in an appropriate form, including:  Employer’s name?  Identification of person being certified?  Activ ities certified to perform? N/A QAPD, Rev ision 11, section 2.4.1 , Qualification of Inspection and Test Personnel , pa ragraph HEPA Audit of WIPP QA Program : LANL - CO WIPP QA 2 - 4 NQA - 1 ELEMENT: No. 2 with Supplements 2S - 1, 2S - 2, 2S - 3 and EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014

2S - 4, Quality Assurance Program Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence  Basis used for certification, including:

– 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 representative who is responsible for such certification?  Date of certification and date of certification expiration? 11. Has the responsible organization identified any special physical characteristics needed in the performance of each activity, including the need for initial and subsequent physical examination? N/A QAPD, Rev ision 11, section 2.4.1 , Qualification of Inspection and Test Personnel , paragraph I 12. Does the employer establish and maintain records of personnel qualification? N/A QAPD, Rev ision 11, section 2.4.1 , Qualification of Inspection and Test Personnel , paragraph J Supplementary Requirements (2 S - 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? N/A CBFO QAPD, Rev ision 11, section 2.4.2 , Qualification of Nondestructive E xamination Personnel , paragraph A 2. Has the responsible organization established written procedures for the control and administration of nondestructive examination personnel training, examination and certification? N/A QA PD, Rev ision 11, section 2.4.2, Qualification of Nondestructive E xamination Personnel , paragraph B 3. Does the employer establish and maintain records of personnel qualification? N/A QAPD, Rev ision 11, section 2.4.2, Qualification of Nondestructive E xaminati on Personnel , paragraph C Supplementary Requirements (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 assur ance programs? Y QAPD, Rev ision 11, section 3.2.2.4, Auditor Qualification . LCO - QP 18 - 2 , Revision 3, section 5.3, Lead Auditor Qualification Lead Auditor Qualification for L. Sparks, TRN - 0510 - 01 - 01 - 01 Quality Assurance Project Leader Qualification fo r L. S parks, TRN - 0502 - 05 - 01 - 01 Lead Auditor Maintenance of Proficiency for L. Sparks, TRN - 1310 - 02 - 01 - 01 List of Qualified Audit Personnel , provided 6/2/2014EPA Audit of WIPP QA Program : LANL - CO WIPP QA 2 - 5 NQA - 1 ELEMENT: No. 2 with Supplements 2S - 1, 2S - 2, 2S - 3 and EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014

2S - 4, Quality Assurance Program Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence 2. Is the competence of audit personnel developed by one or more of the following methods:  Orientation to p rovide a working knowledge and understanding of NQA - 1 and the auditing organization’s procedures for implementing audits and reporting results?  Training programs to provide general and specialized training in audit performance?  On - the - job training, guidanc e and counseling under the direct supervision of a lead auditor? Y QAPD, Rev ision 11, section 3.2.2.4, Auditor Qualification , paragraphs A

– C. LCO - QP18 - 2 , Revision 3, section 5.3, Lead Auditor Qualification Lead Auditor Qualification for L. Sparks, TRN - 051 0 - 01 - 01 - 01 Quality Assurance Project Leader Qualification fo r L. Sparks, TRN - 0502 - 05 - 01 - 01 Lead Auditor Maintenance of Proficiency for L. Sparks, TRN - 1310 - 02 - 01 - 01 List of Qualified Audit Personnel , provided 6/2/2014 3. Does a prospective lead auditor have t he capability to communicate effectively, both in writing and orally? Has the lead auditor’s employer attested to these skills in writing? Y QAPD, Rev ision 11, section 3.2.2.6, Lead Auditor Qualification , paragraph B , Lead Auditor Communication Skills . LCO - QP - 18 - 2 , Revision 3, section 5.3, Lead Auditor Qualification Lead Auditor Qualification for L. Sparks, TRN - 0510 - 01 - 01 - 01 Quality Assurance Project Leader Qualification fo r L. Sparks, TRN - 0502 - 05 - 01 - 01 Lead Auditor Maintenance of Proficiency for L. Sparks, TRN - 1310 - 02 - 01 - 01 4. Are prospective lead auditors trained, as necessary, to assure their competence in auditing skills, including training in the following areas:  Knowledge 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, questioning, evaluating and reporting; methods of identifying and following up on corrective ac tion 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, nonde structive examination, maintenance, repair, operation, modification of nuclear facilities or associated components, and safety aspects of the nuclear facility?  On - the - job training to include applicable elements of the audit program? Y QAPD, Rev ision 11, se ction 3.2.2.6, Lead Auditor Qualification , paragraph C , Lead Auditor Training . LCO - QP18 - 2 , Revision 3, section 5.3, Lead Auditor Qualification Lead Auditor Qualification for L. Sparks, TRN - 0510 - 01 - 01 - 01 Quality Assurance Project Leader Qualification fo r L. Sparks, TRN - 0502 - 05 - 01 - 01 Lead Auditor Maintenance of Proficiency for L. Sparks, TRN - 1310 - 02 - 01 - 01 List of Qualified Audit Personnel , provided 6/2/2014EPA Audit of WIPP QA Program : LANL - CO WIPP QA 2 - 6 NQA - 1 ELEMENT: No. 2 with Supplements 2S - 1, 2S - 2, 2S - 3 and EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014

2S - 4, Quality Assurance Program Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence 5. Is a prospective lead auditor required to have participated in a minimum of five quality assurance aud its 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 QAPD, Rev ision 11, section 3.2.2.6, Lead Auditor Qualification , paragraph A .2, Experience . LCO - QP18 - 2 , Revision 3, section 5.3, Lead Auditor Qualification Lead Auditor Qualification for L. Sparks, TRN - 0510 - 01 - 01 - 01 Quality Assurance Project Leader Qualification fo r L. Sparks, TRN - 0502 - 05 - 01 - 01 Lead Auditor Maintenanc e of Proficiency for L. Sparks, TRN - 1310 - 02 - 01 - 01 List of Qualified Audit Personnel , provided 6/2/2014 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 iden tified under the training requirements (listed under question 4 above)? Y QAPD, Rev ision 11, section 3.2.2.6, Lead Auditor Qualification , paragraph D , Lead Auditor Examination . LCO - QP18 - 2 , Revision 3, section 5.3, Lead Auditor Qualification Lead Auditor Qu alification for L. Sparks, TRN - 0510 - 01 - 01 - 01 Quality Assurance Project Leader Qualification fo r L. Sparks, TRN - 0502 - 05 - 01 - 01 Lead Auditor Maintenance of Proficiency for L. Sparks, TRN - 1310 - 02 - 01 - 01 List of Qualified Audit Personnel , provided 6/2/2014 7. Do l ead 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 other documents related to quality assurance program and program auditing?  Participation in training programs? Y QAPD, Rev ision 11, section 3.2.2.6, Lead Auditor Qualification , paragraph F , Lead Auditor Proficiency Maintenance . LCO - QP18 - 2 , Revision 3, section 5.3, Lead Auditor Qualification Lead Auditor Mainten ance of Proficiency for L. Sparks, TRN - 1310 - 02 - 01 - 01 8. Does management conduct documented annual assessments of lead auditors to extend their qualification, require retraining or require requalification? Y QAPD, Rev ision 11, section 3.2.2.6, Lead Auditor Qu alification , paragraph F , Lead Auditor Proficiency Maintenance . LCO - QP18 - 2 , Revision 3, section 5.3, Lead Auditor Qualification Lead Auditor Maintenance of Proficiency for L. Sparks, TRN - 1310 - 02 - 01 - 01 9. Are lead auditors who fail to maintain their proficien cy for a period of two years or more required to requalify? Y QAPD, Rev ision 11, section 3.2.2.6, Lead Auditor Qualification , paragraph F , Lead Auditor Proficiency Maintenance . LCO - QP18 - 2 , Revision 3, section 5.3, Lead Auditor Qualification 10. Is the employe r responsible for training auditors? Y QAPD, Revision 11, section 1.1.1.1, Management, paragraph C.1. LCO - QP18 - 2, Revision 3, section 4.0, ResponsibilitiesEPA Audit of WIPP QA Program : LANL - CO WIPP QA 2 - 7 NQA - 1 ELEMENT: No. 2 with Supplements 2S - 1, 2S - 2, 2S - 3 and EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014

2S - 4, Quality Assurance Program Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence 11. Does the responsible auditing organization select and assign personnel who are independent of any d irect responsibility for performance of the activities that they will audit? Y QAPD, Rev ision 11, section 3.2.2.3, Audit Team Selection , paragraph A . LCO - QP18 - 1, Revision 3, section 5.2, Audit Planning and Preparation 12. Does the lead auditor, prior to comme ncing 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 QAPD, Rev ision 11, section 3.2.2.3, Audit Team Selection , paragraph C . LCO - QP18 - 1, Revision 3, section 5.2, Audit Planning and Preparation 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 independent certifying agency, d oes the employer retain responsibility for the conformance of the examination and its administration to the NQA - 1 - 1989 standard? Y QAPD, Rev ision 11, section 3.2.2.6, Lead Auditor Qualification , paragraph D , Lead Auditor Examination . LCO - QP18 - 2, Revision 3 , section 4.0, Responsibilities Lead Auditor Qualification for L. Sparks, TRN - 0510 - 01 - 01 - 01 14. Does the employer establish and maintain records of personnel qualifications for auditors and lead auditors performing audits? Y QAPD, Rev ision 11, section 3.2.2.6 , Lead Auditor Qualification , paragraph D , Lead Auditor Examination . LCO - QP18 - 2, Revision 3, section 6.0, Records Lead Auditor Qualification for L. Sparks, TRN - 0510 - 01 - 01 - 01 15. Does the employer certify each lead auditor as being qualified to lead audits, in cluding documentation of the following by the certification:  Employer’s name?  Lead auditor’s name?  Date of certification or recertification?  Basis of qualification (i.e., education, experience, communication skills, training, examination, etc.)?  Signature of employer’s designated representative who is responsible for such certification? Y QAPD, Rev ision 11, section 3.2.2.6, Lead Auditor Qualification , paragraph E , Lead Auditor Certification . LCO - QP18 - 2, Revision 3, section 5.2, Auditor Qualification Lead Au ditor Qualification for L. Sparks, TRN - 0510 - 01 - 01 - 01

16. Are the records for each lead auditor maintained and updated annually? Y LCO - QP18 - 2, Revision 3, section 5.2, Auditor Qualification Lead Auditor Maintenance of Proficiency for L. Sparks, TRN - 1310 - 02 - 01 - 01 Supplementary Requirements (2S - 4) 1. Are personnel identified for indoctrination or training? Y QAPD, Rev ision 11, section 1.2.2, Training Requirements , paragraph A ; s ection 2.4.1, Qualification of Inspection and Test Personnel , paragraph C LCO - Q P2 - 3, Re vision 5, section 1.0, PurposeEPA Audit of WIPP QA Program : LANL - CO WIPP QA 2 - 8 NQA - 1 ELEMENT: No. 2 with Supplements 2S - 1, 2S - 2, 2S - 3 and EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014

2S - 4, Quality Assurance Program Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

QA - DL - 01, LANL - CO QA Distribution and Required Reading List, TRN - 1406 - 01 - 01 - 01, Revision 11 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 QAPD, Rev ision 11, section 2.4.1, Qualification of Inspection and Test Personnel , paragraphs C and F LCO - QP2 - 3, Revision 5, section 1.0, Purpose 2013 Peer Inspector Training Attendance Record, TRN - 1302 - 01 - 01 - 01 Training records for B. Ams, D. Guerin D, A. Heiser, D. Reed, C. Stroud 3. Are personnel indoctrinated in the following subjects as they relate to a particular function:  General criteria, including applicable codes, standards and company procedures ?  Applicable quality assurance program elements?  Job responsibilities and authority? Y QAPD, Rev ision 11, section 1.2.2, Training Requirements , paragraphs A and B; s ection 2.4.1, Qualification of Inspection and Test Personnel , paragraph C LCO - QP2 - 3, Revisi on 5, section 5.2, Qualification and Training 2013 Peer Inspector Training Attendance Record, TRN - 1302 - 01 - 01 - 01 Training records for B. Ams, D. Guerin D, A. Heiser, D. Reed, C. Stroud 4. Is training provided, if needed, to:  Achieve initial proficiency?  Maint ain proficiency?  Adapt to changes in technology, methods or job responsibilities? Y QAPD, Rev ision 11, section 1.2.2, Training Requirements , paragraph A LCO - QP18 - 2, Revision 3, section 4.0, Responsibilities 2013 Peer Inspector Training Attendance Record, T RN - 1302 - 01 - 01 - 01 Training records for B. Ams, D. Guerin D, A. Heiser, D. Reed, C. Stroud 5. Do records of the implementation of indoctrination and training take the form of:  Attendance sheets?  Training logs?  Personnel training records? Y QAPD, Rev ision 11, s ection 1.2.2, Training Requirements , paragraph C LCO - QP18 - 2, Revision 3, section 6.0, Records 2013 Peer Inspector Training Attendance Record, TRN - 1302 - 01 - 01 - 01 Training records for B. Ams, D. Guerin D, A. Heiser, D. Reed, C. Stroud *Y: T he reference d doc ument s adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. N: T he reference d document s do not adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. I : EPA requires additional information to determine if t he reference d document s adequately define, describe, a ddress 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: LANL - CO WIPP QA 4 - 1 ASME NQA - 1 - 1989 CHECKLIST NQA - 1 ELEMENT: No. 4 with Supplement 4S - 1, Procurement EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014

Document Control Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Add itional Objective Evidence Basic Requirements 1. Are procurement documents required to reference or include design bases or quality requirements? Y QAPD, Revision 11, section 2.3.4, Procurement Document Requirements LCO - MP7 - 1, Revision 7 - AC1, sections 5.3.4 and 5.3.5, Instructions for Requestor for Procurement of QL1 Materials and Services and Maintaining the LANL - CO Historical List of QL1 Procurements ; Attachment 3 , Example LANL - CO Procurement Request ; Attachment 4 , LANL - CO Example Material/Service Acceptan ce Form Procurement Request PC - 04292 49 to Fisher, ACP - 1210 - 02 - 04 - 02 Procurement Request PC - 0450072 to High Puri ty Standards, ACP - 1305 - 01 - 04 - 03 Procurement Request PC - 0491122 to Troemner, ACP - 1405 - 02 - 04 - 08 2. Do procurement documents require s uppliers to have a quality assurance ( QA ) program consistent with the requirements of NQA - 1 - 1989 ? Y QAPD, Revision 11, section 2.3.4 , Procurement Document Requirements, paragraph C . LCO - MP7 - 1, Revision 7 - AC1, Attachment 1, LANL - CO Supplier Evaluation Template. Henry Troe mner, LLC requalification, QSL - 1306 - 02 - 01 - 01 Mettler Toledo requalification, QSL - 1208 - 01 - 01 - 01 High - Purity Standards requalification, QSL - 1210 - 01 - 01 - 01 Supplier Evaluation of Michell Instruments, Inc., QSL - 1312 - 01 - 01 - 01 Supplier Evaluation of Bruker AXS, I nc., QSL - 1403 - 01 - 01 - 01 Supplementary Requirements (4S - 1) 1. Do procurement documents include the following provisions as deemed necessary by the p urchaser:  Scope of work?  Technical requirements?  QA p rogram requirements?  Right of access?  Documentation requir ements?  Requirement for documenting nonconformances?  Spare and replacement parts? Y QAPD, Revision 11, section 2.3.4, Procurement Document Requirements, paragraphs A

– C LCO - MP7 - 1, Revision 7 - AC1, section 5.3.5, Instructions for Requestor for Procurement of QL1 Materials and Services and Maintaining the LANL - CO Historical List of QL1 Procurements ; Attachment 3 , Example LANL - CO Procurement Request Procurement Request PC - 04292 49 to Fisher, ACP - 1210 - 02 - 04 - 02 Procurement Request PC - 0450072 to High Puri ty Standard s, ACP - 1305 - 01 - 04 - 03 Procurement Request PC - 0491122 to Troemner, ACP - 1405 - 02 - 04 - 08 2. Is the review of procurement documentation documented? Y QAPD, Revision 11, section 2. 3.5 , Procurement Document Review and Approval, paragraph B LCO - MP7 - 1, Revision 7 - AC1, section 5.3.11, Instructions for Reviewers for Procurement of QL1 Materials and Services and Maintaining the LANL - CO Historical List of QL1 Procurements ; Attachment 3 , Example LANL - CO Procurement Request ;EPA Audit of WIPP QA Program: LANL - CO WIPP QA 4 - 2 NQA - 1 ELEMENT: No. 4 with Supplement 4S - 1, Procurement EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014

Document Control Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Add itional Objective Evidence

Attachment 4 , LANL - CO Example Material/Service Acce ptance Form Procurement Request PC - 04292 49 to Fisher, ACP - 1210 - 02 - 04 - 02 Procurement Request PC - 0450072 to High Puri ty Standards, ACP - 1305 - 01 - 04 - 03 Procurement Request PC - 0491122 to Troemner, ACP - 1405 - 02 - 04 - 08 3. A re changes to procurement documents subject t o the same degree of control as used in the preparation of the original documents ? Y QAPD, Revision 11, section 2 .3.5 , Procurement Document Review and Approval, paragraphs C and D LCO - MP7 - 1, Revision 7 - AC1, section 5.3.9, Instructions for Requestor for Pro curement of QL1 Materials and Services and Maintaining the LANL - CO Historical List of QL1 Procurements *Y: T he reference d document s adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. N: T he reference d document s do not adequate ly define, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. I : EPA requires additional information to determine if t he reference d document s adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. N/A: The specific NQA - 1 - 19 89 requirement is not applicable to the subject QA program .EPA Audit of WIPP QA Program: LANL - CO WIPP QA 5 - 1 ASME NQA - 1 - 1989 CHECKLIST NQA - 1 ELEMENT: No. 5, Instructions, Procedure s and Drawings EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014 Does the reference document a dequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence Basic Requirements 1. Are activities affecting quality prescribed by and performed in accordance with documented in structions, procedures or drawings? Y QAPD, Rev ision 11, section 2.1, Work Processes , paragraph A LCO - QP2 - 2, Revision 5, Attachment 1 , Quality Assurance Requirements Checklist Grading for FY11 and FY12, GRD - 1204 - 01 - 01 - 01 Grading for FY14, GRD - 1312 - 01 - 01 - 01 ACP - EXP - 003 , Revision 3 , section 4.0, Resp onsibilities LCO - QP16 - 1, Revision 4 - AC1, section 5.4 Work Suspension 2. Do the documents referenced in question 1 include or reference appropriate quantitative or qualitative acceptance criteria? Y QAPD, Rev ision 11 , section 2.1.2 , Implementing Procedures , paragraph B . 4 . LCO - QP6 - 1, Revision 11, section 5.1.8, list of general information required in procedures. ACP - EXP - 003 , Revision 3 , section 5.2.4, Criteria for Performance Check Acceptance. Supplementary Requiremen ts – None *Y: T he reference d document s adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. N: T he reference d document s do not adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. I : EPA requires additi onal information to determine if t he reference d document s adequately define, describe, a ddress 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: LANL - CO WIPP QA 6 - 1 ASME NQA - 1 - 1989 CHECKLIST NQA - 1 ELEMENT: No. 6 with Supplement 6S - 1, Document Control EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014 Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Proce dure and Paragraph; Additional Objective Evidence Basic Requirements 1. Are the preparation, issue and change of documents that specify quality requirements or prescribe activities affecting quality controlled? Y QAPD, Rev ision 11, section 1.4.1, Document P reparation, Review, Approval, and Issuance ; s ection 1.4.3, Document Changes LCO - QPD - 04, Revision 8, section 1.0, Purpose LCO - QP6 - 1, Revision 11, Controlled Document Development, Change, a nd Revision LCO - QP6 - 2, Revision 11, Controlled Document Review a nd Ap proval LCO - QP6 - 3, Revision 11, Document Control and Distribution 2. Are such documents, including changes thereto, reviewed for adequacy and approved for release by authorized personnel? Y QAPD, Rev ision 11, section 1.4.1 , Document Preparation, Review, Appro val, and Issuance , paragraphs A and J; s ection 1.4.3 , Document Changes , paragraph A LCO - QPD - 04, Revision 8, section 4.2, Controlled Document Review and Approval ACP - EXP - 003, Revision 3, cover page LCO - QPD - 04, Revision 7 review package Supplementary Requir ements (6S - 1) 1. Are documents controlled to assure that correct and applicable documents are available at the location where they are to be used? Y QAPD, Rev ision 11, section 1.4.2, Document Distribution and Use LCO - QPD - 04, Revision 8, section 4.0, Document s LCO - QP6 - 3, Revision 11, Document Control and Distribution 2. Does the document control system provide for:  Identification of documents to be controlled and their specified distribution?  Identification of personnel, positions or organizations responsible fo r preparing, reviewing, approving and issuing documents?  Review of documents for adequacy, completeness and correctness prior to approval and issuance? Y QAPD, Rev ision 11, section 1.4.1, Document Preparation, Review, Approval, and Issuance LCO - QPD - 04, Rev ision 8, section 4.0, Documents LCO - QP6 - 1, Revision 11, section 1.0, Purpose; section 4.0, Responsibilities LCO - QP6 - 2, Revision 11, section 4.0, Responsibilities; paragraph 5.13, Instructions for Reviewer LCO - QP6 - 3, Revision 11, section 4.0, Responsibiliti es 3. Are major changes to documents reviewed and approved by the same organization that performed the original review and approval, or is another organization specifically designated to review and approve the major change? Y QAPD, Rev ision 11, section 1.4.3 , Document Changes , paragraph A LCO - QP6 - 2, Revision 11, paragraph 5.2, Instructions for Originator and Manager Review Package for INV - SP - 03, Revision 10 Review Package for INV - SP - 03, Revision 11 Review Package for LCO - QPD - 04, Revision 7 Review Package for LCO - QPD - 04, Revision 8EPA Audit of WIPP QA Program: LANL - CO WIPP QA 6 - 2 NQA - 1 ELEMENT: No. 6 with Supplement 6S - 1, Document Control EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014 Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Proce dure and Paragraph; Additional Objective Evidence

Review Package for LCO - QP2 - 1, Revisions 0 and 5 4. Does the organization reviewing major changes to documents have access to pertinent background data or information upon which to base its approval? Y QAPD, Rev ision 11, section 1.4.1, Document Preparation, Review, Approval, and Issuance , paragr aph D LCO - QP6 - 2, Revision 11, paragraph 5. 11, Instructions for Originator Demonstration of document review request, demonstrated 7/23/2014 5. Are minor changes to documents defined (i.e., those cha nges that do not require a review as a major change) ? Are the persons who can authorize a minor change clearly delineated? Y QAPD, Rev ision 11, section 1.4.3, Document Changes , paragraphs C and E LCO - QP6 - 1, Revision 11, section 5.5, Administrative Changes to Controlled Documents ; paragraph 5.5.1, Instructions for Manager LCO - QP6 - 2, Revision 11, paragraph 5.3, Instruct ions for Originator and Manager LCO - QP 1 6 - 1, Revision 4 - AC 1, Conditions Adverse to Quality *Y: T he reference d document s adequately define, de scribe, a ddress or satisfy the NQA - 1 - 1989 requirement. N: T he reference d document s do not adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. I : EPA requires additional information to determine if t he reference d document s adeq uately define, describe, a ddress 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: LANL - CO WIPP QA 7 - 1 ASME NQA - 1 - 1989 CHECKLIST NQA - 1 ELEMENT: No. 7 with Supplement 7S - 1, Control of EPA AUDITORS : L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014

Purchased Items and Services Does the reference document adequately define, describe, address or satisfy the following: Y , N, I, N/A* Applicable Procedure and Paragraph; Additional Objecti ve Evidence Basic Requirements 1. Does the control of purchased items and services provide for:  Source evaluation and selection (as applicable)?  Evaluation of objective evidence of quality furnished by the supplier ?  Source inspection or audit?  Examination o f items or services upon delivery or completion? Y QAPD, Revision 11, section 2.3.2, Supplier Selection; section 2.3.3, Proposal/Bid Evaluation; section 2.3.7.1, Source Verification; section 2.3.7.2, Receiving Inspection LCO - MP7 - 1, Revision 7 - AC1, sections 5.1.3

– 5.1.6, Instructions for QA Manager for Development and Maintenance of the LANL - CO Qualified Supplier List ; section 5.3.18

– 5.3.20, Instructions for Peer Inspector for Procurement of QL1 Materials and Services and Maintaining the LANL - CO Historical Li st of QL1 Procurements Henry Troemner, LLC requalification, QSL - 1306 - 02 - 01 - 01 Mettler Toledo requalification, QSL - 1208 - 01 - 01 - 01 High - Purity Standards requalification, QSL - 1210 - 01 - 01 - 01 Material Acceptance Form for PC - 0429249, ACP - 1210 - 02 - 04 - 02 Material Acc eptance Form for PC - 0450072, ACP - 1305 - 01 - 04 - 03 Material Acceptance Form for PC - 0491122, ACP - 1405 - 02 - 04 - 08 Supplementary Requirements (7S - 1) 1. Does procurement planning determine the following:  What is to be accomplished?  Who is to accomplish it?  How it is to be accomplished?  When it is to be accomplished? Y QAPD, Rev ision 11, section 2.3.1 , Procurement Planning Requirements LCO - MP7 - 1, Revision 7 - AC1, Attachment 3 , Example LANL - CO Procurement Request ; Attachment 4 , LANL - CO Example Material/Service Acceptance Form Procurement Request and Material Acceptance Form for PC - 0429249 , ACP - 1210 - 02 - 04 - 02 Procurement Request and Material Acceptance Form for PC - 0450072 , ACP - 1305 - 01 - 04 - 03 Procurement Request and Material Acceptance Form for PC - 0491122 , ACP - 1405 - 02 - 04 - 08 2. Does procurement planning provide for the integration of:  Procurement document preparation, review and change control?  Selection of procurement sources?  Bid evaluation and award?  Purchaser control of supplier performance?  Verification (surveillance, inspec tion or audit) activities by the purchaser, including notification for hold and witness points?  Control of nonconformances? Y QAPD, Rev ision 11, section 2.3.1 , Procurement Plannin g Requirements, paragraphs C.1

– 9 LCO - MP7 - 1, Revision 7 - AC1, Attachment 3 , Example LANL - CO Procurement Request ; Attachment 4 , LANL - CO Example Material/Service Acceptance Form LANL - CO Qualified Supplier List, Updated 7/24/ 2014 Procurement Request and Materi al Acceptance Form for PC - 0429249, ACP - 1210 - 02 - 04 - 02EPA Audit of WIPP QA Program: LANL - CO WIPP QA 7 - 2 NQA - 1 ELEMENT: No. 7 with Supplement 7S - 1, Control of EPA AUDITORS : L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014

Purchased Items and Services Does the reference document adequately define, describe, address or satisfy the following: Y , N, I, N/A* Applicable Procedure and Paragraph; Additional Objecti ve Evidence  Corrective action?  Acceptance of item or service?  Quality assurance records? Procurement Request and Material Acceptance Form for PC - 0450072, ACP - 1305 - 01 - 04 - 03 Procurement Request and Material Acceptance Form for PC - 0491122, ACP - 1405 - 02 - 04 - 08 3. Are the measures for evaluation and selection of procurement sources documented? Do they include one or more of the following:  Evaluation of the supplier’s history, including current capability, of providing an identical or similar product that performs satisfactorily in actual use?  Supplier ’s current quality records supported by documented qualitative and quantitative information that can be objectively evaluated?  Supplier’s technical and quality capability as determined by a direct evaluation of its facilities and personnel and the implemen tation of its quality assurance program? Y QAPD, Rev ision 11, section 2.3.2 , Supplier Selection, paragraphs A, C and D LCO - MP7 - 1, Revision 7 - AC1, sections 5.1.3

– 5.1.7, Instructions for QA Manager for Development and Maintenance of the LANL - CO Qualified Sup plier List ; Attachment 1 , LANL - CO Supplier Evaluation Template Henry Troemner, LLC requalification, QSL - 1306 - 02 - 01 - 01 Mettler Toledo requalification, QSL - 1208 - 01 - 01 - 01 High - Purity Standards requalification, QSL - 1210 - 01 - 01 - 01

4. Are the following items consid ered in bid evaluations:  Technical considerations?  Quality assurance requirements?  Supplier’s personnel?  Supplier’s production capability?  Supplier’s past performance?  Alternates?  Exceptions? N/A QAPD, Rev ision 11, section 2.3.3 , Proposal/Bid Evaluation

5. A re the following items considered in a supplier’s performance evaluation:  Establishing an understanding between purchaser and supplier of the provisions and specifications of the procurement documents?  Requiring the supplier to identify planning techniques and processes to be used in fulfilling procurement document requirements?  Reviewing supplier documents that are generated or processed during activities fulfilling procurement requirements?  Identifying and processing necessary change information?  Establis hing a method of document information exchange between purchaser and supplier? Y QAPD, Rev ision 11, section 2.3.6 , Supplier Performance Evaluation, paragraphs A

– F LCO - MP7 - 1, Revision 7 - AC1, Attachment 3 , Example LANL - CO Procurement Request Procurement Request PC - 04292 49 to Fisher, ACP - 1210 - 02 - 04 - 02 Procurement Request PC - 0450072 to High Puri ty Standards, ACP - 1305 - 01 - 04 - 03 Procurement Request PC - 0491122 to Troemner, ACP - 1405 - 02 - 04 - 08EPA Audit of WIPP QA Program: LANL - CO WIPP QA 7 - 3 NQA - 1 ELEMENT: No. 7 with Supplement 7S - 1, Control of EPA AUDITORS : L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014

Purchased Items and Services Does the reference document adequately define, describe, address or satisfy the following: Y , N, I, N/A* Applicable Procedure and Paragraph; Additional Objecti ve Evidence  Establishing the extent of source surveillance and inspection activities? 6. Are verification activities of the supplier’s quality performance planned, verified and documented by qualified personnel? N/A QAPD, Rev ision 11, section 2.3.4 , Procurement Document Requirements, paragraph C.4 7. Are supplier - generated documents controlled, handled and approved in accordance with established methods? Y QAPD, Rev ision 11, section 2.3.4 , Procurement Document Requirements, paragraph C.5 LCO - MP7 - 1, Revision 7 - AC1, Attachment 3 , Example LANL - CO Procurement Request ; Attachment 4 , LANL - CO Example Ma terial/Service Acceptance Form Calibration Certificates for PC - 0491122, ACP - 1405 - 02 - 04 - 08 8. Are measures established, implemented and documented to control changes to procurement documents? Y QAPD, Rev ision 11, section 2.3.5 , Procurement Document Review and Approval, paragraph A LCO - MP7 - 1, Revision 7 - AC1, section 5.3.9, Instructions for Requestor for Procurement of QL1 Materials and Services and Maintaining the LANL - CO Historical List of QL1 Procurements 9. Are methods established for the acceptance of an item or service being furnished by a supplier? Y QAPD, Rev ision 11, section 2.3.7 , Acceptance of Items or Services, paragraph A LCO - MP7 - 1, Revision 7 - AC1, section 5.3.18

– 5.3.20, Instructions for Peer Inspector for Procurement of QL1 Materials and Services and Maintaining the LANL - CO Historical List of QL1 Procurements Material Acceptance Form for PC - 0429249, ACP - 1210 - 02 - 04 - 02 Material Acceptance Form for PC - 0450072, ACP - 1305 - 01 - 04 - 03 Material Acceptance Form for PC - 0491122, ACP - 1405 - 02 - 04 - 08 10. Is the supplier re quired to verify that the item or service being furnished complies with the procurement requirements? Y QAPD, Rev ision 11, section 2.3.7 , Acceptance of Items or Services, paragraph B LCO - MP7 - 1, Revision 7 - AC1, Attachment 3 , Example LANL - CO Procurement Req uest ; Attachment 4 , LANL - CO Example Material/Service Acceptance Form Calibration Certificates for PC - 0491122, ACP - 1405 - 02 - 04 - 08 Certificate of Analysis fo r PC - 0429249, ACP - 1210 - 02 - 04 - 02 Certificate of Analysis for PC - 0450072, ACP - 1305 - 01 - 04 - 03 11. Are one or more of the following methods used to accept an item or related services from a supplier:  Supplier certificate of conformance?  Source verification? Y QAPD, Rev ision 11, section 2.3.7.1, Source Verification; section 2.3.7.2, Receiving Inspection; section 2.3.7.3, P ost - installation Testing; section 2.3.7.4 , Supplier Certificate of Conformance LCO - MP7 - 1, R evision 7 - AC1, section 5.3.18

– 5.3.20, Instructions for Peer Inspector forEPA Audit of WIPP QA Program: LANL - CO WIPP QA 7 - 4 NQA - 1 ELEMENT: No. 7 with Supplement 7S - 1, Control of EPA AUDITORS : L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014

Purchased Items and Services Does the reference document adequately define, describe, address or satisfy the following: Y , N, I, N/A* Applicable Procedure and Paragraph; Additional Objecti ve Evidence  Receiving inspection?  Post - installation test? Note : Specific requirements for each of the above are addresse d in NQA - 1 - 1989, Supplement 7S - 1, paragraph 8.2. Procurement of QL1 Materials and Services and Maintaining the LANL - CO Historical List of QL1 Procurements Material Acceptance Form for PC - 0429249, ACP - 1210 - 02 - 04 - 02 Material Acceptan ce Form for PC - 0450072, ACP - 1305 - 01 - 04 - 03 12. Are one or more of the following methods used to accept purchased services :  Technical verification of data produced?  Surveillance and/or audit of the activity?  Review of objective evidence for conformance to the p rocurement document requirements, such as certifications or stress reports? Y QAPD, Rev ision 11, section 2.3.7.1 , Source Verification, paragraph C LCO - MP7 - 1, Revision 7 - AC1, section 5.3.18

– 5.3.20, Instructions for Peer Inspector for Procurement of QL1 Mate rials and Services and Maintaining the LANL - CO Historical List of QL1 Procurements Material Acceptance Form for PC - 0491122, ACP - 1405 - 02 - 04 - 08 2013 Peer Inspector Training Attendance Record, TRN - 1302 - 01 - 01 - 01 13. Do the purchaser and supplier have documented m ethods for disposition of items and services that do not meet procurement document requirements? Y QAPD, Rev ision 11, section 2.3.8 , Control of Supplier Nonconformances LCO - MP7 - 1, Revision 7 - AC1, Attachment 3 , Example LANL - CO Procurement Request Procuremen t Request PC - 04292 49 to Fisher, ACP - 1210 - 02 - 04 - 02 Procurement Request PC - 0450072 to High Puri ty Standards, ACP - 1305 - 01 - 04 - 03 Procurement Request PC - 0491122 to Troemner, ACP - 1405 - 02 - 04 - 08 14. Do the methods in question 13 contain provisions for:  Evaluation of nonconforming items?  Submittal of a nonconformance notice to the purchaser by the supplier as directed by the purchaser? (See note below.) Does this submittal include the supplier - recommended disposition (e.g., use as - is or repair) and technical justificat ion?  Purchaser’s disposition of the supplier’s recommendation?  Verification of the implementation of the disposition  Maintenance of records of supplier - submitted nonconformances? Note : Specific requirements for nonconformances to the procurement requireme nts or purchaser - approved documents are addressed in NQA - 1 - 1989, Supplement 7S - 1, paragraph 9(b). Y QAPD, Rev ision 11, section 2.3.8 , Control of Supplier Nonconformances LCO - MP7 - 1, Revision 7 - AC1, Attachment 3 , Example LANL - CO Procurement Request Procureme nt Request PC - 04292 49 to Fisher, ACP - 1210 - 02 - 04 - 02 Procurement Request PC - 0450072 to High Puri ty Standards, ACP - 1305 - 01 - 04 - 03 Procurement Request PC - 0491122 to Troemner, ACP - 1405 - 02 - 04 - 08

*Y: T he reference d document s adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. N: T he reference d document s do not adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. I : EPA requires additional information to determine if t he reference d document s adequately define, d escribe, a ddress 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: LANL - CO WIPP QA 9 - 1 ASME NQA - 1 - 1989 CHECKLIST NQA - 1 ELEMENT: No. 9 with Supplement 9S - 1, Control of Processes EPA AUDITORS: L. Be nder, P. Kelly, K. Darlow, K. Lindblad DATE: June

– 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. A re processes affecting the quality of items or services controlled? Y QAPD, Revision 11, section 2.1.2, Implementing Procedures, paragraph A LCO - QPD - 04, Revision 8, section 4.0, Documents LCO - QP9 - 1, Revision 5, section 5.1, Analysis Plans; section 5.2, Stand ard Analyses ACP - IMP - 003, Revision 5, section 5.1, ACRSP Test Plans; section 5.2, ACRSP Task Implementation Plan INV - SP - 03, Revision 11, Requests for Quality Level 1 Inventory Information QA I ndex of Quality Assurance Controlled Documents, 5/16/ 2014 2. Are s pecial processes, such as welding, heat treating and nondestructive examination, performed by qualified personnel? N/A QAPD, Revision 11, section 2.1.4, Special Processes, paragraph B 3. Are special processes performed in accordance with qualified procedures ? N/A QAPD, Revision 11, section 2.1.4, Special Processes, paragraph B Supplementary Requirement s (9S - 1) 1. Are processes controlled by instructions, procedures, drawings, checklists, travelers or other appropriate means? Are process parameters controlled a nd specified environmental conditions maintained? Y QAPD, Revision 11, section 2.1.4, Special Processes, paragraph B LCO - QP9 - 1, Revision 5, section 5.1, Analysis Plans; section 5.2, Standard Analyses ACP - IMP - 003, Revision 5, section 5.1, ACRSP Test Plans; section 5.2, ACRSP Task Implementation Plan QA I ndex of Quality Assurance Controlled Documents 5/16/ 2014 2. Is each special process performed in accordance with appropriate instructions, which include or reference procedure, personnel and equipment qualifica tion requirements? N/A QAPD, Revision 11, section 2.1.4, Special Processes, paragraph B 3. Do the special process procedures or instructions include conditions necessary for accomplishment of the process, including proper equipment, controlled process parame ters and calibration requirements? N/A QAPD, Revision 11, section 2.1.4, Special Processes, paragraph B 4. Do the special process procedures or instructions specify or reference applicable codes and standards, including acceptance criteria for the process? N /A QAPD, Revision 11, section 2.1.4, Special Processes, paragraph B 5. Are records maintained for the currently qualified personnel, processes and equipment of each special process? N/A QAPD, Revision 11, section 2.1.4, Special Processes, paragraph B; sectio n 1.2.2, Training Requirements, paragraph C *Y: T he reference d document s adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requirement.EPA Audit of WIPP QA Program: LANL - CO WIPP QA 9 - 2

N: T he reference d document s do not adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requ irement. I : EPA requires additional information to determine if t he reference d document s adequately define, describe, a ddress 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: LANL - CO WIPP QA 12 - 1 ASME NQA - 1 - 1989 CHECKLIST NQA - 1 ELEMENT: No. 12 with Supplement 12S - 1, Test Equipment EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014 Does the reference document adequately define, describe, address or satisfy the follow ing: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence Basic Requirements 1. Is the measuring and test equipment used for activities affecting quality:  Controlled?  Calibrated?  Adjusted to maintain accuracy within specified limi ts? Y QAPD, Revision 11, section 2.4.6, Use and Cont rol of M&TE, paragraphs A and D ACP - IMP - 004, Revision 5, section 1.0, Purpose ACP - EXP - 003, Revision 3, Balance Performance Check ACP - EXP - 005, Revision 4, Thermometer Calibration and Performance Check ACP - EXP - 006, Revision 4, UV - VIS - NIR Spectrophotometer Calibration and Performance Check ACP - EXP - 011, Revision 3 - ACI, Inductively Coupled Plasma - Mass Spectrometry ACSRP Scientific Notebook No. ICP - MS 4, ACP - 1312 - 05 - 09 - 01 , 5/21/ 20 13

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– 24 Suppl ementary Requirement s (12S - 1) 1. Is the selection of measuring and test equipment controlled to assure that such items are of proper type, range, accuracy and tolerance to accomplish the function of determining conformance to specified requirements? Y QAPD, Revision 11, section 2.4.3.1, Inspection Planning, paragraphs A.7 and A.8; section 2.4.4.1, Test Planning, paragraph C ACP - IMP - 003, Revision 5, section 2.1.2, Research Approach LCO - QP9 - 1, Revision 5, section 5.1 , Analysis Plans; section 5.2 , Standard Analy ses LANL - CO Material/Service Acceptance and Quality Level Determination for Procurement Request CEMRC 01/10/2012 to Eckert & Ziegler Analytics for LSC Calibration Standards (C - 14; H - 3 and Background), ACP - 1205 - 03 - 04 - 01 , 3 /27/2012 ICP - MS Iridium Standard, H igh Purity Standards L ot No. 1307214, ACP - 1305 - 03 - 12 - 15 , 5/7/2013 ICP - MS Thorium Standard, High Purity Standards Lot No. 1234128, ACP - 1305 - 03 - 12 - 16 , 5/7/2013 Procurement Request PC - 0455212 to High Purity Standards for Multiple Standards for ICP - MS and IC A nalysis and LANL - CO Material/Service Quality Level Determination Form, ACP - 1309 - 02 - 04 - 01, 4/23/ 2013 Interference Check Solution A (ICP - MS - ICS 3, solution A) Standard for ICP - MS, High Purity Standards L ot No. 1405548, ACP - 1406 - 01 - 12 - 95 , 4/15/2014 Calibratio n standard - modified (ICP - MSCS - M) for ICP - MS, High Purity Standards L ot No. 1328419, ACP - 1406 - 01 - 12 - 97 , 4/15/2014EPA Audit of WIPP QA Program: LANL - CO WIPP QA 12 - 2 NQA - 1 ELEMENT: No. 12 with Supplement 12S - 1, Test Equipment EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014 Does the reference document adequately define, describe, address or satisfy the follow ing: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence 2. Is the measuring and test equipment calibrated at prescribed intervals? Y QAPD, Revision 11, section 2.4.7, Calibration, paragraph A ACP - EXP - 0 03, Revision 3, section 1.0, Purpose ACP - EXP - 005, Revision 4, ACP - EXP - 005, Revision 4, section 5.1, Maintenance of NIST - Traceable Thermometers ACP - EXP - 006, Revision 4, section 1.0, Purpose ACP - IMP - 004, Revision 5, Attachment 1 , ACRSP M&TE Data Sheet Ins tructions and Form List of Measuring and Test Equipment, provided 6/2/2014 M&TE Data Sheet for Digital Hygro/Thermometer with Timer, DHT34 Control Company, S/N: 122454202, ACP - 1301 - 02 - 12 - 35 , 10/10/2012 ICP - MS Iridium Standard, High Purity Standards L ot No. 1307214, ACP - 1305 - 03 - 12 - 15 , 5/7/2013 Working Document Cover Sheet, Liquid Scintillation System, Beckman LS6500, ACP 0502 - 11 - 12 - 04 , 10/11/2004 3. Is the measuring and test equipment calibrated to nationally recognized standards? If not, are the bases for cal ibration documented? Y QAPD, Revision 11, section 2.4.7, Calibration, paragraph B ACP - EXP - 003, Revision 3, section 5.1 , Calibration of B alances ACP - EXP - 005, Revision 4, section 5.1, Maintenance of NIST - Traceable Thermometers ACP - IMP - 004, Revision 5, Attac hment 1 , ACRSP M&TE Data Sheet Instructions and Form ACSRP Scientific Notebook No. ICP - MS 4, ACP - 1312 - 05 - 09 - 01, 5/21/ 20 13

– 10/31/2013 , pages 1

– 24 M&TE Data Sheet for Pu - 242 Standard Reference Material, NIST, Lot No. 721 - Pu242, ACP - 1104 - 01 - 12 - 16 , 3/ 10 /2011 I CP - MS Iridium Standard, High Purity Standards Lot No. 1307214, ACP - 1305 - 03 - 12 - 15, 5/7/2013 ICP - MS Thorium Standard, High Purity Standards Lot No. 1234128, ACP - 1305 - 03 - 12 - 16, 5/7/2013EPA Audit of WIPP QA Program: LANL - CO WIPP QA 12 - 3 NQA - 1 ELEMENT: No. 12 with Supplement 12S - 1, Test Equipment EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014 Does the reference document adequately define, describe, address or satisfy the follow ing: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence 4. Are the method and interval of calibration for each item defined? Y QAPD , Revision 11, section 2.4.6, Use and Control of M&TE, paragraphs A and D; section 2.4.7, Calibration, paragraph C ACP - IMP - 004, Revision 5, section 5.1, Control and Documentation of M&TE, paragraph 5.1.3; section 5.2, Tracking and Calibration of M&TE, para graph 5.2.2; Attachment 1 , ACRSP M&TE Data Sheet Instructions and Form ACP - EXP - 003, Revision 3, section 5.1 , Calibration of B alances Working Document Cover Sheet, Liquid Scintillation System, Beckman LS6500, ACP 0502 - 11 - 12 - 04 , 10/11/2004 M&TE Data Sheet fo r Digital Hygro/Thermometer with Timer, DHT34 Control Company, S/N: 122454202, ACP - 1301 - 02 - 12 - 35, 10/10/2012 LSC Standard Set B, Eckert & Ziegler L ot Nos. 90474, 90475, 90476, ACP - 1205 - 04 - 12 - 07 , 3/21/2012 Beckman Multi - Purpose Liquid Scintillation Counter, System ID No. 477965, labeled: “Performance Check - Prior to Use, 1/5/12” , o bserved 7/24/2014 in CEMRC Laboratory, Room 151 Varian Cary 5000 UV/VIS/NIR Spectrometer S / N : ELO6113131, labeled: “Frequency of Performance Check - Monthly” and Maintenance Log , o bse rved 7/24/2014 in CEMRC Laboratory, Room 151 ACRSP ICP - MS Model 7500, S / N : JP51201393 (also showing S / N : 211306), labeled: “Calibrate Prior to Use” , o bserved 7/24/2014 in CEMRC Laboratory, Room 151 5. When measuring and test equipment is found to be out of c alibration, is the validity of previous inspections or test results, as well as the acceptability of items previously inspected or tested, evaluated? Y QAPD, Revision 11, section 2.4.6, Use and Control of M&TE, paragraph F ACP - IMP - 004, Revision 5, section 5.3, Evaluation of Out - of - Calibration Equipment , paragraph 5.3.1 ACP - EXP - 005, Revision 4, section 5.2, Working Thermometer Performance Check, paragraph 5.2.5 ACP - EXP - 003, Revision 3, section 5.2.4, Criteria for P erformance C heck A cceptance M&TE Data Sheet for Inductively Coupled Plasma - Mass Spectrometer, S/N: JP51201393; M&TE Data Sheet for Software, ACP - 0706 - 03 - 12 - 48, 5/10/2007 6. Is calibration not required for commercial devices (e.g., rulers, tape measures, levels), if normal commercial equipment provides adequate accuracy? Y QAPD, Revision 11, section 2.4.5 , Monitoring, Measuring, Testing, and Data Collection Equipment ACP - IMP - 004, Revision 5, Attachment 1 , ACRSP M&TE Data Sheet Instructions and FormEPA Audit of WIPP QA Program: LANL - CO WIPP QA 12 - 4 NQA - 1 ELEMENT: No. 12 with Supplement 12S - 1, Test Equipment EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 2014 Does the reference document adequately define, describe, address or satisfy the follow ing: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence 7. Is measuring and test equipment properly handled and stored to maintain accuracy? Y QAPD, Revision 11, section 2.4.6, Use and Control of M&TE, paragraph G ACP - IMP - 004, Revision 5, section 5.1, Control and Documentation of M&TE, paragraph 5.1.2; Attachment 1 , ACRSP M&TE Data Sheet Instructions and Form M&TE D ata Sheet for Digital Hygro/Thermometer with Timer, DHT34 Control Company, S/N: 122454202, ACP - 1301 - 02 - 12 - 35, 10/10/2012 M&TE Data Sheet for Pu - 242 Standard Reference Material, NIST, Lot No. 721 - Pu242, ACP - 1104 - 01 - 12 - 16 , 3/ 10 /2011 8. Are records maintained a nd equipment suitably marked to indicate calibration status? Y QAPD, Revision 11, section 2.4.6, Use and Control of M&TE, paragraphs D and E ACP - IMP - 004, Revision 5, section 5.1, Control and Documentation of M&TE, paragraph 5.1.3; section 5.2, Tracking and Calibration of M&TE, paragraph 5.2.2; Attachment 1 , ACRSP M&TE Data Sheet Instructions and Form ACP - EXP - 003, Revision 3, section 5.1, Calibration of Balances; section 6.0, Records ACP - EXP - 005, Revision 4, section 6.0, Record Requirements ACP - EXP - 006, Revi sion 4, section 6.0, Record Requirements Visual confirmation of markings on equipment, Liquid Scintillation System, Beckman LS6500, System ID 474965 , o bserved 7/24/2014 in CEMRC Laboratory, Room 151 Visual confirmation of expiration date labels, ICP - MS Sta ndard Solutions or dilutions thereof stored in fume hood , on open laboratory bench or in laboratory glove box , o bserved 7/24/2014 in CEMRC Laboratory, Room 151 *Y: T he reference d document s adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 re quirement. N: T he reference d document s do not adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. I : EPA requires additional information to determine if t he reference d document s adequately define, describe, a ddress 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: LANL - CO WIPP QA 16 - 1 ASME NQA - 1 - 1989 CHECKLIST NQA - 1 ELEMENT: No. 16, Corrective Action EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– 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 conditions adverse to quality identified promptl y and corrected as soon as practical? Y QAPD, R evision 11 , s ection 1.3.3.3 , Conditions Adverse to Quality , paragraph B; s ection 1.3.3.7 , Corrective Action Follow - up ; s ection 1.3.3.9 , Quality Trending , paragraph B LANL - CO Finding Report FR - 13 - 01, CAQ - 1305 - 0 1 - 01 - 01 LANL - CO Finding Report FR - 13 - 02, CAQ - 1312 - 01 - 01 - 01 Email from L. Sparks to P. Kelly, re: F R closure times , 7/24/2014 See EPA Concern No. LANL - CO - QA - 2014 - 01C 2. In the case of a significant condition adverse to quality, is the cause of the condition d etermined and corrective action taken to preclude recurrence? Y QAPD, R evision 11 , s ection 1.3.3.4 , Significant Conditions Adverse to Quality ; s ection 1.3.3.5 , Corrective Action Planning , paragraphs C and D LCO - QP16 - 1, Revision 4 - AC1, section 5.2 , Processi ng Conditions Adverse to Quality, paragraph 5.2.3 LANL - CO Finding Report FR - 13 - 02, CAQ - 1312 - 01 - 01 - 01 3. Are the identification, cause and corrective action for significant conditions adverse to quality documented and reported to appropriate levels of managem ent? Y QAPD, R evision 11 , s ection 1.3.3.4 , Significant Conditions Adverse to Quality , paragraph B LCO - QP16 - 1, Revision 4 - AC1, section 5.2 , Processing Conditions Adverse to Quality, paragraph 5.2.7 Email from A. Heiser to N. Elkins, et. al., re: Finding Rep ort FR - 13 - 02 Regarding ACRSP data, with Attachment CAQ - 13 12 - 01 - 01 - 01 .pdf , 12/18/2013 4. Is follow - up action taken to verify implementation of corrective action? Y QAPD, R evision 11 , s ection 1.3.3.7 , Corrective Action Follow - up LCO - QP16 - 1, Revision 4 - AC1, sec tion 5.2 , Processing Conditions Adverse to Quality, paragraph 5.2.12 LANL - CO Finding Report FR - 13 - 01, CAQ - 1305 - 01 - 01 - 01 LANL - CO Finding Report FR - 13 - 02, CAQ - 1312 - 01 - 01 - 01 Supplementary Requirement – None *Y: T he reference d document s adequately defin e, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. N: T he reference d document s do not adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. I : EPA requires additional information to determine if t he reference d document s adequately define, describe, a ddress 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: LANL - CO WIPP QA 17 - 1 ASME NQA - 1 - 1989 CHECKLIST NQA - 1 ELEMENT: No. 17 with Supplement 17S - 1, QA Records EPA A UDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 201 4 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 records that furnish documentary evidence of quality specified, prepared and maintained? Y QAPD, Rev ision 11, section 1.5 , Records, paragraph A LCO - QPD - 04, Revision 8 , section 5.3 , Record Identification and Classification LCO - QP17 - 1, Revi sion 12 , section 5.0, Procedure 2. Are quality assurance records legible, identifiable and retrievable? Y QAPD, Rev ision 11, section 1.5.2 , Generating QA Records, paragraph B ; s ection 1.5.3 , Indexing QA Records, paragraphs B and C LCO - QP17 - 1, Revision 12 , se ction 5.1, Record Submittal, paragraph 5.1.1; section 5.2, Receipt and Processing of QA Records, paragraph 5.2.11; section 5.5, Record Retrieval 3. Are quality assurance records protected against damage, deterioration or loss? Y QAPD, Rev ision 11, section 1. 5.6 , Storage, Preservation, Safekeeping, and Disposition of QA Records, paragraph A LCO - QP17 - 1, Revision 12 , section 5.2, Receipt and Processing of QA Records LCO - QPD - 04, Revision 8 , section 5. 4, Record Handling; section 5.7, Record Storage Facility 4. Are t he requirements and responsibilities established and documented for the transmittal, distribution, retention, maintenance and disposition of quality assurance records? Y QAPD, Rev ision 11, section 1.5.3: Indexing QA Records ; section 1.5.5 , Receiving QA Rec ords ; section 1.5.6 , Storage, Preservation, Safekeeping , and Disposition of QA Records LCO - QP17 - 1, Revision 12 , section 4.0, Responsibilities; section 5.1, Record Submittal; section 5.2, Receipt and Processing of QA Records; section 5.5, Record Retrieval L CO - QPD - 04, Revision 8 , section 5. 4, Record Handling; section 5.7, Record Storage Facility; section 5.9 , Disposition of QA Records Supplementary Requirements (17S - 1) 1. Has a quality assurance records system been established? Y QAPD, Rev ision 11, section 1. 5 .1 , Document Changes, paragraph A LCO - QPD - 04, Revision 8 , section 5. 1, Record System 2. Is the quality assurance records system defined, implemented and enforced in accordance with written procedures, instructions or other documentation? Y QAPD, Rev ision 11, section 1.5.1 , Document Changes, paragraph A LCO - QPD - 04, Revision 8 , section 5. 1, Record System LCO - QP17 - 1, Revision 12, Record Management 3. Do the applicable design specifications, procurement documents, test procedures, operational procedures or other do cuments specify the quality assurance records to be generated, supplied or maintained by the facility? Y QAPD, Rev ision 11, section 1 .5.2 , Generating QA Records, paragraph A LCO - QP17 - 1, Revision 12, section 5.0, Procedure LCO - MP7 - 1, Revision 7 - AC1 , Attachm ent 3 , LANL - CO Procurement RequestEPA Audit of WIPP QA Program: LANL - CO WIPP QA 17 - 2 NQA - 1 ELEMENT: No. 17 with Supplement 17S - 1, QA Records EPA A UDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 201 4 Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

LCO - QP6 - 1, Revision 11 , section 5.1 , Developing Quality and Management Procedures , paragraph 5.1.8; section 5.1 , Developing Project - Specific Procedures , paragraph 5.2.7 ACP - IMP - 003, Revision 5, section 5.1, ACRSP Test Pla ns, paragraph 5.1.1; section 5.2, ACRSP Task Implementation Plans, paragraph 5.2.1 ACP - IMP - 005, Revision 3 , section 6.0, Record Requirements 4. Are quality assurance records required to be legible, accurate and complete? Y QAPD, Rev ision 11, section 1. 5.2 , G enerating QA Records, paragraph B LCO - QP17 - 1, Revision 12 , section 5.1, Record Submittal, paragraph 5.1.7 5. Are documents considered to be valid quality assurance records only if stamped, initialed or signed and dated by authorized personnel, or otherwise a uthenticated? Y QAPD, Rev ision 11, section 1.5. 2 , Generating QA Records, paragraph D LCO - QP D - 04 , Revision 8, section 5.4, Record Handling 6. Are the quality assurance records indexed? Does the indexing system include record retention times and the location o f the record within the quality assurance record system? Y QAPD, Rev ision 11, section 1.5.3 , Indexing QA Records LCO - QP D - 04 , Revision 8, section 5.6 , Record Filing System LCO - QP17 - 1, Revision 12 , Appendix A, Examples of File Designators ; Attachment 1 , Exam ple LANL - CO Record Submittal System Entry Screen and Instructions RSS and RTS demonstration, 7/23/2014 7. Are quality assurance records distributed, handled and controlled in accordance with written procedures? Y QAPD, Rev ision 11, section 1. 5.2 , Generating QA Records, paragraph C ; s ection 1.5.6 , Storage, Preservation, Safekeeping, and Disposition of QA Records, paragraph A LCO - QP17 - 1, Revision 12 , section 5.2, Receipt and Processing of QA Records , paragraph 5.2.23; section 5.5, Record Retrieval LCO - QPD - 04, Revision 8 , section 5. 4, Record Handling; section 5.7, Record Storage Facility 8. Do quality assurance records provide sufficient information to permit identification between the record and the items or activities to which it applies? Y QAPD, Rev ision 11, se ction 1. 5.3 , Indexing QA Records, paragraph C LCO - QP D - 04 , Revision 8, section 5.6 , Record Filing System LCO - QP17 - 1, Revision 12 , Appendix A, Examples of File Designators 9. Are quality assurance records classified as either lifetime or nonpermanent? Y QAPD, Rev ision 11, section 1.5 .4 , Classifying QA Records, paragraph A LCO - QP D - 04 , Revision 8, section 5.3 , Record Identification and Classification . 10. Is the retention time for nonpermanent quality assurance records established in writing? N/A QAPD, Rev ision 11, section 1.5 .4 , Classifying QA Records, paragraph D 11. Are quality assurance records corrected in accordance with procedures that provide for appropriate review or approval by the Y QAPD, Rev ision 11, section 1.5.7 , Correcting Information in QA Records LCO - QP17 - 1, Revision 12 , section 5.4 , Supplementing or Correcting Existing QAEPA Audit of WIPP QA Program: LANL - CO WIPP QA 17 - 3 NQA - 1 ELEMENT: No. 17 with Supplement 17S - 1, QA Records EPA A UDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 201 4 Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence originating organization? Does the correction include the date and the identif

ication of the person authorized to issue such correction? Records 12. Does the individual or organization r esponsible for receiving quality assurance records provide protection from damage or loss during the time that the records are in their possession? Y QAPD, Rev ision 11, section 1.5.5 , Receiving QA Records LCO - QP17 - 1, Revision 12 , section 5. 0, Procedure; se ction 5.1, Record Submittal, paragraph 5.1.1 13. Does each organization responsible for the receipt of quality assurance records designate a person or organization responsible for receiving the records? Y QAPD, Rev ision 11, section 1.5.5 , Receiving QA Records LCO - QP17 - 1, Revision 12 , section 5. 2, Receipt and Processing of QA Records 14. Does the receipt control system include:  A method for designating the required records?  A method for identifying records received?  Procedures for receipt and inspection of incomin g records?  A method for submittal of completed records to the storage facility? Y QAPD, Rev ision 11, section 1.5.5 , Receiving QA Records LCO - QPD - 04, Revision 8, section 5.3, Record Identification and Classification LCO - QP17 - 1, Revision 12 , section 5.2, Rec eipt and Processing of QA Records, paragraphs 5.2.1, 5.2.2, 5.2.10, 5.2.21 and 5.2.26 15. Is the receipt control system structured to permit a current and accurate assessment of the status of quality assurance records during the receiving process? Y QAPD, Rev ision 11, section 1.5.5 , Receiving QA Records LCO - QP17 - 1, Revision 12 , section 5. 2, Receipt and Processing of QA Records Records filing demonstration, 7/23/2014 16. Prior to storage of quality assurance records, was a written storage procedure prepared and re sponsibility assigned for enforcing its requirements? Does the storage procedure include each of the following:  A description of the storage facility?  The filing system to be used?  A method for verifying that the records received are in agreement with the transmittal document and that the records are legible?  A method of verifying that the records are those designated (see No. 14 above)?  The rules governing access to and control of the files?  A method for maintaining control of and accountability for record s removed from the storage facility?  A method for filing supplemental information and disposing of superseded records (see No. 11 above)? Y QAPD, Rev ision 11, section 1. 5.6 , Storage, Preservation, Safekeeping, and Disposition of Records, paragraph A LCO - QP D - 04, Revision 8, section 5.7, Record Storage Facility; section 5.6, Record Filing System LCO - QP17 - 1, Revision 12 , section 5.2, Receipt and Processing of QA Records, paragraphs 5.2.2, 5.2.11 and 5.2.27; section 5.4 , Supplementing or Correcting Existing QA Records ; section 5.5, Record Retrieval

17. Are quality assurance records stored in a manner approved by the organizations responsible for storage, including the following: Y QAPD, Rev ision 11, section 1.5.6 , Storage, Preservation, Safekeeping, and Disposition of RecordsEPA Audit of WIPP QA Program: LANL - CO WIPP QA 17 - 4 NQA - 1 ELEMENT: No. 17 with Supplement 17S - 1, QA Records EPA A UDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 201 4 Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence  Provisions in the storage arrangements to prevent damage from moisture, temperature and pressure?  Records firmly attached in binders or placed in folders or envelopes for storage in steel file cabinets or on shelving in containers?  Provisions for special processed records (such as radiographs, photographs, negatives and microfilm) to prevent damage from excessive light, stacking, electromagnetic fields and temperature? LCO - QPD - 04, Revision 8, section 5.7, Record Storage Facility Tour of record s torage room, 7/23/2014

18. Have measures been established to preclude the entry of unauthorized personnel into the storage area? Y QAPD, Rev ision 11, section 1.5. 6.1 , Records Disposition, paragraph J LCO - QPD - 04, Revision 8, section 5.7, Record Storage Facilit y Tour of record storage room, 7/23/2014 19. Have measures been taken to provide for replacement, restoration or substitution of lost or damaged records? Y QAPD, Rev ision 11, section 1.5.6. 1 , Records Disposition, paragraph K LCO - QPD - 04, Revision 8, section 5. 7, Record Storage Facility LCO - QP17 - 1, Revision 12 , section 5.3, Submitting Records to be Filed in Existing Record Packages 20. Are records stored in a facility that minimizes the risk of damage or destruction from the following:  Natural disasters such as win ds, floods or fires?  Environmental conditions such as high and low temperatures and humidity?  Infestation of insects, mold or rodents? Y QAPD, Rev ision 11, section 1.5.6 , Storage, Preservation, Safekeeping, and Disposition of Records Tour of record storage room, 7/23/2014 21. Are quality assurance records stored in single or dual storage facilities? Y (single) QAPD, Rev ision 11, section 1.5 , Records LCO - QPD - 04, Revision 8, section 5.7, Record Storage Facility 22. Does the design and construction of a single recor d storage facility meet the following criteria:  Reinforced concrete, concrete block, masonry or equal construction?  Floor and roof with drainage control (if a floor drain is provided, a check valve (or equal) is included)?  Doors, structure and frames, and hardware designed to comply with the requirements of a minimum 2 - hour fire rating?  Sealant applied over walls as a moisture or condensation barrier?  Surface sealant on the floor providing a hard - wear surface to minimize concrete dusting? N/A QAPD, Rev ision 11, section 1.5.6 .1 , Records Disposition, paragraph EEPA Audit of WIPP QA Program: LANL - CO WIPP QA 17 - 5 NQA - 1 ELEMENT: No. 17 with Supplement 17S - 1, QA Records EPA A UDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 201 4 Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence  Foundation sealant and provisions for drainage?  Forced air circulation with filter system?  Fire protection system?  Only those penetrations used exclusively for fire protection, communication, lighting or temperature/humidity control are allowed (all penetrations are sealed or dampered to comply with the minimum 2 - hour fire protection rating)? 23. Were the construction details of the quality assurance records storage facility reviewed for adequacy of protec tion of contents by a person who is competent in the technical field of fire protection and fire extinguishing? N/A QAPD, Rev ision 11, section 1.5. 6.1 , Records Disposition, paragraph F 24. Does the design and construction of an alternative single record stora ge facility meet the following criteria:  2 - hour fire rated vault meeting National Fire Protection Association (NFPA) 232 - 1986 or NFPA 232AM - 1986 or both?  2 - hour fire rated Class B file containers meeting the requirements of NFPA 232 - 1986 or NFPA 232AM - 1986 or both?  2 - hour fire rated file room meeting the requirements of NFPA 232 - 1986 or NFPA 232AM - 1986 or both, with the following provisions:

– Early warning fire detection and automatic fire suppression capability with electronic supervision at a constantly at tended central station?

– Records storage in fully - enclosed metal cabinets?

– Adequate access and aisle ways?

– Prohibition in the room of work not directly associated with record storage or retrieval?

– Prohibition in the room of smoking, eating or drinking?

– 2 - ho ur fire rated dampers or doors in all boundary penetrations? Y QAPD, Rev ision 11, section 1.5.6 .1 , Records Disposition, paragraph G LCO - QPD - 04, Revision 8, section 5.7, Record Storage Facility

25. When temporary storage of quality assurance records is require d by an organization’s procedures, are the records stored in a 1 - hour fire rated container? Do these procedures specify the maximum allowable time limit for temporary storage? Does the container bear a UL label (or equivalent) certifying 1 - hour fire protec tion, or is it certified by a person competent in the technical field of fire protection? Y QAPD, Rev ision 11, section 1.5. 6.1 , Records Disposition, paragraph I LCO - QPD - 04, Revision 8, section 5.7, Record Storage Facility Tour of laboratory offices, 7/24/2 014EPA Audit of WIPP QA Program: LANL - CO WIPP QA 17 - 6 NQA - 1 ELEMENT: No. 17 with Supplement 17S - 1, QA Records EPA A UDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 201 4 Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence 26. If storage at dual facilities for each quality assurance record is provided, are the facilities at locations sufficiently remote from each other to eliminate the chance of exposure to a simultaneous hazard? Although dual storage facilities are not req uired to satisfy the requirements of a single storage facility, are all other requirements of this standard met? N/A QAPD, Rev ision 11, section 1.5. 6.1 , Records Disposition, paragraph H

27. Does the storage system provide for retrieval of information in acco rdance with planned retrieval times, based on the record type? Y QAPD, Rev ision 11, section 1. 5.3 , Indexing QA Records, paragraph B LCO - QPD - 04, Revision 8, section 5.8, Record Tracking System; section 5.9, Disposition of QA Records LCO - QP17 - 1, Revision 12 , section 5.5 Record Retrieval RSS and RTS demonstration, 7/23/2014 28. Is a list maintained designating those personnel who shall have access to quality assurance files? QAPD, Rev ision 11, section 1.5.6 .1 , Records Disposition, paragraph J LCO - QPD - 04, Revisio n 8, section 5.7, Record Storage Facility Memo to the Quality Assurance File, QAM - 13 - 04, 3/25/2013 Posted records access list, observed 7/23/2014 29. Are records maintained by a supplier at its facility or other location accessible to the purchaser or its des ignated alternate (e.g., the owner)? N/A QAPD, Rev ision 11, section 2. 3.4 , Procurement Document Requirements, paragraph C 30. Are records accumulated at various locations, prior to transfer, made accessible to the owner directly or through the procuring organ ization? N/A QAPD, Rev ision 11, section 2. 3.4 , Procurement Document Requirements, paragraph C 31. Does the custodian of quality assurance records inventory the submittals, acknowledge receipt, and process these records in accordance with NQA - 1? Y QAPD, Rev isi on 11, section 1.5.6 , Storage, Preservation, Safekeeping, and Disposition of Records, paragraph A ; section 1.5.5 , Receiving QA Records LCO - QP17 - 1, Revision 12 , section 5.2, Receipt and Processing of QA Records Records filing demonstration, 7/23/2014 32. Are t he records storage and maintenance requirements of regulatory agencies followed in determining final disposition of quality assurance records? Y QAPD, Rev ision 11, section 1.5 .6.1 , Records Disposition, paragraph L LCO - QPD - 04, Revision 8, section 5.9, Dispo sition of QA RecordsEPA Audit of WIPP QA Program: LANL - CO WIPP QA 17 - 7 NQA - 1 ELEMENT: No. 17 with Supplement 17S - 1, QA Records EPA A UDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: June

– July 201 4 Does the reference document adequately define, describe, address or satisfy the following: Y, N, I, N/A* Applicable Procedure and Paragraph; Additional Objective Evidence 33. Are the supplier’s nonpermanent records disposed of only if the applicable conditions listed below are satisfied:  Items are released for shipment, a Code Data Report is signed or a Code Symbol Stamp is affixed?  Regulatory requirements are satisfied?  Operational status permits?  Warranty consideration is satisfied?  Purchaser’s requirements are satisfied? N/A QAPD, Rev ision 11, section 1.5 .6.1 , Records Disposition, paragraph L

*Y: T he reference d document s adequately define, describe, a d dress or satisfy the NQA - 1 - 1989 requirement. N: T he reference d document s do not adequately define, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. I : EPA requires additional information to determine if t he reference d document s adequately def ine, describe, a ddress or satisfy the NQA - 1 - 1989 requirement. N/A: The specific NQA - 1 - 1989 requirement is not applicable to the subject QA program .