EPA Audit of WIPP QA Program: SNL-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: May, 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, Revision 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 Manager Responsibilities; Appendix E, TRU Waste 

Characterization and Certification Organizational and Individual Responsibilities

NP 1-1, Revision 7, section 2.1, Organizational Structure; section 2.2.1, 

Responsibilities; section 2.2.2, Communication 

SNL-CO Organizational Structure, 4/23/2013

SNL WIPP Program Description, 11/4/2011

2. Do persons or organizations responsible for performing 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 QAPD, Revision 11, section 1.1.1.3, QA Management, paragraphs A and B; 

Appendix D, CBFO Quality Assurance Manager Responsibilities

NP 1-1, Revision 7, section 2.2.1.2, SNL WIPP QA Team Responsibilities

SNL-CO Organizational Structure, 4/23/2013

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, Revision 11, section 1.1.1.3, QA Management, paragraph A.7; Appendix C, 

CBFO Organization, Responsibilities, and Interfaces

NP 1-1, Revision 7, section 2.2.1.3, SNL WIPP QA Team Lead Responsibilities

SNL-CO Organizational Structure, 4/23/2013

SNL WIPP Program Description, 11/4/2011

4. Do persons or organizations responsible for performing quality 

assurance functions report to a management level that provides the 

required authority and organizational freedom, including sufficient 

independence from cost and schedule considerations?

Y QAPD, Revision 11, section 1.1.1.3, QA Management, paragraphs A.7–10 and B

NP 1-1, Revision 7, section 2.2.1.3, SNL WIPP QA Team Lead Responsibilities

SNL-CO Organizational Structure, 4/23/2013

SNL WIPP Program Description, 11/4/2011
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 1-2

Supplementary Requirements (1S-1)

1. Are the organizational structure and the responsibility assignments 

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, Revision 11, section 1.1.1, Organization; section 1.1.1.2, Employees; section 

1.1.1.3, QA Management; Appendix D, CBFO Quality Assurance Manager 

Responsibilities

NP 1-1, Revision 7, section 2.1, Organizational Structure; section 2.2.1, 

Responsibilities

SNL-CO Organizational Structure, 4/23/2013

2. Do the individuals or organizations 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, Revision 11, section 1.1.1.5, Delegation of Work

NP 1-1, Revision 7, section 2.2.1.3, SNL WIPP QA Team Lead Responsibilities

SNL WIPP Program Description, 11/4/2011

3. Is responsibility for the control of further processing, delivery, 

installation or operation of nonconforming items designated in 

writing?

Y QAPD, Revision 11, section 1.1.1.3, QA Management, paragraph B.4; section 

1.3.2.1, Documenting and Evaluating Nonconforming Items, paragraph E

NP 1-1, Revision 7, section 2.2.1.3, SNL WIPP QA Team Lead Responsibilities

NP 12-1, Revision 8, section 2.6.1, Identifying and Processing Nonconformances

WIPP Receipt Inspectors, 4/8/2014

4. Where more than one organization is involved in the execution of 

quality assurance activities, is the responsibility and authority of each 

organization clearly established and documented?

Y QAPD, Revision 11, section 1.1.1.4, Communication and Interface Responsibilities, 

paragraph B; Appendix C, CBFO Organization, Responsibilities, and Interfaces

SNL WIPP Program Description, 11/4/2011

5. Are the external interfaces between organizations, as well as the 

internal interfaces between organizational units, documented? Are 

interface responsibilities defined and documented?

Y QAPD, Revision 11, section 1.1.1.4, Communication and Interface Responsibilities, 

paragraph B; Appendix C, CBFO Organization, Responsibilities, and Interfaces

NP 5-1, Revision 6, section 2.1.1, Incorporating Upper Tier Requirements; Appendix 

A, section 2.0, Implementation Actions

SNL-CO Organizational Structure, 4/23/2013

SNL WIPP Program Description, 11/4/2011

*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: SNL-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: May, 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 assurance program planned, implemented 

and maintained in accordance with NQA-1?

Y QAPD, Revision 11, section 1.1.2.1, Quality Assurance Program Documents

NP 1-1, Revision 7, Organization and QA Program 

SNL WIPP Program Description, 11/4/2011

2. Does the quality assurance program identify the activities and items 

to which it applies?

Y QAPD, Revision 11, section 1.1.2.2, Applicability of QAPD Requirements

NP 1-1, Revision 7, section 1.1, General

SNL WIPP Program Description, 11/4/2011

3. Does the quality assurance program provide control over activities 

affecting quality to an extent consistent with their importance?

Y QAPD, Revision 11, section 1.1.2.3, Grading Items and Activities and Applying 

Management Controls

NP 1-1, Revision 7, section 1.2.1, QA Grading

SP 1-1, Revision 7, section 2.1, Quality Assurance (QA) Grading

4. Was the quality assurance program established at the earliest time 

consistent with the schedule for accomplishing the activities?

Y QAPD, Revision 11, section 1.1.2.3, Grading Items and Activities and Applying 

Management Controls

SNL WIPP Program Description, 11/4/2011

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 accomplishing the 

activity and assurance that prerequisites for the given activity have 

been satisfied?

Y QAPD, Revision 11, section 1.1.2.4, Planning Work, paragraphs E and G

NP 1-1, Revision 7, section 1.2.1, QA Grading

SP 1-1, Revision 7, section 2.1, Quality Assurance (QA) Grading

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 QAPD, Revision 11, section 1.1.2.4, Planning Work

NP 1-1, Revision 7, section 2.2.1, Responsibilities

7. Does the quality assurance program provide for indoctrination and 

training of personnel performing activities affecting quality?

Y QAPD, Revision 11, section 1.2.2, Training Requirements, paragraph A

NP 1-1, Revision 7, section 2.2.1.1, SNL WIPP Managers Responsibilities

NP 2-1, Revision 9, section 1.0, Purpose and Scope

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 effective 

Y QAPD, Revision 11, section 1.1.1.3, QA Management

NP 1-1, Revision 7, section 2.2.1.1, SNL WIPP Managers Responsibilities
EPA Audit of WIPP QA Program: SNL-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: May, 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

implementation? NP 1-1, Revision 7, section 2.2.3, Management Assessments

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?

Y QAPD, Revision 11, section 2.4.1, Qualification of Inspection and Test Personnel, 

paragraph A

NP 2-1, Revision 9, Appendix B, Procedures Matrix

NP 4-1, Revision 11, section 2.3, Receipt Inspection Personnel

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 perform inspection and test 

activities?

Y QAPD, Revision 11, section 2.4.1, Qualification of Inspection and Test Personnel, 

paragraph A

NP 2-1, Revision 9, section 2.2, Updated Qualification and Training of Individuals

NP 4-1, Revision 11, section 2.3, Receipt Inspection Personnel

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?

Y QAPD, Revision 11, section 1.2.1, Qualification Requirements, paragraph A; section 

2.4.1, Qualification of Inspection and Test Personnel, paragraph C

NP 2-1, Revision 9, Appendix B, Procedures Matrix

Form NP 2-1-2, Receipt Inspection Training Records for C. Camphouse,

ERMS557696, and B. Malama, ERMS544536

4. Have provisions 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 QAPD, Revision 11, section 2.4.1, Qualification of Inspection and Test Personnel, 

paragraph D

NP 4-1, Revision 11, section 2.3, Receipt Inspection Personnel

Form NP 2-1-1, Qualification and Training for C. Camphouse, ERMS548415, and B. 

Malama, ERMS557132

Form NP 2-1-2, Receipt Inspection Training Records for C. Camphouse,

ERMS557696, and B. Malama, ERMS544536

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 QAPD, Revision 11, section 2.4.1, Qualification of Inspection and Test Personnel, 

paragraph E

NP 4-1, Revision 11, section 2.3, Receipt Inspection Personnel

NP 2-1, Revision 9, section 2.4, Documentation of Training

Form NP 2-1-1, Qualification and Training for C. Camphouse, ERMS548415, and B. 

Malama, ERMS557132

Form NP 2-1-2, Receipt Inspection Training Records for C. Camphouse,

ERMS557696, and B. Malama, ERMS544536
EPA Audit of WIPP QA Program: SNL-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: May, 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

6. Are the capabilities 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?

Y QAPD, Revision 11, section 2.4.1, Qualification of Inspection and Test Personnel, 

paragraph F

NP 2-1, Revision 9, section 2.1.4, Verification of Employee Qualifications

Form NP 2-1-1, Qualification and Training for C. Camphouse, ERMS548415, and B. 

Malama, ERMS557132

7. Is the job performance of inspection and test personnel reevaluated at 

periodic intervals not to exceed three years?

N/A

8. If it is 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

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

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, 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?

Y QAPD, Revision 11, section 2.4.1, Qualification of Inspection and Test Personnel, 

paragraph H

NP 2-1, Revision 9, Appendix C, Sample Form NP 2-1-2

Form NP 2-1-2, Receipt Inspection Training Records for C. Camphouse,

ERMS557696, and B. Malama, ERMS544536

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

12. Does the employer establish and maintain records of personnel 

qualification?

Y QAPD, Revision 11, section 2.4.1, Qualification of Inspection and Test Personnel, 

paragraph J

WIPP Receipt Inspectors, 4/8/2014
EPA Audit of WIPP QA Program: SNL-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: May, 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

Form NP 2-1-2, Receipt Inspection Training Records for C. Camphouse,

ERMS557696, and B. Malama, ERMS544536

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?

N/A

2. Has the responsible organization established written procedures for 

the control and administration of nondestructive examination

personnel training, examination and certification?

N/A

3. Does the employer establish and maintain records of personnel 

qualification?

N/A

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 assurance 

programs?

Y QAPD, Revision 11, section 3.2.2.4, Auditor Qualification

NP 2-1, Revision 9, Appendix B, Procedures Matrix

NP 18-1, Revision 9, section 2.1.3, Qualifications

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 provide general and specialized training in 

audit performance?

 On-the-job training, guidance and counseling under the direct 

supervision of a lead auditor?

Y QAPD, Revision 11, section 3.2.2.4, Auditor Qualification, paragraphs A–C

NP 2-1, Revision 9, Appendix B, Procedures Matrix

NP 18-1, Revision 9, section 2.1.3.1, Auditor Qualifications

Form 18-1-1, Auditor Qualifications for Angela Guerin, ERMS550905

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 QAPD, Revision 11, section 3.2.2.6, Lead Auditor Qualification, paragraph B, Lead 

Auditor Communication Skills

NP 18-1, Revision 9, section 2.1.3.3, Lead Auditor Qualification, Communication 

Skills paragraph

Form 18-1-2, Lead Auditor Qualifications for S. Davis, ERMS528392, and M.

Chavez, ERMS544910
EPA Audit of WIPP QA Program: SNL-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: May, 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

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 

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-the-job training to include applicable elements of the audit 

program?

Y QAPD, Revision 11, section 3.2.2.6, Lead Auditor Qualification, paragraph C, Lead 

Auditor Training

NP 18-1, Revision 9, section 2.1.3.3, Lead Auditor Qualification, Training paragraph

Form 18-1-2, Lead Auditor Qualifications for S. Davis, ERMS528392, and M.

Chavez, ERMS544910

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 QAPD, Revision 11, section 3.2.2.6, Lead Auditor Qualification, paragraph A.2,

Experience

NP 18-1, Revision 9, section 2.1.3.3, Lead Auditor Qualification, Experience 

paragraph

Form 18-1-2, Lead Auditor Qualifications for S. Davis, ERMS528392, and M.

Chavez, ERMS544910

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 QAPD, Revision 11, section 3.2.2.6, Lead Auditor Qualification, paragraph D, Lead 

Auditor Examination

NP 18-1, Revision 9, section 2.1.3.3, Lead Auditor Qualification, Lead Auditor 

Examination paragraph

Form 18-1-2, Lead Auditor Qualifications for S. Davis, ERMS528392, and M.

Chavez, ERMS544910

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 

other documents related to quality assurance program and program 

Y QAPD, Revision 11, section 3.2.2.6, Lead Auditor Qualification, paragraph F, Lead 

Auditor Proficiency Maintenance

NP 18-1, Revision 9, section 2.1.3.5, Maintenance of Lead Auditor Proficiency

Form 18-1-3, Maintenance of Lead Auditor for S. Davis, ERMS560667, and M.

Chavez, ERMS560984
EPA Audit of WIPP QA Program: SNL-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: May, 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

auditing?

 Participation in training programs?

8. Does management conduct documented annual assessments of lead 

auditors to extend their qualification, require retraining or require 

requalification?

Y QAPD, Revision 11, section 3.2.2.6, Lead Auditor Qualification, paragraph F, Lead 

Auditor Proficiency Maintenance

NP 18-1, Revision 9, section 2.1.3.5, Maintenance of Lead Auditor Proficiency

Form 18-1-3, Maintenance of Lead Auditor for S. Davis, ERMS560667, and M.

Chavez, ERMS560984

Memorandum evaluating M. Chavez, ERMS560985

9. Are lead auditors who fail to maintain their proficiency for a period 

of two years or more required to requalify?

Y QAPD, Revision 11, section 3.2.2.6, Lead Auditor Qualification, paragraph F, Lead 

Auditor Proficiency Maintenance

NP 18-1, Revision 9, section 2.1.3.5, Maintenance of Lead Auditor Proficiency

10. Is the employer responsible for training auditors? Y QAPD, Revision 11, section 1.1.1.1, Management, paragraph C.1

NP 2.1, Revision 9, section 2.0, Implementation Actions

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 QAPD, Revision 11, section 3.2.2.3, Audit Team Selection, paragraph A

NP 18-1, Revision 9, section 2.3.1, Performance, Preparation paragraph

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 QAPD, Revision 11, section 3.2.2.3, Audit Team Selection, paragraph C

NP 18-1, Revision 9, section 2.3.1, Performance, Preparation paragraph

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, does the employer

retain responsibility for the conformance of the examination and its 

administration to the NQA-1-1989 standard?

Y QAPD, Revision 11, section 3.2.2.6, Lead Auditor Qualification, paragraph D, Lead 

Auditor Examination

NP 18-1, Revision 9, section 2.1.3.3, Lead Auditor Qualification, Lead Auditor 

Examination paragraph

14. Does the employer establish and maintain records of personnel 

qualifications for auditors and lead auditors performing audits?

Y QAPD, Revision 11, section 3.2.2.6, Lead Auditor Qualification, paragraph D, Lead 

Auditor Examination

NP 18-1, Revision 9, section 2.1.3.1, Auditor Qualification; section 2.1.3.3, Lead 

Auditor Qualification; section 3.0, Records; Appendix A, Auditor Qualifications 

Example Form; Appendix B, Lead Auditor Qualifications Example Form

Form 18-1-1, Auditor Qualifications for Angela Guerin, ERMS550905, S. Davis, 

ERMS528392, and M. Chavez, ERMS544910
EPA Audit of WIPP QA Program: SNL-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: May, 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

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 qualification (i.e., education, experience, communication 

skills, training, examination, etc.)?

 Signature of employer’s designated representative who is 

responsible for such certification?

Y QAPD, Revision 11, section 3.2.2.6, Lead Auditor Qualification, paragraph E, Lead 

Auditor Certification

NP 18-1, Revision 9, section 2.1.3.4, Lead Auditor Certification; Appendix B, Lead 

Auditor Qualifications Example Form

Form 18-1-1, Auditor Qualifications for S. Davis, ERMS528392, and M. Chavez, 

ERMS544910

16. Are the records for each lead auditor maintained and updated 

annually?

Y NP 18-1, Revision 9, section 2.1.3.5, Maintenance of Lead Auditor Proficiency

Form 18-1-3, Maintenance of Lead Auditor for S. Davis, ERMS560667, and M.

Chavez, ERMS560984

Supplementary Requirements (2S-4)

1. Are personnel identified for indoctrination or training? Y QAPD, Revision 11, section 1.2.2, Training Requirements, paragraph A; section 

2.4.1, Qualification of Inspection and Test Personnel, paragraph C

NP 2-1, Revision 9, Appendix B, Procedures Matrix

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, Revision 11, section 2.4.1, Qualification of Inspection and Test Personnel, 

paragraphs C and F

NP 2-1, Revision 9, section 2.1, Initial Qualification and Training of Individuals; 

2.1.1, Job Description; Appendix D, Qualification and Training Flow Chart

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, Revision 11, section 1.2.2, Training Requirements, paragraphs A and B; 

section 2.4.1, Qualification of Inspection and Test Personnel, paragraph C

NP 2-1, Revision 9, section 2.1.2, Training Required for the Position

4. Is training provided, if needed, to:

 Achieve initial proficiency?

 Maintain proficiency?

 Adapt to changes in technology, methods or job responsibilities?

Y QAPD, Revision 11, section 1.2.2, Training Requirements, paragraph A

NP 2-1, Revision 9, section 2.1.2, Training Required for the Position; section 2.2, 

Updated Qualification and Training of Individuals; section 2.3, New or Revised 

Procedure Training
EPA Audit of WIPP QA Program: SNL-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: May, 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. Do records of the implementation of indoctrination and training take 

the form of:

 Attendance sheets?

 Training logs?

 Personnel training records?

Y QAPD, Revision 11, section 1.2.2, Training Requirements, paragraph C

NP 2-1, Revision 9, section 2.4, Documentation of Training

*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: SNL-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: May, 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; Additional 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

NP 4-1, Revision 11, section 2.1.2, Technical and Quality Requirements 

Documentation; section 2.1.5, Procurement Document Preparation

Contract between PerkinElmer Health Sciences, Inc. and Sandia National 

Laboratories for Nexlon 300D ICP-MS including S10Autosampler and Polyscience 

Recirculator, Section I, 2/11/2013, ERMS559544

Form No. 4-1-1, Revision 11, Procurement Review, 1000 PPM Standards for Ca, Na, 

Mn, Fe, B, Cs, 1 PPM ICP-MS Standard for Cs from Government Scientific Source, 

1/14/2014, ERMS561585

2. Do procurement documents require suppliers 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

NP 4-1, Revision 11, section 2.1.2, Technical and Quality Requirements 

Documentation; section 2.1.5, Procurement Document Preparation

SNL WIPP Program Description, 11/4/2011

Contract between PerkinElmer Health Sciences, Inc. and Sandia National 

Laboratories for Nexlon 300D ICP-MS including S10Autosampler and Polyscience 

Recirculator, Section I, 2/11/2013, ERMS559544

Supplementary Requirements (4S-1)

1. Do procurement documents include the following provisions as 

deemed necessary by the purchaser:

 Scope of work?

 Technical requirements?

 QA program requirements?

 Right of access?

 Documentation requirements?

 Requirement for documenting nonconformances?

 Spare and replacement parts?

Y QAPD, Revision 11, section 2.3.4, Procurement Document Requirements, paragraphs 

A–C

NP 4-1, Revision 11, section 2.1.5, Procurement Document Preparation

Contract between PerkinElmer Health Sciences, Inc. and Sandia National 

Laboratories for Nexlon 300D ICP-MS including S10Autosampler and Polyscience 

Recirculator, Section I, 2/11/2013, ERMS559544

Contract between Boise State University and Sandia National Laboratories for 

Geophysical Investigation of the Shallow Subsurface, Section I, 8/11/11, 

ERMS557603, and Section II, 6/14/2011

2. Is the review of procurement documentation documented? Y QAPD, Revision 11, section 2.3.5, Procurement Document Review and Approval, 

paragraph B

NP 4-1, Revision 11, section 2.1.6, Procurement Document Reviews
EPA Audit of WIPP QA Program: SNL-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: May, 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; Additional Objective Evidence

Form No. 4-1-1, Revision 11, Procurement Review, Service Contract with 

PerkinElmer for Nexlon 300D ICP-MS including S10Autosampler and Polyscience 

Recirculator, 1/24/2013, ERMS559543

3. Are changes to procurement documents subject to 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

NP 4-1, Revision 11, section 2.2, Existing Contract Change Requests

*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: SNL-CO WIPP QA 5-1

ASME NQA-1-1989 CHECKLIST

NQA-1 ELEMENT: No. 5, Instructions, Procedures and Drawings EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, 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 activities affecting quality prescribed by and performed in 

accordance with documented instructions, procedures or drawings?

Y QAPD, Revision 11, section 2.1, Work Processes, paragraph A

NP 5-1, Revision 6, section 2.1.1, Incorporating Upper Tier Requirements

SP 5-1, Revision 2, Engineering Drawings

NP 9-1, Revision 9, section 2.1.1, Analysis Plan Preparation and Approval; section 

2.1.2, Analysis Plan Changes/Revisions; section 2.1.3, Analysis Plan Implementation

NP 20-1, Revision 5, section 1.0, Purpose and Scope

Collection of Nuclear Waste Management Procedures, Activity/Project Specific 

Procedures, Analysis Plans and Test Plans

2. Do the documents referenced in question 1 include or reference 

appropriate quantitative or qualitative acceptance criteria?

Y QAPD, Revision 11, section 2.1.2, Implementing Procedures, paragraph B.4

NP 5-1, Revision 6, Appendix A, section 2.0, Implementation Actions

SP 12-32, Revision 1, section 2.5, Acceptance Criteria

Supplementary Requirements – 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.
EPA Audit of WIPP QA Program: SNL-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: May, 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 preparation, issue and change of documents that specify 

quality requirements or prescribe activities affecting quality 

controlled?

Y QAPD, Revision 11, section 1.4.1, Document Preparation, Review, Approval, and 

Issuance; section 1.4.3, Document Changes

NP 6-2, Revision 5, section 1.0, Purpose and Scope; appendix B, NP 6-2 Process 

Flow Chart

2. Are such documents, including changes thereto, reviewed for 

adequacy and approved for release by authorized personnel?

Y QAPD, Revision 11, section 1.4.1, Document Preparation, Review, Approval, and 

Issuance, paragraphs A and J; section 1.4.3, Document Changes, paragraph A

NP 6-1, Revision 8, section 1.0, Purpose and Scope; section 2.2, Identifying the 

Reviewers; section 2.3, Conducting the Review; appendix B, NP 6-1 Process Flow 

Chart

NP 6-2, Revision 5, section 2.1, Issuance of a Controlled Document

Document Review Package for NP 6-2, ERMS561678

Document Review Package for AP-165, ERMS560703, ERMS560704, 

ERMS560705

Document Review Package for AP-168, ERMS561954, ERMS561955, 

ERMS561956

Document Review Package for NP 17-1, ERMS559928

Document Review Package for NP 18-1, ERMS556852, ERMS556853

Document Review Package for SP 12-19, ERMS554665, ERMS554666, 

ERMS554667

Document Review Package for SP 12-32, ERMS561935, ERMS561936, 

ERMS561937

Document Review Package for TP 14-01, ERMS561691, ERMS561692, 

ERMS561693

Document Review Package for TP 14-03, ERMS561896, ERMS561897, 

ERMS561898

Supplementary Requirements (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, Revision 11, section 1.4.2, Document Distribution and Use

NP 6-2, Revision 5, section 2.1, Issuance of a Controlled Document; section 2.1.1, 

On-Line Documents

Document Review Package for NP 6-2, ERMS561680
EPA Audit of WIPP QA Program: SNL-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: May, 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

Document Review Package for AP-165, ERMS560707 and ERMS561138

Document Review Package for AP-168, ERMS561957

Document Review Package for NP 17-1, ERMS559930

Document Review Package for TP 14-01, ERMS556855

Document Review Package for SP 12-19, ERMS554669 and ERMS561483

Document Review Package for SP 12-32, ERMS561940

Document Review Package for TP 14-03, ERMS561695

Document Review Package for NP 18-1, ERMS561901

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 

for preparing, reviewing, approving and issuing documents?

 Review of documents for adequacy, completeness and correctness 

prior to approval and issuance?

Y QAPD, Revision 11, section 1.4.1, Document Preparation, Review, Approval, and 

Issuance

NP 6-1, Revision 8, section 1.0, Purpose and Scope; section 2.2, Identifying the 

Reviewers

NP 6-2, Revision 5, section 1.0, Purpose and Scope; section 2.1, Issuance of a 

Controlled Document; section 2-1-1, On-Line Documents; appendix B, NP 6-2 

Process Flow Chart

Document Review Package for NP 6-2, ERMS561680

Document Review Package for AP-165, ERMS560707 and ERMS561138

Document Review Package for AP-168, ERMS561957

Document Review Package for NP 17-1, ERMS559930

Document Review Package for TP 14-01, ERMS556855

Document Review Package for SP 12-19, ERMS554669 and ERMS561483

Document Review Package for SP 12-32, ERMS561940

Document Review Package for TP 14-03, ERMS561695

Document Review Package for NP 18-1, ERMS561901

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, Revision 11, section 1.4.3, Document Changes, paragraph A

NP 6-1, Revision 8, section 2.2, Identifying the Reviewers

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, Revision 11, section 1.4.1, Document Preparation, Review, Approval, and 

Issuance, paragraph D

NP 6-1, Revision 8, section 2.3 Conducting the Review

5. Are minor changes to documents defined (i.e., those changes that do Y QAPD, Revision 11, section 1.4.3, Document Changes, paragraphs C and E
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 6-3

NQA-1 ELEMENT: No. 6 with Supplement 6S-1, Document Control EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, 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

not require a review as a major change)? Are the persons who can 

authorize a minor change clearly delineated?

NP 6-1, Revision 8, section 2.2, Identifying the Reviewers

*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: SNL-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: May, 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 Objective 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 of 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

NP 4-1, Revision 11, section 2.1.3, Supplier Selection; section 2.3.2, Evaluation of 

Service Provider/Supplier; section 2.3.3, Evaluation of Items

Form No. 4-1-1, Revision 11, Procurement Review, Service Contract with 

PerkinElmer for Nexlon 300D ICP-MS including S10Autosampler and Polyscience 

Recirculator, 1/24/2013, ERMS559543

ISO-9001 Certification, Procurement Package for Omega Engineering, Inc. Omega SBeam Load Cell, Record-in-Progress, observed 7/22/2014

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, Revision 11, section 2.3.1, Procurement Planning Requirements

NP 4-1, Revision 11, section 2.1.2, Technical and Quality Requirements 

Documentation; section 2.1.5, Procurement Document Preparation

Form No. 4-1-1, Revision 11, Procurement Review, Service Contract with 

PerkinElmer for Nexlon 300D ICP-MS including S10Autosampler and Polyscience 

Recirculator, 1/24/2013, ERMS559543

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, inspection or audit) activities by the 

purchaser, including notification for hold and witness points?

 Control of nonconformances?

 Corrective action?

 Acceptance of item or service?

 Quality assurance records?

Y QAPD, Revision 11, section 2.3.1, Procurement Planning Requirements, paragraphs

C.1–9

NP 4-1, Revision 11, section 2.1.2, Technical and Quality Requirements 

Documentation; section 2.1.3, Supplier Selection; section 2.1.4, Bid Evaluation 

Criteria, Plan and Proposal; section 2.1.5, Procurement Document Preparation; 

section 2.1.6, Procurement Document Reviews; section 2.2, Existing Contract Change 

Requests; section 2.3.1, Acceptance of Procurements (Receipt Inspections); section 

2.3.2, Evaluation of Service Provider/Supplier; section 2.3.3, Evaluation of Items

Form No. 4-1-1, Revision 11, Procurement Review, Service Contract with 

PerkinElmer for Nexlon 300D ICP-MS including S10Autosampler and Polyscience 

Recirculator, 1/24/2013, ERMS559543
EPA Audit of WIPP QA Program: SNL-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: May, 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 Objective Evidence

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 

implementation of its quality assurance program?

Y QAPD, Revision 11, section 2.3.2, Supplier Selection, paragraphs A, C and D

NP 4-1, Revision 11, section 2.1.3, Supplier Selection

Quality Levels for WIPP Activities - FY14 (Approved Suppliers List), downloaded

4/24/2014

ISO-9001 Certification, Procurement Package for Omega Engineering, Inc. Omega SBeam Load Cell, Record-in-Progress, observed 7/22/2014

4. Are the following items considered in bid evaluations:

 Technical considerations?

 Quality assurance requirements?

 Supplier’s personnel?

 Supplier’s production capability?

 Supplier’s past performance?

 Alternates?

 Exceptions?

Y QAPD, Revision 11, section 2.3.3, Proposal/Bid Evaluation

NP 4-1, Revision 11, section 2.1.4, Bid Evaluation Criteria, Plan and Proposal

5. Are 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?

 Establishing a method of document information exchange between 

purchaser and supplier?

 Establishing the extent of source surveillance and inspection 

activities?

Y QAPD, Revision 11, section 2.3.6, Supplier Performance Evaluation, paragraphs A–F

Quality Levels for WIPP Activities - FY14 (Approved Suppliers List), downloaded 

4/24/2014

ISO-9001 Certification, Procurement Package for Omega Engineering, Inc. Omega SBeam Load Cell, Record-in-Progress, observed 7/22/2014
EPA Audit of WIPP QA Program: SNL-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: May, 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 Objective Evidence

6. Are verification activities of the supplier’s quality performance 

planned, verified and documented by qualified personnel?

Y QAPD, Revision 11, section 2.3.4, Procurement Document Requirements, paragraph

C.4

ISO-9001 Certification, Procurement Package for Omega Engineering, Inc. Omega SBeam Load Cell, Record-in-Progress, observed 7/22/2014

Form No. 4-1-2, Revision 11, Procurement Review, Geophysical Investigation of the 

Shallow Subsurface by Boise State University, 3/6/2013, ERMS559674

7. Are supplier-generated documents controlled, handled and approved 

in accordance with established methods?

Y QAPD, Revision 11, section 2.3.4, Procurement Document Requirements, paragraph

C.5

8. Are measures established, implemented and documented to control 

changes to procurement documents?

Y QAPD, Revision 11, section 2.3.5, Procurement Document Review and Approval, 

paragraph A

NP 4-1, Revision 11, section 2.2, Existing Contract Change Requests

9. Are methods established for the acceptance of an item or service 

being furnished by a supplier?

Y QAPD, Revision 11, section 2.3.7, Acceptance of Items or Services, paragraph A

NP 4-1, Revision 11, section 2.3.1, Acceptance of Procurements (Receipt 

Inspections); section 2.3.2, Evaluation of Service Provider/Supplier; section 2.3.3, 

Evaluation of Items

Form No. 4-1-2, Revision 11, Receipt Inspection, 1000 PPM Standards for Ca, Na, 

Mn, Fe, B, Cs, 1 PPM ICP-MS Standard for Cs from Government Scientific Source, 

1/23/2014, ERMS561586

Form No. 4-1-2, Revision 11, Procurement Review, Geophysical Investigation of the 

Shallow Subsurface by Boise State University, 3/6/2013, ERMS559674

10. Is the supplier required to verify that the item or service being 

furnished complies with the procurement requirements? 

Y QAPD, Revision 11, section 2.3.7, Acceptance of Items or Services, paragraph B

Form No. 4-1-2, Revision 11, Receipt Inspection, 1000 PPM Standards for Ca, Na, 

Mn, Fe, B, Cs, 1 PPM ICP-MS Standard for Cs from Government Scientific Source, 

1/23/2014, ERMS561586

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?

 Receiving inspection?

 Post-installation test?

Note: Specific requirements for each of the above are addressed in 

NQA-1-1989, Supplement 7S-1, paragraph 8.2.

Y QAPD, Revision 11, section 2.3.7.1, Source Verification; section 2.3.7.2, Receiving 

Inspection; section 2.3.7.3, Post-installation Testing; section 2.3.7.4, Supplier 

Certificate of Conformance

NP 4-1, Revision 11, section 2.3.1, Acceptance of Procurements (Receipt 

Inspections); section 2.3.2, Evaluation of Service Provider/Supplier; section 2.3.3, 

Evaluation of Items

NP 18-1, Revision 9, section 2.1.2, Other Requirements

Form No. 4-1-2, Revision 11, Receipt Inspection, 1000 PPM Standards for Ca, Na, 
EPA Audit of WIPP QA Program: SNL-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: May, 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 Objective Evidence

Mn, Fe, B, Cs, 1 PPM ICP-MS Standard for Cs from Government Scientific Source, 

1/23/2014, ERMS561586

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 procurement 

document requirements, such as certifications or stress reports?

Y QAPD, Revision 11, section 2.3.7.1, Source Verification, paragraph C

NP 4-1, Revision 11, section 2.3.1, Acceptance of Procurements (Receipt 

Inspections); section 2.3.2, Evaluation of Service Provider/Supplier

NP 18-1, Revision 9, section 2.1.2, Other Requirements

Form No. 4-1-2, Revision 11, Procurement Review, Geophysical Investigation of the 

Shallow Subsurface by Boise State University, 3/6/2013, ERMS559674

13. Do the purchaser and supplier have documented methods for 

disposition of items and services that do not meet procurement 

document requirements?

Y QAPD, Revision 11, section 2.3.8, Control of Supplier Nonconformances

NP 4-1, Revision 11, section 2.3.1, Acceptance of Procurements (Receipt 

Inspections); section 2.3.2, Evaluation of Service Provider/Supplier; section 2.3.3, 

Evaluation of Items; section 2.3.5, Item or Services Received Does Not Meet 

Requirements

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., useas-is or repair) and technical justification? 

 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 

requirements or purchaser-approved documents are addressed in 

NQA-1-1989, Supplement 7S-1, paragraph 9(b).

Y QAPD, Revision 11, section 2.3.8, Control of Supplier Nonconformances

NP 4-1, Revision 11, section 2.3.1, Acceptance of Procurements (Receipt 

Inspections); section 2.3.2, Evaluation of Service Provider/Supplier; section 2.3.3, 

Evaluation of Items; section 2.3.5, Item or Services Received Does Not Meet 

Requirements

*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: SNL-CO WIPP QA 8-1

ASME NQA-1-1989 CHECKLIST

NQA-1 ELEMENT: No. 8 with Supplement 8S-1, Identification and EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July, Dec 2014

Control of Items 

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 controls established to assure that only correct and accepted 

items are used or installed?

Y QAPD, Revision 11, section 2.1.3, Item Identification and Control, paragraph B

NP 13-1, Revision 7, section 2.2, Samples, Standards and Chemicals Identification;

section 2.3, Conditions Adverse to Quality or Significant Conditions Adverse to 

Quality Samples and Standards; section 3.0, Records

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

SP 13-1, Revision 5, section 2.3, Sample Identification/Initiating Chain of Custody; 

section 2.6, Sample Archiving/Storage/Disposition; Appendix A, Form Number: SP 

13-1-1, Chain of Custody

SNL WIPP QA Surveillance IS-14-04, ERMS562299

NP 20-2, Revision 10, Appendix A, Requirements for SNL-WIPP Scientific 

Notebooks; Appendix B, Laboratory Scientific Notebook Technical and QA Review 

Checklist; Appendix C, Field Scientific Notebook Technical and QA Review 

Checklists

TP 03-01, Revision 3, section 4.4, Data-Acquisition Plan

TP 08-02, Revision 0, section 1.0, Purpose and Scope; section 2.0, Experimental 

Process Description; section 4.0, Data Quality Control; section 5.0, Equipment

2. Is identification required to be maintained either on the items or in 

documents traceable to the items, or in a manner that assures that 

identification is established and maintained?

Y QAPD, Revision 11, section 2.1.3, Item Identification and Control, paragraphs A and 

B.1

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

Limited Calibration Certificate, Document No: 56013_11622752, 4/2/2013, 

ERMS599801

Limited Calibration Certificate, Document No: 56013_11596366, 3/31/2014, 

ERMS561916

Supplementary Requirements (8S-1)

1. Are items of production (e.g., batch, lot, component, part) identified 

from initial receipt and fabrication of the items up to and including 

installation and use?

Y QAPD, Revision 11, section 2.1.3, Item Identification and Control, paragraph B.1

NP 13-1, Revision 7, section 2.2, Samples, Standards and Chemicals Identification;

section 2.3, Conditions Adverse to Quality or Significant Conditions Adverse to 

Quality Samples and Standards; section 2.4, Use, Handling, Storing, and Shipping 
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 8-2

NQA-1 ELEMENT: No. 8 with Supplement 8S-1, Identification and EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July, Dec 2014

Control of Items 

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Samples and Standards; Appendix A, NP 13-1 Sample Control Process Flowchart

SP 13-1, Revision 5, section 2.3, Sample Identification/Initiating Chain of Custody; 

section 2.6, Sample Archiving/Storage/Disposition; Appendix A, Form Number: SP 

13-1-1, Chain of Custody

SNL WIPP QA Surveillance IS-14-04, ERMS562299

2. Does the required identification relate an item to the applicable 

design or other pertinent specifying documents?

N/A

3. Is physical identification used to the maximum extent possible? Y QAPD, Revision 11, section 2.1.3, Item Identification and Control, paragraph B.2

NP 13-1, Revision 7, section 2.2, Samples, Standards and Chemicals Identification; 

section 2.4, Use, Handling, Storing, and Shipping Samples and Standards; section 

2.5, Samples and Standards Storage/Archiving

4. Are identification markings applied using materials and methods that 

provide a clear and legible identification and do not detrimentally 

affect the function or service life of the item?

Y QAPD, Revision 11, section 2.1.3, Item Identification and Control, paragraphs B.2.a–

b

NP 13-1, Revision 7, section 2.2, Samples, Standards and Chemicals Identification; 

section 2.4, Use, Handling, Storing, and Shipping Samples and Standards; section 

2.5, Samples and Standards Storage/Archiving

5. Are identification markings required to be transferred to each part of 

an identified item when it is subdivided?

Y QAPD, Revision 11, section 2.1.3, Item Identification and Control, paragraph B.2.c

NP 13-1, Revision 7, section 2.2, Samples, Standards and Chemicals Identification; 

section 2.5, Samples and Standards Storage/Archiving

SP 13-1, Revision 5, section 2.3, Sample Identification/Initiating Chain of Custody; 

section 2.6, Sample Archiving/Storage/Disposition; Appendix A, Form Number: SP 

13-1-1, Chain of Custody

SNL WIPP QA Surveillance IS-14-04, ERMS562299

6. Are limited-life items (e.g., o-rings) required to be identified to 

preclude their use when the shelf life or operating life has expired?

Y QAPD, Revision 11, section 2.1.3, Item Identification and Control, paragraph A

NP 13-1, Revision 7, section 2.2, Samples, Standards and Chemicals Identification; 

section 2.5, Samples and Standards Storage/Archiving

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 03-01, Revision 3, section 4, Experimental Process Rationale and Description
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 8-3

NQA-1 ELEMENT: No. 8 with Supplement 8S-1, Identification and EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July, Dec 2014

Control of Items 

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

7. Have provisions been established for maintaining control of item 

identification consistent with the planned duration and conditions of 

storage, including:

 Provisions for maintenance or replacement of markings and 

identification records due to damage during handling or aging?

 Protection of identification markings on items subject to excessive 

deterioration due to environmental exposure?

 Provisions for updating existing plant records?

Y QAPD, Revision 11, section 2.1.5, Handling, Storage, and Shipping, paragraph E

NP 13-1, Revision 7, section 2.2, Samples, Standards and Chemicals Identification; 

section 2.3, Conditions Adverse to Quality or Significant Conditions Adverse to 

Quality Samples and Standards; section 2.4, Use, Handling, Storing, and Shipping 

Samples and Standards; section 2.5, Samples and Standards Storage/Archiving

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 03-01, Revision 3, section 4.4, Data-Acquisition Plan

TP 08-02, Revision 0, section 1.0, Purpose and Scope; section 2.0, Experimental 

Process Description; section 4.0, Data Quality Control; section 5.0, Equipment

SP 13-1, Revision 5, section 2.3, Sample Identification/Initiating Chain of Custody; 

section 2.6, Sample Archiving/Storage/Disposition; Appendix A, Form Number: SP 

13-1-1, Chain of Custody

SNL WIPP QA Surveillance IS-14-04, ERMS562299

*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: SNL-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. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, 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 processes affecting the quality of items or services controlled? Y QAPD, Revision 11, section 2.1.2, Implementing Procedures, paragraph A

NP 1-1, Revision 7, section 2.2.1.1, SNL WIPP Managers Responsibilities

NP 5-1, Revision 6, section 2.1.1, Incorporating Upper Tier Requirements

NP 20-1, Revision 5, section 2.1, General Requirements

2. Are special processes, such as welding, heat treating and 

nondestructive examination, performed by qualified personnel?

N/A

3. Are special processes performed in accordance with qualified 

procedures?

N/A

Supplementary Requirements (9S-1)

1. Are processes controlled by instructions, procedures, drawings, 

checklists, travelers or other appropriate means? Are process 

parameters controlled and specified environmental conditions 

maintained?

Y QAPD, Revision 11, section 2.1.4, Special Processes, paragraph B

NP 1-1, Revision 7, section 2.2.1.1, SNL WIPP Managers Responsibilities

NP 20-1, Revision 5, section 2.1, General Requirements

2. Is each special process performed in accordance with appropriate 

instructions, which include or reference procedure, personnel and 

equipment qualification requirements?

N/A

3. Do the special process procedures or instructions include conditions 

necessary for accomplishment of the process, including proper 

equipment, controlled process parameters and calibration 

requirements?

N/A

4. Do the special process procedures or instructions specify or reference 

applicable codes and standards, including acceptance criteria for the 

process?

N/A

5. Are records maintained for the currently qualified personnel, 

processes and equipment of each special process?

N/A

*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: SNL-CO WIPP QA 10-1

ASME NQA-1-1989 CHECKLIST

NQA-1 ELEMENT: No. 10 with Supplement 10S-1, Inspection EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, 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 inspections preplanned? Y QAPD, Revision 11, section 2.4.3.1, Inspection Planning, paragraph A

NP 4-1, Revision 11, section 2.1.1, Initiating a Procurement Action

2. Are the characteristics to be inspected and the inspection methods to 

be employed specified?

Y QAPD, Revision 11, section 2.4, Inspection and Testing, paragraph A

NP 4-1, Revision 11, section 2.3.1, Acceptance of Procurements (Receipt 

Inspections); Form NP 4-1-1, Procurement Review; Form NP 4-1-2, Receipt 

Inspection

Form No. 4-1-1, Revision 11, Procurement Review, 1000 PPM Standards for Ca, Na, 

Mn, Fe, B, Cs, 1 PPM ICP-MS Standard for Cs from Government Scientific Source, 

1/14/2014, ERMS561585

Form No. 4-1-2, Revision 11, Receipt Inspection, 1000 PPM Standards for Ca, Na, 

Mn, Fe, B, Cs, 1 PPM ICP-MS Standard for Cs from Government Scientific Source, 

1/14/2014, ERMS561586

3. Are the inspections documented? Y QAPD, Revision 11, section 2.4, Inspection and Testing, paragraph A

NP 4-1, Revision 11, section 2.3.1, Acceptance of Procurements (Receipt 

Inspections); Form NP 4-1-2, Receipt Inspection

Form No. 4-1-2, Revision 11, Receipt Inspection, 1000 PPM Standards for Ca, Na, 

Mn, Fe, B, Cs, 1 PPM ICP-MS Standard for Cs from Government Scientific Source, 

1/14/2014, ERMS561586

4. Are the acceptance inspections performed by persons who are other 

than those who performed or directly supervised the work being 

inspected?

Y QAPD, Revision 11, section 2.4, Inspection and Testing, paragraph A

NP 4-1, Revision 11, section 2.3.1, Acceptance of Procurements (Receipt 

Inspections)

WIPP Receipt Inspectors, 4/8/2014

Form No. 4-1-2, Revision 11, Receipt Inspection, 1000 PPM Standards for Ca, Na, 

Mn, Fe, B, Cs, 1 PPM ICP-MS Standard for Cs from Government Scientific Source, 

1/14/2014, ERMS561586

Supplementary Requirements (10S-1)

1. Do inspection personnel not report directly to the immediate 

supervisors who were responsible for the work being inspected?

Y QAPD, Revision 11, section 2.4, Inspection and Testing, paragraph A

NP 4-1, Revision 11, section 2.3.1, Acceptance of Procurements (Receipt 

Inspections)

WIPP Receipt Inspectors, 4/8/2014
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 10-2

NQA-1 ELEMENT: No. 10 with Supplement 10S-1, Inspection EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, 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

2. Are inspection personnel qualified to perform the assigned inspection 

task?

Y QAPD, Revision 11, section 2.4.1, Qualification of Inspection and Test Personnel; 

section 2.4.2, Qualification of Nondestructive Examination Personnel

NP 4-1, Revision 11, section 2.3.1, Acceptance of Procurements (Receipt 

Inspections)

WIPP Receipt Inspectors, 4/8/2014

Form NP 2-1-2, Receipt Inspection Training Records for C. Camphouse,

ERMS557696, and B. Malama, ERMS544536

3. Are inspection hold points established and documented? Y QAPD, Revision 11, section 2.4.3.2, Inspection Hold Points

NP 4-1, Revision 11, section 2.1.5, Procurement Document Preparation

4. Is the consent to waive specified hold points documented prior to 

continuation of work beyond the hold point?

N/A

5. Is the planning for inspection activities documented? Does this 

documentation identify characteristics, methods and acceptance 

criteria and provide for recording objective evidence of inspection 

results?

Y QAPD, Revision 11, section 2.4.3.1, Inspection Planning, paragraph A

NP 4-1, Revision 11, section 2.3.2, Evaluation of Service Provider/Supplier; section 

2.3.3, Evaluation of Items; section 2.3.4, Item or Services Received Meets 

Requirements

6. If sampling is used to verify acceptability of a group of items, is the 

sampling procedure based on a recognized standard practice?

N/A

7. Is inspection of items in process or under construction performed? 

Note: Both inspection and process monitoring shall be provided 

when control is inadequate without both.

N/A

8. Do final inspections include a records review of the results and 

resolution of nonconformances identified by prior inspections?

N/A

9. Are modifications, repairs or replacements of items performed 

subsequent to final inspection required to be reinspected or retested, 

as appropriate, to verify acceptability?

N/A

10. Do inspection records identify the following:

 Item inspected?

 Date of inspection?

 Inspector?

 Type of observation?

 Results or acceptability?

 Reference to information on action taken in connection with 

nonconformances?

Y QAPD, Revision 11, section 2.4.3.6, Inspection Documentation

NP 4-1, Revision 11, Form NP 4-1-2, Receipt Inspection

Form No. 4-1-2, Revision 11, Receipt Inspection, 1000 PPM Standards for Ca, Na, 

Mn, Fe, B, Cs, 1 PPM ICP-MS Standard for Cs from Government Scientific Source, 

1/14/2014, ERMS561586

Form No. 4-1-2, Revision 11, Receipt Inspection, Geophysical Investigation of the 

Shallow Subsurface by Boise State University, 3/6/2013, ERMS559674
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 10-3

*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: SNL-CO WIPP QA 11-1

ASME NQA-1-1989 CHECKLIST

NQA-1 ELEMENT: No. 11 with Supplements 11S-1 and 11S-2, Test EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July, Dec 2014

Control

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 tests that are required to verify conformance of an item or 

computer program to specified requirements and to demonstrate 

satisfactory performance for service planned and executed?

Y QAPD, Revision 11, section 2.4.4, Test Requirements; section 6.4.1, Basic 

Requirements for Software Procurement; section 6.6.2.4, Testing Phase

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 03-01, Revision 3, section 4.4, Data-Acquisition Plan

TP 08-02, Revision 0, section 1.0, Purpose and Scope; section 2.0, Experimental 

Process Description; section 4.0, Data Quality Control; section 5.0, Equipment

2. Are the characteristics to be tested and test methods to be employed 

specified?

Y QAPD, Revision 11, section 2.4.4.1, Test Planning; section 2.4.4.2, Test 

Documentation; section 6.4.1, Basic Requirements of Software Procurement; section 

6.6.2.4, Testing Phase

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

SP 12-5, Revision 2, section 2.5, Solonist Brand Water-Level Sounder Field Check

TP 03-01, Revision 3, section 4.4, Data-Acquisition Plan

TP 08-02, Revision 0, section 1.0, Purpose and Scope; section 2.0, Experimental 

Process Description; section 4.0, Data Quality Control; section 5.0, Equipment

3. Are test results documented and their conformance with acceptance 

criteria evaluated?

Y QAPD, Revision 11, section 2.4.4.3, Test Results; section 6.4.1, Basic Requirements 

of Software Procurement; section 6.6.2.4, Testing Phase, paragraph E

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

SP 12-5, Revision 2, section 2.5, Solonist Brand Water-Level Sounder Field Check

Supplementary Requirements (11S-1)

1. Are the test requirements and acceptance criteria provided or 

approved by the organization responsible for the design of the item 

to be tested?

Y QAPD, Revision 11, section 2.4.4, Test Requirements

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

SP 12-5, Revision 2, section 2.5, Solonist Brand Water-Level Sounder Field Check

TP 03-01, Revision 3, section 4.4, Data-Acquisition Plan

TP 08-02, Revision 0, section 1.0, Purpose and Scope; section 2.0, Experimental 

Process Description; section 4.0, Data Quality Control; section 5.0, Equipment
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 11-2

NQA-1 ELEMENT: No. 11 with Supplements 11S-1 and 11S-2, Test EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July, Dec 2014

Control

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. Do the test procedures include or reference the following, as 

applicable:

 Calibrated instrumentation?

 Appropriate equipment?

 Trained personnel?

 Condition of the test equipment and the test item?

 Suitable environmental conditions?

 Provisions for data acquisition?

Y QAPD, Revision 11, section 2.4.4.1, Test Planning

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

SP 12-5, Revision 2, section 2.5, Solonist Brand Water-Level Sounder Field Check

TP 03-01, Revision 3, section 4.4, Data-Acquisition Plan

TP 08-02, Revision 0, section 1.0, Purpose and Scope; section 2.0, Experimental 

Process Description; section 4.0, Data Quality Control; section 5.0, Equipment

3. Are test results documented and evaluated by a responsible authority 

to assure that test requirements have been satisfied?

Y QAPD, Revision 11, section 2.4.4.3, Test Results

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

SP 12-5, Revision 2, section 2.5, Solonist Brand Water-Level Sounder Field Check

TP 03-01, Revision 3, section 4.4, Data-Acquisition Plan

TP 08-02, Revision 0, section 1.0, Purpose and Scope; section 2.0, Experimental 

Process Description; section 4.0, Data Quality Control; section 5.0, Equipment

4. Do the tests records identify the following:

 Item tested?

 Date of test?

 Tester or data recorder?

 Type of observation?

 Results and acceptability?

 Action taken in connection with any deviations noted?

 Person evaluating the test results?

Y QAPD, Revision 11, section 2.4.4.2, Test Documentation

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

SP 12-5, Revision 2, section 2.5, Solonist Brand Water-Level Sounder Field Check

Field Check for a Solonist Brand Electric Sounder (1,000 feet), ERMS558471

Supplementary Requirements (11S-2)

1. Are test requirements and acceptance criteria provided or approved 

by the organization responsible for the design or use of the computer 

program to be tested?

Y QAPD, Revision 11, section 6.6.2.4, Testing Phase, paragraph A

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

SP 12-5, Revision 2, section 2.5, Solonist Brand Water-Level Sounder Field Check

TP 03-01, Revision 3, section 4.4, Data-Acquisition Plan

TP 08-02, Revision 0, section 1.0, Purpose and Scope; section 2.0, Experimental 

Process Description; section 4.0, Data Quality Control; section 5.0, Equipment

2. Are required tests controlled, including verification tests, hardware 

integration tests and/or in-use tests?

Y QAPD, Revision 11, section 6.6.2.4, Testing Phase, paragraph A

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 11-3

NQA-1 ELEMENT: No. 11 with Supplements 11S-1 and 11S-2, Test EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July, Dec 2014

Control

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Flowchart

SP 12-5, Revision 2, section 2.5, Solonist Brand Water-Level Sounder Field Check

TP 03-01, Revision 3, section 4.4, Data-Acquisition Plan

TP 08-02, Revision 0, section 1.0, Purpose and Scope; section 2.0, Experimental 

Process Description; section 4.0, Data Quality Control; section 5.0, Equipment

3. Do test procedures or plans specify the following, as applicable:

 Required tests and test sequence?

 Required ranges of input parameters?

 Identification of the stages at which testing is required?

 Criteria for establishing test cases?

 Requirements for testing logic branches?

 Requirements for hardware integration?

 Anticipated output values?

 Acceptance criteria?

 Reports, records, standard formatting and conventions?

Y QAPD, Revision 11, section 6.4.1, Basic Requirements for Software Procurement

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 03-01, Revision 3, section 4.4, Data-Acquisition Plan

TP 08-02, Revision 0, section 1.0, Purpose and Scope; section 2.0, Experimental 

Process Description; section 4.0, Data Quality Control; section 5.0, Equipment

4. Are test results documented? Y QAPD, Revision 11, section 6.6.2.4, Testing Phase, paragraph E

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 03-01, Revision 3, section 4.4, Data-Acquisition Plan

TP 08-02, Revision 0, section 1.0, Purpose and Scope; section 2.0, Experimental 

Process Description; section 4.0, Data Quality Control; section 5.0, Equipment

Field Check for a Solonist Brand Electric Sounder (1,000 feet), ERMS558471

Well H-9bR Video Log, ERMS558348

Experimental Determination of Lead Solubility in the Carbonate Systems to High 

Ionic Strengths: A Pitzer Model Description, ERMS561907

5. Are verification test results evaluated by a responsible authority to 

assure that test requirements have been satisfied?

Y QAPD, Revision 11, section 6.7.1, Basic Requirements, paragraph B; section 6.7.2.5, 

Testing

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

SP 12-5, Revision 2, section 2.5, Solonist Brand Water-Level Sounder Field Check

TP 03-01, Revision 3, section 4.4, Data-Acquisition Plan

TP 08-02, Revision 0, section 1.0, Purpose and Scope; section 2.0, Experimental 
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 11-4

NQA-1 ELEMENT: No. 11 with Supplements 11S-1 and 11S-2, Test EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July, Dec 2014

Control

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Process Description; section 4.0, Data Quality Control; section 5.0, Equipment

6. Do verification test records identify each of the following:

 Computer program tested?

 Computer hardware used?

 Test equipment and calibrations, where applicable?

 Date of test?

 Tester or data recorder?

 Simulation models used, where applicable?

 Test problems?

 Results and acceptability?

 Action taken in connection with any deviations noted?

 Person evaluating the test results?

Y QAPD, Revision 11, section 6.6.2.4, Testing Phase, paragraph E

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

SP 12-5, Revision 2, section 2.5, Solonist Brand Water-Level Sounder Field Check

Field Check for a Solonist Brand Electric Sounder (1,000 feet), ERMS558471

Well H-9bR Video Log, ERMS558348

Experimental Determination of Lead Solubility in the Carbonate Systems to High 

Ionic Strengths: A Pitzer Model Description, ERMS561907

7. Do in-use test results identify each of the following:

 Computer program tested?

 Computer hardware used?

 Test equipment and calibrations, where applicable?

 Date of test?

 Tester or data recorder?

 Acceptability?

Y QAPD, Revision 11, section 6.6.2.4, Testing Phase, paragraph E

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

SP 12-5, Revision 2, section 2.5, Solonist Brand Water-Level Sounder Field Check

Field Check for a Solonist Brand Electric Sounder (1,000 feet), ERMS558471

*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: SNL-CO WIPP QA 12-1

ASME NQA-1-1989 CHECKLIST

NQA-1 ELEMENT: No. 12 with Supplement 12S-1, Control of EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July, Dec 2014

Measuring and Test Equipment

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 the measuring and test equipment used for activities affecting 

quality:

 Controlled?

 Calibrated?

 Adjusted to maintain accuracy within specified limits?

Y QAPD, Revision 11, section 2.4.6, Use and Control of M&TE, paragraphs A and D

NP 12-1, Revision 8, section 2.1, Use of M&TE; section 2.2, Control of M&TE; section

2.2.3, Maintenance of M&TE

Calibration Record for Troll Pressure Transducer Model 700, Serial Number 148736, 

Calibration Procedure SP-12-32, Revision 1; Mensor S/N 611334 – Calibration Due 

6/14/2014; Temperature Probe S/N 307172 - Calibration Due 3/31/2015; record dated 

May 12, 2014

Sandia National Laboratories Scientific Notebook, Balance Calibration Log Book 

Balance Calibration Records, Leslie Kirkes, 6/13/2013, Balance Nos. Mettler PM 4000, 

AT 4000 and Mettler Toledo AT 261

Supplementary Requirements (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

NP 12-1, Revision 8, section 2.1.4, Recording the Use of M&TE

NP 20-1, Revision 5, Test Plans

NP 20-2, Revision 10, Scientific Notebooks

TP 03-01, Revision 3, Test Plan for Testing of Wells at the WIPP Site

SP 12-5, Revision 2, Depth-to-Water Measurement Using a Solonist Brand Electric 

Sounder

Field Check for a Solonist Brand Electric Sounder (1,000 feet), ERMS558471

TP 08-02, Revision 0, Test Plan, Iron, Lean, Sulfide and EDTA Solubilities

2. Is the measuring and test equipment calibrated at prescribed 

intervals?

Y QAPD, Revision 11, section 2.4.7, Calibration, paragraph A

NP 12-1, Revision 8, section 2.3.1, Calibration Service Provider Responsibilities; 

section 2.5, Establishing Calibration Service

3. Is the measuring and test equipment calibrated to nationally 

recognized standards? If not, are the bases for calibration 

documented?

Y QAPD, Revision 11, section 2.4.7, Calibration, paragraph B

NP 12-1, Revision 8, section 1.2, Scope; section 2.1, Use of M&TE; section 2.2, 

Control of M&TE; section 2.2.3, Maintenance of M&TE

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; 
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 12-2

NQA-1 ELEMENT: No. 12 with Supplement 12S-1, Control of EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July, Dec 2014

Measuring and Test Equipment

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

section 2.4.7, Calibration, paragraph C

NP 12-1, Revision 8, section 2.3.1, Calibration Service Provider Responsibilities; 

section 2.5, Establishing Calibration Service

TP 08-02, Revision 0, Test Plan, Iron, Lean, Sulfide and EDTA Solubilities

Sandia National Laboratories Scientific Notebook, ICP-AES Logbook-2, November 

2006iii

5. When measuring and test equipment is found to be out of calibration, 

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

NP 12-1, Revision 8, section 2.6.1, Identifying and Processing Nonconformances

Calibration Record for Troll Pressure Transducer Model 700, S/N: 148736, Calibration 

Procedure SP-12-32, Revision 1; Mensor S/N: 611334 – Calibration Due 6/14/2014; 

Temperature Probe S/N: 307172 - Calibration Due 3/31/2015; records dated May 12, 

2014 and May 28, 2014

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

NP 12-1, Revision 8, section 1.0, Purpose and Scope; section 2.4, Check Standard; 

section 2.5, Establishing Calibration Service

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

NP 12-1, Revision 8, section 2.1, Use of M&TE; section 2.2, Control of M&TE

8. Are records maintained and 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

NP 12-1, Revision 8, section 2.0, Implementation Actions; section 2.3, Obtaining 

Calibration Services; section 3.0, Records

SP 17-1, Revision 8, Records Center Operations

Visual confirmation of tag out for FLUM E System Data Acquisition System, Tag No.

820, 10/13/2013, observed 7/22/2014

Visual confirmation of markings to indicate calibration status: Weights S/N: 34855 and 

Thermometer CPC 6000, observed 7/22/2014

*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: SNL-CO WIPP QA 13-1

ASME NQA-1-1989 CHECKLIST

NQA-1 ELEMENT: No. 13 with Supplement 13S-1, Handling, Storage EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July, Dec 2014

and Shipping 

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 handling, storage, cleaning, packaging, shipping and 

preservation of items controlled to prevent damage or loss and to 

minimize deterioration?

Y QAPD, Revision 11, section 2.1.5, Handling, Storage and Shipping

NP 13-1, Revision 6, section 1.0, Purpose and Scope; section 2.4, Use, Handling, 

Storing, and Shipping Samples and Standards; section 2.5, Samples and Standards 

Storage/Archiving

SP 13-1, Revision 5, section 2.3, Sample Identification/Initiating Chain of Custody; 

section 2.6, Sample Archiving/Storage/Disposition; Appendix A, Form Number: SP 

13-1-1, Chain of Custody

SNL WIPP QA Surveillance IS-14-04, ERMS562299

Supplementary Requirements (13S-1) 

1. Are the handling, storage and shipping of items conducted in 

accordance with established work and inspection instructions, 

drawings, specifications, shipment instructions or other pertinent 

documents or procedures specified for use in conducting the activity?

Y QAPD, Revision 11, section 2.1.5, Handling, Storage and Shipping, paragraph A

NP 13-1, Revision 6, section 2.4, Use, Handling, Storing, and Shipping Samples and 

Standards

SP 13-1, Revision 5, section 2.3, Sample Identification/Initiating Chain of Custody; 

section 2.6, Sample Archiving/Storage/Disposition; Appendix A, Form Number: SP 

13-1-1, Chain of Custody

SP 13-2, Revision 4, section 2.5, Core Logging

SNL WIPP QA Surveillance IS-14-04, ERMS562299

2. When required for particular items, are special equipment (such as 

containers, shock absorbers and accelerometers), and special 

protective environments (such as inert gas atmosphere, specific 

moisture content levels and temperature levels) specified and

provided and their existence verified?

Y QAPD, Revision 11, section 2.1.5, Handling, Storage and Shipping, paragraphs D–

D.1

NP 13-1, Revision 6, section 2.4, Use, Handling, Storing, and Shipping Samples and 

Standards

SP 13-1, Revision 5, section 2.3, Sample Identification/Initiating Chain of Custody; 

section 2.6, Sample Archiving/Storage/Disposition; Appendix A, Form Number: SP 

13-1-1, Chain of Custody

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 03-01, Revision 3, section 3, Purpose and Scope; section 4.4, Data-Acquisition 

Plan

Form NP 18-1-4, Limited Scope Surveillance Report of Core Sample Logging and 

Management, IS 13-01, ERMS558716
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 13-2

NQA-1 ELEMENT: No. 13 with Supplement 13S-1, Handling, Storage EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July, Dec 2014

and Shipping 

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Form NP 18-1-4, Limited Scope Surveillance Report of Control of Samples and 

Standards/Chain of Custody, IS 14-04, ERMS562299

SNL WIPP QA Surveillance IS-14-04, ERMS562299

3. When required for critical, sensitive, perishable or high-value 

articles, are specific procedures for handling, storage, packaging, 

shipping and preservation used?

Y QAPD, Revision 11, section 2.1.5, Handling, Storage and Shipping, paragraph B

NP 13-1, Revision 6, section 2.4, Use, Handling, Storing, and Shipping Samples and 

Standards

SP 13-1, Revision 5, section 2.3, Sample Identification/Initiating Chain of Custody; 

section 2.6, Sample Archiving/Storage/Disposition; Appendix A, Form Number: SP 

13-1-1, Chain of Custody

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 03-01, Revision 3, section 3, Purpose and Scope; section 4.4, Data-Acquisition 

Plan

SNL WIPP QA Surveillance IS-14-04, ERMS562299

4. Are special-handling tools and equipment used and controlled as 

necessary to ensure safe and adequate handling?

Y QAPD, Revision 11, section 2.1.5, Handling, Storage and Shipping, paragraph D.2

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 03-01, Revision 3, section 3, Purpose and Scope; section 4.4, Data-Acquisition 

Plan

5. Are special-handling tools and equipment inspected and tested in 

accordance with procedures and at specified time intervals to verify 

that the tools and equipment are adequately maintained?

Y QAPD, Revision 11, section 2.1.5, Handling, Storage and Shipping, paragraph D.3

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 03-01, Revision 3, section 3, Purpose and Scope; section 4.4, Data-Acquisition 

Plan

6. Are operators of special-handling and lifting equipment experienced 

or trained in the use of the equipment?

Y QAPD, Revision 11, section 2.1.5, Handling, Storage and Shipping, paragraph D.4

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 03-01, Revision 3, section 3, Purpose and Scope; section 4.4, Data-Acquisition 

Plan

7. Are instructions for marking and labeling for packaging, shipment, 

handling and storage of items established as necessary to adequately 

identify, maintain, and preserve the items, including indication of the 

Y QAPD, Revision 11, section 2.1.5, Handling, Storage and Shipping, paragraph C

NP 13-1, Revision 6, section 2.2, Samples, Standards and Chemicals Identification
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 13-3

NQA-1 ELEMENT: No. 13 with Supplement 13S-1, Handling, Storage EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July, Dec 2014

and Shipping 

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

presence of special environments or the need for special controls? SP 13-1, Revision 5, section 2.3, Sample Identification/Initiating Chain of Custody; 

section 2.6, Sample Archiving/Storage/Disposition; Appendix A, Form Number: SP 

13-1-1, Chain of Custody

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

SNL WIPP QA Surveillance IS-14-04, ERMS562299

*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: SNL-CO WIPP QA 14-1

ASME NQA-1-1989 CHECKLIST

NQA-1 ELEMENT: No. 14, Inspection, Test and Operating Status EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July, Dec 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. Is the status of inspection and test activities identified either on the 

item or documents traceable to the item, in order to assure that (1) 

required inspections and tests are performed and (2) items that have 

not passed the required inspections and tests are not inadvertently 

installed, used or operated?

Y QAPD, Revision 11, section 2.1.3, Item Identification and Control, paragraphs B.4 

and B.5

SP 1-1, Revision 7, section 2, Implementation Actions; Appendix A, WIPP QA 

Grading Process Flowchart; Appendix B, QA Grading Determination, Form SP 1-1-1

NP 5-1, Revision 6, section 2.3, Preparation, Review, and Approval of Implementing 

Procedures and Revisions; section 2.6, Compliance with Implementing Procedures; 

Appendix A, NP and SP Guidance; Appendix B, Form NP 5-1-1, Procedure History 

and Review/Approval; Appendix C, NP 5-1 Process Flow Chart

Form NP 2-1-2, Receipt Inspection Training Records for C. Camphouse,

ERMS557696, and B. Malama, ERMS544536

SP 12-5, Revision 2, section 2.5, Solonist Brand Water-Level Sounder Field Check

Field Check for a Solonist Brand Electric Sounder (1,000 feet), ERMS558471

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 08-02, Revision 0, Iron, Lean, Sulfide and EDTA Solubilities

2. Is the status maintained through indicators, such as physical location, 

tags, markings, shop travelers, stamps, inspection records or other 

suitable means?

Y QAPD, Revision 11, section 2.1.3, Item Identification and Control, paragraph B.5

NP 12-1, Revision 8, section 2.3, Obtaining Calibration Services; section 2.6, M&TE 

Nonconformances

Visual confirmation of tag out for FLUM E System Data Acquisition System, Tag 

No. 820, 10/13/2013, observed 7/22/2014

Visual confirmation of markings to indicate calibration status: Weights S/N: 34855 

and Thermometer CPC 6000, observed 7/22/2014

3. Is the authority for application and removal of tags, markings, labels 

and stamps specified?

Y QAPD, Revision 11, section 2.1.3, Item Identification and Control, paragraph B.5

NP 12-1, Revision 8, section 2.3, Obtaining Calibration Services; section 2.6, M&TE 

Nonconformances

4. Are status indicators provided for indicating the operating status of 

systems and components of the nuclear facility to prevent their 

inadvertent operation?

Y QAPD, Revision 11, section 2.1.5, Handling, Storage and Shipping, paragraph F

NP 12-1, Revision 8, section 2.3, Obtaining Calibration Services; section 2.6, M&TE 

Nonconformances

NP 13-1, Revision 7, section 2.2, Samples, Standards and Chemicals Identification; 

section 2.5, Samples and Standards Storage/Archiving
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 14-2

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 03-01, Revision 3, section 4, Experimental Process Rationale and Description

Visual confirmation of tag out for FLUM E System Data Acquisition System, Tag 

No. 820, 10/13/2013, observed 7/22/2014

Visual confirmation of markings to indicate calibration status: Weights S/N: 34855 

and Thermometer CPC 6000, observed 7/22/2014

Supplementary Requirements – 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.
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 15-1

ASME NQA-1-1989 CHECKLIST

NQA-1 ELEMENT: No. 15 with Supplement 15S-1, Control of EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July 2014

Nonconforming Items

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 items that do not conform to specified requirements controlled to 

prevent inadvertent installation or use?

Y QAPD, Revision 11, section 1.3.2.4, Segregating Nonconforming Items, paragraph A

NP 13-1, Revision 7, section 2.2, Samples, Standards and Chemicals Identification; 

section 2.3, Conditions Adverse to Quality or Significant Conditions Adverse to 

Quality Samples and Standards; section 2.4, Use, Handling, Storing, and Shipping 

Samples and Standards; section 2.5, Samples and Standards Storage/Archiving; 

Appendix A, NP 13-1 Sample Control Process Flowchart; Appendix B, NP 13-1 

Standard Control Process Flowchart

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 03-01, Revision 3, section 3, Purpose and Scope; section 4.4, Data-Acquisition 

Plan

SP 13-1, Revision 5, Chain of Custody

2. Are controls provided for identification, documentation, evaluation, 

segregation (when practical) and disposition of nonconforming items, 

and for notification to affected organizations?

Y QAPD, Revision 11, section 1.3.2.1, Documenting and Evaluating Nonconforming 

Items; section 1.3.2.2, Identifying Nonconforming Items or Data; section 1.3.2.3, 

Reporting Nonconformances; section 1.3.2.4: Segregating Nonconforming Items;

section 1.3.2.5, Disposition of Nonconforming Items or Data

NP 13-1, Revision 7, section 2.2, Samples, Standards and Chemicals Identification; 

section 2.3, Conditions Adverse to Quality or Significant Conditions Adverse to 

Quality Samples and Standards; section 2.4, Use, Handling, Storing, and Shipping 

Samples and Standards; section 2.5, Samples and Standards Storage/Archiving; 

Appendix A, NP 13-1 Sample Control Process Flowchart; Appendix B, NP 13-1 

Standard Control Process Flowchart

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 03-01, Revision 3, section 3, Purpose and Scope; section 4.4, Data-Acquisition 

Plan

SP 13-1, Revision 5, Chain of Custody

Supplementary Requirements (15S-1)

1. Are nonconforming items identified by marking, tagging or other 

methods that shall not adversely affect the end use of the item?

Y QAPD, Revision 11, section 1.3.2.2, Identifying Nonconforming Items or Data, 

paragraph A

NP 13-1, Revision 7, section 2.2, Samples, Standards and Chemicals Identification; 
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 15-2

NQA-1 ELEMENT: No. 15 with Supplement 15S-1, Control of EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July 2014

Nonconforming Items

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

section 2.3, Conditions Adverse to Quality or Significant Conditions Adverse to 

Quality Samples and Standards; section 2.5, Samples and Standards 

Storage/Archiving; Appendix A, NP 13-1 Sample Control Process Flowchart; 

Appendix B, NP 13-1 Standard Control Process Flowchart

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 03-01, Revision 3, section 3, Purpose and Scope; section 4.4, Data-Acquisition 

Plan

SP 17-1, Revision 8, Records Center Operations

SP 13-1, Revision 5, Chain of Custody

Visual confirmation of Tag Out for FLUM E System Data Acquisition System, Tag 

No. 820, 10/13/2013, observed 7/22/2014

2. Is the identification of nonconforming items legible and easily 

recognizable?

Y QAPD, Revision 11, section 1.3.2.2, Identifying Nonconforming Items or Data, 

paragraph A

NP 13-1, Revision 7, section 2.2, Samples, Standards and Chemicals Identification; 

section 2.3, Conditions Adverse to Quality or Significant Conditions Adverse to 

Quality Samples and Standards; section 2.5, Samples and Standards 

Storage/Archiving; Appendix A, NP 13-1 Sample Control Process Flowchart; 

Appendix B, NP 13-1 Standard Control Process Flowchart

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 03-01, Revision 3, section 3, Purpose and Scope; section 4.4, Data-Acquisition 

Plan

SP 17-1, Revision 8, Records Center Operations

SP 13-1, Revision 5, Chain of Custody

Visual confirmation of Tag Out for FLUM E System Data Acquisition System, Tag 

No. 820, 10/13/2013, observed 7/22/2014

3. Are nonconforming items segregated, when practical, by placing 

them in a clearly identified and designated hold area until properly 

dispositioned?

Y QAPD, Revision 11, section 1.3.2.4, Segregating Nonconforming Items, paragraph B

NP 13-1, Revision 7, section 2.4, Use, Handling, Storing, and Shipping Samples and 

Standards; section 2.5, Samples and Standards Storage/Archiving; section 2.6, 

Samples and Standards Disposition; Appendix A, NP 13-1 Sample Control Process 

Flowchart; Appendix B, NP 13-1 Standard Control Process Flowchart

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 15-3

NQA-1 ELEMENT: No. 15 with Supplement 15S-1, Control of EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July 2014

Nonconforming Items

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Flowchart

TP 03-01, Revision 3, section 3, Purpose and Scope; section 4.4, Data-Acquisition 

Plan

4. Are nonconforming items dispositioned in accordance with 

documented procedures?

Y QAPD, Revision 11, section 1.3.2.5, Disposition of Nonconforming Items or Data, 

paragraph A

NP 13-1, Revision 7, section 2.2, Samples, Standards and Chemicals Identification; 

section 2.3, Conditions Adverse to Quality or Significant Conditions Adverse to 

Quality Samples and Standards; section 2.4, Use, Handling, Storing, and Shipping 

Samples and Standards; section 2.5, Samples and Standards Storage/Archiving; 

Appendix A, NP 13-1 Sample Control Process Flowchart; Appendix B, NP 13-1 

Standard Control Process Flowchart

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 03-01, Revision 3, section 3, Purpose and Scope; section 4.4, Data-Acquisition 

Plan

5. Is further processing, delivery, installation or use of a nonconforming 

item controlled pending an evaluation and an approved disposition 

by authorized personnel?

Y QAPD, Revision 11, section 1.3.2.4, Segregating Nonconforming Items, paragraph 

A; section 1.3.2.5, Disposition of Nonconforming Items or Data, paragraph A

NP 13-1, Revision 7, section 2.3, Conditions Adverse to Quality or Significant 

Conditions Adverse to Quality Samples and Standards; section 2.4, Use, Handling, 

Storing, and Shipping Samples and Standards; section 2.5, Samples and Standards 

Storage/Archiving; Appendix A, NP 13-1 Sample Control Process Flowchart; 

Appendix B, NP 13-1 Standard Control Process Flowchart

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 08-02, Revision 0, section 1.0, Purpose and Scope; section 2.0, Experimental 

Process Description; section 4.0, Data Quality Control; section 5.0, Equipment

6. Are the responsibility and authority for the evaluation and disposition 

of nonconforming items defined?

Y QAPD, Revision 11, section 1.3.2.1, Documenting and Evaluating Nonconforming 

Items, paragraph E

NP 13-1, Revision 7, section 2.3, Conditions Adverse to Quality or Significant 

Conditions Adverse to Quality Samples and Standards; section 2.4, Use, Handling, 

Storing, and Shipping Samples and Standards; section 2.5, Samples and Standards 

Storage/Archiving; Appendix A, NP 13-1 Sample Control Process Flowchart; 

Appendix B, NP 13-1 Standard Control Process Flowchart

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 15-4

NQA-1 ELEMENT: No. 15 with Supplement 15S-1, Control of EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July 2014

Nonconforming Items

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Flowchart

TP 08-02, Revision 0, section 1.0, Purpose and Scope; section 2.0, Experimental 

Process Description; section 4.0, Data Quality Control; section 5.0, Equipment

SP 17-1, Revision 8, Records Center Operations

SP 13-1, Revision 5, Chain of Custody

7. Do the personnel performing evaluations to determine disposition of 

nonconforming items have:

 Demonstrated competence in the specific area they are evaluating?

 An adequate understanding of the requirements?

 Access to pertinent background information?

Y QAPD, Revision 11, section 1.3.2.5, Disposition of Nonconforming Items or Data, 

paragraph A

NP 20-1, Revision 5, Appendix A, Test Plan Content; Appendix B, Test Plan 

Flowchart

TP 08-02, Revision 0, section 1.0, Purpose and Scope; section 2.0, Experimental 

Process Description; section 4.0, Data Quality Control; section 5.0, Equipment

8. Is the final disposition (e.g., use-as-is, reject, repair, rework) of 

nonconforming items identified and documented?

Y QAPD, Revision 11, section 1.3.2.5, Disposition of Nonconforming Items or Data, 

paragraph B

NP 13-1, Revision 7, section 2.3, Conditions Adverse to Quality or Significant 

Conditions Adverse to Quality Samples and Standards; section 2.4, Use, Handling, 

Storing, and Shipping Samples and Standards; section 2.5, Samples and Standards 

Storage/Archiving; Appendix A, NP 13-1 Sample Control Process Flowchart; 

Appendix B, NP 13-1 Standard Control Process Flowchart

9. Is the technical justification for the acceptability of a nonconforming 

item, dispositioned repair, or use-as-is documented?

Y QAPD, Revision 11, section 1.3.2.5, Disposition of Nonconforming Items or Data, 

paragraph C

NP 13-1, Revision 7, section 2.3, Conditions Adverse to Quality or Significant 

Conditions Adverse to Quality Samples and Standards; section 2.4, Use, Handling, 

Storing, and Shipping Samples and Standards; section 2.5, Samples and Standards 

Storage/Archiving; Appendix A, NP 13-1 Sample Control Process Flowchart; 

Appendix B, NP 13-1 Standard Control Process Flowchart

SP 17-1, Revision 8, Records Center Operations

10. Are nonconformances to design requirements, specifically those 

dispositioned for use-as-is or repair, subjected to design control 

measures commensurate with those applied to the original design?

Y QAPD, Revision 11, section 1.3.2.5, Disposition of Nonconforming Items or Data, 

paragraph D

NP 13-1, Revision 7, section 2.3, Conditions Adverse to Quality or Significant 

Conditions Adverse to Quality Samples and Standards; section 2.4, Use, Handling, 

Storing, and Shipping Samples and Standards; section 2.5, Samples and Standards 

Storage/Archiving; Appendix A, NP 13-1 Sample Control Process Flowchart; 

Appendix B, NP 13-1 Standard Control Process Flowchart
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 15-5

NQA-1 ELEMENT: No. 15 with Supplement 15S-1, Control of EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July 2014

Nonconforming Items

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Documentation Package, CAR IS-13-08-CAR-01, ERMS561398

Corrective Action Verification, CAR IS-13-08-CAR-01, ERMS561401

SP 17-1, Revision 8, Records Center Operations

SP 13-1, Revision 5, Chain of Custody

11. Is an accepted deviation documented on as-built records? Y QAPD, Revision 11, section 1.3.2.5, Disposition of Nonconforming Items or Data, 

paragraph D.1

NP 13-1, Revision 7, section 2.3, Conditions Adverse to Quality or Significant 

Conditions Adverse to Quality Samples and Standards; section 2.4, Use, Handling, 

Storing, and Shipping Samples and Standards; section 2.5, Samples and Standards 

Storage/Archiving; Appendix A, NP 13-1 Sample Control Process Flowchart; 

Appendix B, NP 13-1 Standard Control Process Flowchart

SP 17-1, Revision 8, Records Center Operations

SP 13-1, Revision 5, Chain of Custody

12. Are repaired or reworked items reexamined in accordance with 

applicable procedures and with the original acceptance criteria, 

unless the nonconforming item disposition has established alternate 

acceptance criteria?

Y QAPD, Revision 11, section 1.3.2.5, Disposition of Nonconforming Items or Data, 

paragraph E

NP 13-1, Revision 7, section 2.4, Use, Handling, Storing, and Shipping Samples and 

Standards; section 2.5, Samples and Standards Storage/Archiving; section 2.6, 

Samples and Standards Disposition; Appendix A, NP 13-1 Sample Control Process 

Flowchart; Appendix B, NP 13-1 Standard Control Process Flowchart

SP 17-1, Revision 8, Records Center Operations

SP 13-1, Revision 5, Chain of Custody

*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: SNL-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: May, 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 promptly and corrected 

as soon as practical?

Y QAPD, Revision 11, section 1.3.3.3, Conditions Adverse to Quality, paragraph B; 

section 1.3.3.7, Corrective Action Follow-up; section 1.3.3.9, Quality Trending, 

paragraph B

NP 16-1, Revision 6, section 2.2.2, Corrective Action Plan: Response and Response 

Evaluation to a Corrective Action; section 2.3, Stop Work; Appendix E; Appendix F; 

Appendix G

Documentation Package, CAR W-13-05, ERMS560433– ERMS560435; CAR W-13-

12, in-process provided 5/8/2014; CAR W-14-05, in-process provided 5/8/2014

Documentation Package, CARs April 2013 to April 2014, 4/15/2014

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 QAPD, Revision 11, section 1.3.3.4, Significant Conditions Adverse to Quality; 

section 1.3.3.5, Corrective Action Planning, paragraphs C and D

NP 16-1, Revision 6, section 2.2.2, Corrective Action Plan: Response and Response 

Evaluation to a Corrective Action; section 2.4, Recurring Conditions Adverse to 

Quality; section 2.5, Trend Analysis

Documentation Package, CAR W-13-05, ERMS560433– ERMS560435; CAR W-13-

12, in-process provided 5/8/2014; CAR W-14-05, in-process provided 5/8/2014

Documentation Package, CARs April 2013 to April 2014, 4/15/2014

3. Are the identification, cause and corrective action for significant 

conditions adverse to quality documented and reported to appropriate

levels of management?

Y QAPD, Revision 11, section 1.3.3.4, Significant Conditions Adverse to Quality, 

paragraph B

NP 16-1, Revision 6, section 2.2, Processing Conditions Adverse to Quality and 

Significant Conditions Adverse to Quality; section 2.2.1 Initiation of a Corrective 

Action Request; section 2.2.2, Corrective Action Plan: Response and Response 

Evaluation to a Corrective Action; section 2.2.3, Follow-up Verification and Closure 

of a Corrective Action Request; section 2.3, Stop Work; Appendix E; Appendix F; 

Appendix G

Documentation Package, CAR W-13-05, ERMS560433–ERMS560435; CAR W-13-

12, in-process provided 5/8/2014; CAR W-14-05, in-process provided 5/8/2014

Documentation Package, CARs April 2013 to April 2014, 4/15/2014

4. Is follow-up action taken to verify implementation of corrective 

action?

Y QAPD, Revision 11, section 1.3.3.7, Corrective Action Follow-up

NP 16-1, Revision 6, section 2.2.3, Follow-up Verification and Closure of a 

Corrective Action Request; section 2.2.4 Partial Verification of Corrective Actions; 

Appendix G
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 16-2

NQA-1 ELEMENT: No. 16, Corrective Action EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, 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

Documentation Package, CAR W-13-05, ERMS560433–ERMS560435; CAR W-13-

12, in-process provided 5/8/2014; CAR W-14-05, in-process provided 5/8/2014

Documentation Package, CARs April 2013 to April 2014, 4/15/2014

Supplementary 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.
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 17-1

ASME NQA-1-1989 CHECKLIST

NQA-1 ELEMENT: No. 17 with Supplement 17S-1, Quality EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July 2014

Assurance Records

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, Revision 11, section 1.5, Records, paragraph A

NP 17-1, Revision 9, Records 

SP 17-1, Revision 8, Records Center Operations 

2. Are quality assurance records legible, identifiable and retrievable? Y QAPD, Revision 11, section 1.5.2, Generating QA Records, paragraph B; section 

1.5.3, Indexing QA Records, paragraphs B and C

NP 17-1, Revision 9, section 2.1, Identification and Creation of Records; section 2.4 

Supplementing, Changing, or Correcting Records; section 2.5, Retrieval of Records

SP 17-1, Revision 8, section 2.1, Processing QA Records/Record Packages

3. Are quality assurance records protected against damage, 

deterioration or loss?

Y QAPD, Revision 11, section 1.5.6, Storage, Preservation, Safekeeping, and 

Disposition of QA Records, paragraph A

NP 17-1, Revision 9, section 2.2, Temporary Protection of In-Process Documents; 

section 2.3.1, Non-paper Media Records

SP 17-1, Revision 8, section 2.2, Storing and Protecting QA Records

4. Are the requirements and responsibilities established and 

documented for the transmittal, distribution, retention, maintenance 

and disposition of quality assurance records?

Y QAPD, Revision 11, section 1.5.3: Indexing QA Records; section 1.5.5, Receiving 

QA Records; section 1.5.6, Storage, Preservation, Safekeeping, and Disposition of 

QA Records

NP 17-1, Revision 9, Records

SP 17-1, Revision 8, Records Center Operations

Supplementary Requirements (17S-1)

1. Has a quality assurance records system been established? Y QAPD, Revision 11, section 1.5.1, Document Changes, paragraph A

NP 17-1, Revision 9, Records

SP 17-1, Revision 8, Records Center Operations 

2. Is the quality assurance records system defined, implemented and 

enforced in accordance with written procedures, instructions or other 

documentation?

Y QAPD, Revision 11, section 1.5.1, Document Changes, paragraph A

NP 17-1, Revision 9, Records 

SP 17-1, Revision 8, Records Center Operations 

3. Do the applicable design specifications, procurement documents, test 

procedures, operational procedures or other documents specify the 

quality assurance records to be generated, supplied or maintained by 

Y QAPD, Revision 11, section 1.5.2, Generating QA Records, paragraph A

NP 17-1, Revision 9, section 2.1, Identification and Creation of Records
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 17-2

NQA-1 ELEMENT: No. 17 with Supplement 17S-1, Quality EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July 2014

Assurance Records

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

the facility? All NPs and SPs cited in this report, section 3.0, Records

4. Are quality assurance records required to be legible, accurate and 

complete?

Y QAPD, Revision 11, section 1.5.2, Generating QA Records, paragraph B

NP 17-1, Revision 9, section 2.1, Identification and Creation of Records 

SP 17-1, Revision 8, section 2.1, Processing QA Records/Record Packages

5. Are documents considered to be valid quality assurance records only 

if stamped, initialed or signed and dated by authorized personnel, or 

otherwise authenticated?

Y QAPD, Revision 11, section 1.5.2, Generating QA Records, paragraph D

NP 17-1, Revision 9, section 2.1, Identification and Creation of Records

SP 17-1, Revision 8, section 2.1, Processing QA Records/Record Packages

6. Are the quality assurance records indexed? Does the indexing system 

include record retention times and the location of the record within 

the quality assurance record system?

Y QAPD, Revision 11, section 1.5.3, Indexing QA Records

NP 17-1, Revision 9, section 2.1, Identification and Creation of Records

SP 17-1, Revision 8, section 2.1, Processing QA Records/Record Packages

NP 17-1, Revision 9, Appendix B, Form Number 17-1-2

7. Are quality assurance records distributed, handled and controlled in 

accordance with written procedures?

Y QAPD, Revision 11, section 1.5.2, Generating QA Records, paragraph C; section 

1.5.6, Storage, Preservation, Safekeeping, and Disposition of QA Records, paragraph

A

NP 17-1, Revision 9, Records 

SP 17-1, Revision 8, Records Center Operations 

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, Revision 11, section 1.5.3, Indexing QA Records, paragraph C

NP 17-1, Revision 9, section 2.1 Identification and Creation of Records

SP 17-1, Revision 8, section 2.1, Processing QA Records/Record Packages

NP 17-1, Revision 9, Appendix B, Form Number 17-1-2

9. Are quality assurance records classified as either lifetime or 

nonpermanent?

Y QAPD, Revision 11, section 1.5.4, Classifying QA Records, paragraph A

NP 17-1, Revision 9, section 2.1 Identification and Creation of Records

SP 17-1, Revision 8, section 2.1, Processing QA Records/Record Packages

10. Is the retention time for nonpermanent quality assurance records 

established in writing?

N/A

11. Are quality assurance records corrected in accordance with 

procedures that provide for appropriate review or approval by the 

originating organization? Does the correction include the date and 

the identification of the person authorized to issue such correction?

Y QAPD, Revision 11, section 1.5.7, Correcting Information in QA Records

NP 17-1, Revision 9, section 2.4, Supplementing, Changing, or Correcting Records

SP 17-1, Revision 8, section 2.1, Processing QA Records/Record Packages

Form No. 4-1-1, Revision 11, Procurement Review, Service Contract with 
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 17-3

NQA-1 ELEMENT: No. 17 with Supplement 17S-1, Quality EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July 2014

Assurance Records

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

PerkinElmer for Nexlon 300D ICP-MS including S10Autosampler and Polyscience 

Recirculator, 1/24/2013, ERMS559543

12. Does the individual or organization responsible for receiving quality 

assurance records provide protection from damage or loss during the 

time that the records are in their possession?

Y QAPD, Revision 11, section 1.5.5, Receiving QA Records

NP 17-1, Revision 9, section 2.2, Temporary Protection of In-Process Documents; 

section 2.3.1, Non-paper Media Records

SP 17-1, Revision 8, Records Center Operations

13. Does each organization responsible for the receipt of quality 

assurance records designate a person or organization responsible for 

receiving the records?

Y QAPD, Revision 11, section 1.5.5, Receiving QA Records

NP 17-1, Revision 9, section 1.0, Purpose and Scope

SP 17-1, Revision 8, section 1.0, Purpose and Scope

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 incoming records?

 A method for submittal of completed records to the storage 

facility?

Y QAPD, Revision 11, section 1.5.5, Receiving QA Records

SP 17-1, Revision 8, section 2.1, Processing QA Records/Record Packages; section 

2.2, Storing and Protecting QA Records

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, Revision 11, section 1.5.5, Receiving QA Records

NP 17-1, Revision 9, section 2.1, Identification and Creation of Records

SP 17-1, Revision 8, section 2.1, Processing QA Records/Record Packages; section 

2.2, Storing and Protecting QA Records

16. Prior to storage of quality assurance records, was a written storage 

procedure prepared and responsibility 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 records 

removed from the storage facility?

 A method for filing supplemental information and disposing of 

Y QAPD, Revision 11, section 1.5.6, Storage, Preservation, Safekeeping, and 

Disposition of Records, paragraph A

NP 17-1, Revision 9, section 2.1, Identification and Creation of Records

SP 17-1, Revision 8, section 2.1, Processing QA Records/Record Packages; section 

2.2, Storing and Protecting QA Records
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 17-4

NQA-1 ELEMENT: No. 17 with Supplement 17S-1, Quality EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July 2014

Assurance Records

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

superseded records (see No. 11 above)?

17. Are quality assurance records stored in a manner approved by the 

organizations responsible for storage, including the following:

 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?

Y QAPD, Revision 11, section 1.5.6, Storage, Preservation, Safekeeping, and 

Disposition of Records

SP 17-1, Revision 8, section 2.2, Storing and Protecting QA Records

18. Have measures been established to preclude the entry of 

unauthorized personnel into the storage area?

Y QAPD, Revision 11, section 1.5.6.1, Records Disposition, paragraph J

SP 17-1, Revision 8, section 2.2, Storing and Protecting QA Records

19. Have measures been taken to provide for replacement, restoration or 

substitution of lost or damaged records?

Y QAPD, Revision 11, section 1.5.6.1, Records Disposition, paragraph K

NP 17-1, Revision 9, section 2.1, Identification and Creation of Records

SP 17-1, Revision 8, section 2.1, Processing QA Records/Record Packages

20. Are records stored in a facility that minimizes the risk of damage or 

destruction from the following:

 Natural disasters such as winds, floods or fires?

 Environmental conditions such as high and low temperatures and 

humidity?

 Infestation of insects, mold or rodents?

Y QAPD, Revision 11, section 1.5.6, Storage, Preservation, Safekeeping, and 

Disposition of Records

SP 17-1, Revision 8, section 2.2, Storing and Protecting QA Records

21. Are quality assurance records stored in single or dual storage 

facilities?

Y QAPD, Revision 11, section 1.5, Records

NP 17-1, Revision 9, section 2.1, Identification and Creation of Records

SP 17-1, Revision 8, section 2.1, Processing QA Records/Record Packages; section 

2.2, Storing and Protecting QA Records

Description of Dual Storage Facilities, provided 5/8/2014

22. Does the design and construction of a single record 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 

N/A
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 17-5

NQA-1 ELEMENT: No. 17 with Supplement 17S-1, Quality EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July 2014

Assurance Records

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

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?

 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 protection of contents by a person 

who is competent in the technical field of fire protection and fire 

extinguishing?

N/A

24. Does the design and construction of an alternative single record 

storage 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 attended 

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-hour fire rated dampers or doors in all boundary 

penetrations?

N/A
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 17-6

NQA-1 ELEMENT: No. 17 with Supplement 17S-1, Quality EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July 2014

Assurance Records

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

25. When temporary storage of quality assurance records is required 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 protection, or is it certified by a 

person competent in the technical field of fire protection?

Y QAPD, Revision 11, section 1.5.6.1, Records Disposition, paragraph I

SP 17-1, Revision 8, section 2.2, Storing and Protecting QA Records

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 required to satisfy the 

requirements of a single storage facility, are all other requirements of 

this standard met?

Y QAPD, Revision 11, section 1.5.6.1, Records Disposition, paragraph H

SP 17-1, Revision 8, section 2.2, Storing and Protecting QA Records

Description of Dual Storage Facilities, provided 5/8//2014

27. Does the storage system provide for retrieval of information in 

accordance with planned retrieval times, based on the record type?

Y QAPD, Revision 11, section 1.5.3, Indexing QA Records, paragraph B

SP 17-1, Revision 8, section 2.1, Processing QA Records/Record Packages; section 

2.2, Storing and Protecting QA Records

28. Is a list maintained designating those personnel who shall have 

access to quality assurance files?

Y QAPD, Revision 11, section 1.5.6.1, Records Disposition, paragraph J

SP 17-1, Revision 8, section 2.2, Storing and Protecting QA Records

Memorandum from Paul Shoemaker to WIPP Records Center, re: Approved Access 

List for SNL WIPP Records Center and SNL WIPP Proprietary and Privileged 

Records, 1/28/2013, ERMS559128

29. Are records maintained by a supplier at its facility or other location 

accessible to the purchaser or its designated alternate (e.g., the 

owner)?

Y QAPD, Revision 11, section 2.3.4, Procurement Document Requirements, paragraph

C

NP 4-1, Revision 11, section 2.1.7, Budget/Procurement Specialist Processing; 

section 3.0, Records 

30. Are records accumulated at various locations, prior to transfer, made 

accessible to the owner directly or through the procuring 

organization?

N/A

31. Does the custodian of quality assurance records inventory the 

submittals, acknowledge receipt, and process these records in 

accordance with NQA-1?

Y QAPD, Revision 11, section 1.5.6, Storage, Preservation, Safekeeping, and 

Disposition of Records, paragraph A; section 1.5.5, Receiving QA Records

SP 17-1, Revision 8, section 2.1, Processing QA Records/Record Packages

Form NP 17-1-2, Records Submittal, Receipt Inspection Training for C. Camphouse, 

ERMS558195

Form NP 17-1-2, Records Submittal, Receipt Inspection Training for B. Malama, 
EPA Audit of WIPP QA Program: SNL-CO WIPP QA 17-7

NQA-1 ELEMENT: No. 17 with Supplement 17S-1, Quality EPA AUDITORS: L. Bender, P. Kelly, K. Darlow, K. Lindblad DATE: May, July 2014

Assurance Records

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

ERMS554701

32. Are the records storage and maintenance requirements of regulatory 

agencies followed in determining final disposition of quality 

assurance records?

Y QAPD, Revision 11, section 1.5.6.1, Records Disposition, paragraph L

NP 17-1, Revision 9, section 2.1, Identification and Creation of Records

SP 17-1, Revision 8, section 2.1, Processing QA Records/Record Packages

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

*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.