April 24, 2023 

MEMORANDUM FOR Students Completing Fundamentals of Metrology Laboratory Auditing Program 

(LAP) problems

From: Isabel Chavez Baucom, Micheal Hicks, and Elizabeth Koncki

NIST/Office of Weights and Measures/Laboratory Metrology Program

Subject: Updated Laboratory Auditing Program Problems for Participants of Fundamentals of Metrology 

Seminar 

Problem Assignment and Approved Signatory Status

These Laboratory Auditing Program (LAP) problems have been developed to provide new metrologists in 

the NIST Office of Weights and Measures (OWM) State Laboratory Program a mechanism for recognition 

of Approved Signatory status, once they have completed both the Mass and Volume seminars. These 

problems MAY be completed and submitted prior to attending the Mass and Volume seminars (they are 

not required prior to attendance). 

Successful completion of these LAP problems requires that a Mass and a Volume PTs are successfully 

completed with all analyses that are described on the next page. A detailed summary must be generated 

for EACH Mass and Volume segment that covers all the required analyses (template included here). The 

problem summary should include a statement of the purpose of the problem, an explanation of what 

data was evaluated and from what source it came, what analyses were performed, what action items 

were identified, how action items were integrated into the normal laboratory operations, and any 

conclusions the participant has developed about their laboratory measurement system based on the 

data and analyses. 

Note: As these are AUDITING problems, the observations, findings, recommended improvements, and 

corrective actions need to flow into the laboratory’s internal audit and management reviews. It also 

needs to include the plans/results of corrective action, preventive action, or improvement action that 

resulted from the problems – as used as an AUDIT. If you don’t have the authority to assign and 

complete action items in your laboratory, you will need to coordinate with your laboratory management 

to accomplish these goals. 
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Step 1: Complete the Proficiency Tests (PTs)

Complete a Mass and a Volume PTs (through your regularly scheduled Regional Measurement

Assurance Program PT Plan is preferred; you may contact Micheal Hicks if one is not available within the 

required time period.) Completion of a PT means performing the measurements, submitting a 

calibration certificate, and getting feedback on the results. When coordinated through the RMAPs, you 

may need to work with the coordinator, who will also work with OWM staff, to provide interim results 

to OWM for review and to provide you with interim feedback. 

Step 2: Complete the Internal Audit Assessments

Complete all of the additional assessments and PT follow-up forms as described in the below LAP 

Problem Assessment section. These items can be completed in parallel and do not need to wait until

the PT results are final.

Step 3: Write the LAP Problem Summary 

Write your Summary of the Process and Results, including the status of Action Items (Action Plan form.

https://www.nist.gov/document/8-9-action-plan-form-log) and how they have been handled and 

expected due dates on completion of the action items. 

Step 4: Submission 

Submit the problems to NIST OWM as a single submission (do not send them as pieces) in some form of 

electronic media (not paper). NIST Box

(https://nist.app.box.com/f/db9b1525ebd24a21a4676cf6843cf57a) is the preferred method for 

submitting. Submissions are also acceptable via USB memory sticks that will not be returned. If it is 

needed, contact Isabel Chavez Baucom for uploading/login instructions to NIST Box. Be sure to put your 

name, state, title, and date on zipped submission file or USB media!!! E.g. BaucomIsabel_LAP problemsNIST-YYMMDD. ISO/IEC 17025 and NIST HB 143 require that all Laboratory documentation be complete 

and this will become part of your laboratory documentation: internal audit, action items, and 

management review. INCLUDE OBJECTIVE EVIDENCE FOR EVERYTHING!!!

a) Submit all PT results to Micheal Hicks (micheal.hicks@nist.gov) for initial feedback. These can 

be sent via email. 

b) Submit all files to NIST Box (preferred) or mail to Isabel Chavez Baucom as ONE complete 

package for review: 

NIST Office of Weights and Measures

Attn.: Isabel Chavez Baucom

100 Bureau Drive, MS 2600

Gaithersburg, MD 20899
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Training Requirements 

1. Internal on-the-job training (OJT) on your laboratory Quality Management System (including 

administrative procedures). 

2. Fundamentals of Metrology – do not start the problems until you have successfully 

completed this class. 

3. Mass: Completion of NIST Mass Seminar or equivalent

4. Volume: Completion of NIST Volume Seminar or equivalent

The problems are due within one year of completing the Fundamentals of Metrology seminar. If you are 

not able to complete the Mass and/or Volume training requirements or options within that one-year 

period, you can request an extension of the due date from OWM. 

Potential for Conditional Recognition

If there are no other approved signatory staff available in the laboratory, successful completion of these 

problems may also enable Conditional NIST OWM Recognition of a laboratory prior to participating in 

Mass and Volume Seminars. By completing the LAP problems, the associated SOP 7/8 and SOP 18/19

preliminary training, and successfully completing the prescribed proficiency tests, a laboratory may be 

granted Conditional Recognition to support State weights and measures activities. The Conditional 

Recognition will be valid for one year only, no extension will be granted. The participant will be required 

to complete the Mass and Volume seminars in that year. 

LAP Problem Assessments 

1. Perform a Proficiency Test (PT).

Complete a PT on artifact(s) provided by NIST or another RMAP PT as instructed and submit a 

formal/signed Calibration Certificate for each (mass and volume). Objective Evidence: 

laboratory data and observations, any hand calculations, computer print-out or file(s) used in 

the process, and the certificates. Submit an interim report for evaluation; submit a final or 

amended report with the full set of LAP problems if needed. Be sure to record this as an action 

item and follow your laboratory administrative procedure if/when amending certificates!!!

Include a copy of the PT report that shows your results. If the PT has failures, there will be 

additional action items!

2. Conduct a “certificate review” of the Calibration Certificate(s) in item 1. 

During the certificate review, identify any corrective actions that are needed. Use the job aid

with SOP 1 and the Manuscript evaluation included with SP 811: 

http://www.nist.gov/pml/wmd/labmetrology/sops.cfm and https://www.nist.gov/pml/specialpublication-811/nist-guide-si-check-list-reviewing-manuscripts. Submit amended reports as 

required (follow the lab procedure; best practice: make sure your lab procedure for amending 

certificates complies with 17025 while you’re at it!). Objective evidence will include a certificate 

that is marked up and scanned to PDF. Be sure to identify and document action items!
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3. Conduct a “traceability assessment”. 

Conduct traceability assessments of the measurement processes for the standards used in your 

PTs for item 1. Use the job aid Traceability Assessment Form in GMP 13, Appendix C: 

https://www.nist.gov/pml/weights-and-measures/laboratory-metrology/good-measurementpractices. Be sure to identify and document action items!

The objective evidence will include the completed GMP 13, Appendix C form as well as items 

listed below:

a. Submit copies of all relevant calibration certificates for the standards used within your 

laboratory that were used for the PT and that demonstrate/establish metrological 

traceability. 

b. Submit copies of the relevant traceability hierarchies that support item 1 (see Appendix 

A in GMP 13 for examples). 

4. Conduct a “measurement assurance” assessment. 

Evaluate the control charts, range charts, or standard deviation charts and associated analyses 

used to obtain standard deviations of the measurement process that are included in the 

uncertainty analysis for these PTs. If you don’t have a control chart for the process at this time, 

you will need to perform at least 7 measurements to create control charts (following SOP 9, 

17/20) – and remember you need 25 to 30 for valid uncertainties. There are TWO assessments 

for this. The objective evidence will include the completed form of a and b below. Be sure to 

identify and document action items!

a. Use Appendix A included in SOP 9 to evaluate the charts themselves. 

b. Use the job aid for measurement assurance assessments that is posted with SOP 30 

(Measurement Assurance System Assessment (Latest Date-2010)) to assess the 

measurement assurance system in your laboratory. You will also need to review the 

SOP used for the PTs to make sure that it is followed in your laboratory! 

5. Provide a documented “uncertainty analysis” to support the calibrations in item 1. 

This uncertainty assessment should be your analysis, not a “laboratory documented solution”. 

Use the job aid Uncertainty Evaluation Form (DOC), SOP 29 Worksheet (DOC) or the Uncertainty 

Budget Template (Excel) posted with SOP 29. Once you have completed this assessment, 

evaluate it against the SOP used for the PT to make sure it is complete. Then evaluate your 

assessment against the Uncertainty Budgets submitted for Laboratory Recognition (latest 

update) and identify and recommend resolution for any differences. Be sure to identify and 

document action items! See: http://www.nist.gov/pml/wmd/labmetrology/sops.cfm 
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6. Complete the PT Follow-Up Form.

Finally, conduct the PT follow-up assessment and complete the PT Follow-up Form for each PT. 

Note that even if everything passes and was wonderful, there are follow-up action to complete

in your laboratory! Submit the completed PT Follow-Up Form as objective evidence along with 

any other evidence of corrective actions. Use the PT Follow-Up Form: 

http://www.nist.gov/pml/wmd/labmetrology/lab-resources.cfm 

Be sure to include the Summary Assessments and Action Items per the instructions or the problem 

status will be INCOMPLETE. Each item will include objective evidence. PLEASE consider how you have 

named files and the “Electronic File Organization Tips” that are posted here. Use descriptive but SHORT 

FILE names and include the revision dates in the file names. https://www.nist.gov/pml/weights-andmeasures/laboratory-metrology/state-lab-program-resources Conduct a final quality check on the files

before sending them to NIST OWM! 

Assessments and Reviews

OWM will review the problems that are submitted to identify any missing pieces and provide initial 

feedback as soon as possible. It is standard practice for OWM to identify “something” during the review 

to ask participants to clarify and answer questions. Action Items that are identified in your assessments 

do not necessarily need to be completed prior to submitting the problems, but significant gaps may 

impact laboratory recognition status and significant concerns will need to be immediately resolved. 

Action items are expected to be resolved by the laboratory (it may involve more OJT training about how 

your quality management system operates). 

The problems are intended to be completed INDEPENDENTLY by each person. However, the summary

action items will need to be reviewed with laboratory management and follow the documentation 

process used in your laboratory for action items (corrective, preventive, improvement, etc.), internal 

audits, and management reviews. 

Summary Report and/or Assessment. This should be about 2 to 3 pages for Mass and 2 to 3 pages for 

Volume (Separate files, one for Mass and one for Volume). Include references to attachments/files (and 

their file names) that are submitted as objective evidence. Below is an example of an outline of a 

summary report. 

1. Purpose of the Problem (Mass and Volume)

2. High-level overview and Observations of PTs (Mass and Volume) 

3. Certificate Review and Findings (Mass and Volume) 

4. Traceability Assessment and Findings (Mass and Volume)

5. Measurement Assurance Assessments and Findings (Mass and Volume)

6. Uncertainty Assessment and Findings (Mass and Volume)

7. PT Follow Up (Mass and Volume)

8. Conclusions (Mass and Volume)