Lines of Inquiry

OFFICIAL USE ONLY (When Completed) U. S. Department of Energy

Consolidated Audit Program Treatment, Storage, and Disposal Facilities - Checklist 1 Quality Assurance Management Systems Revision 2.0 November 2015

OFFICIAL USE ONLY May be exempt from public release under the Freedom of Information Act (5 U.S.C 552), exemption number and category: Exemption #4: Commercial Proprietary Department of Energy review required before public release Name/Org: Documents Originator/DOE Consolidated Audit Program Date: TBD Guidance (if applicable) Memo dated March 11, 2016 from George E. Detsis to Beth Pearson, Pro2Serve

Audit ID: Date:

OFFICIAL USE ONLY (When Completed) OFFICIAL USE ONLY (When Completed)

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 2 of 37 Audit ID: ______TSDF: ______Auditor: ______Areas of Review During Audit

____QA Program ____Personal Training and Qualifications ____Design Control ____Procurement ____Instructions, Procedures, & Drawings ____Document Control ____Control of Special Processes ____Identification and Control of Items ____Control of Purchased Items/Services ____Inspection ____Test Control ____Control of Measuring & Test Equipment ____Corrective Action ____Inspection, Test, and Operating Status ____Control of Nonconforming Items ____QA Records ____Assessments ____Laboratory QA

A = Acceptable U = Unsatisfactory NA = Not Acceptable NO = Not Observed F = Finding O = Observation

Access to all referenced regulations are available at the following URL:

• https://apps.oro.doe.gov/sites/DOECAP/SitePages/Home.aspx • http://www.access.gpo.gov/nara/cfr/cfr-table-search.html#page1 Checklist 1 was revised to NQA-1-2015 in November 2015. NOTE: • When audit findings are written against site-specific documents (i.e., procedures, QA plans, licenses, permits, etc.), a copy of the pertinent requirement text from that document must be attached to this checklist for retention in DOECAP files.

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 3 of 37 Audit ID: ______TSDF: ______Auditor: ______

Item Lines of Inquiry Status Response/Comment Number 1.0 Quality Assurance Program 1.1 Program Management 1.1.1 Are responsibilities for the establishment and implementation of the quality assurance program defined? NQA-1 Requirement 1, Section 201(d) 1.1.2 Does the facility have a documented quality assurance program that is planned, Added section identifier. implemented, maintained, and consistent with license conditions? NQA-1 Requirement 2, Section 100(a) 1.1.3 Does the documented quality assurance program describe the organizational Added highlighted phrase and corrected the reference. structure, functional responsibilities, levels of authority, and lines of communication for activities affecting quality? NQA-1 Requirement 1, Section 100 1.1.4 Does the scope of the documented quality assurance program meet the applicable Revised the wording to more clearly communicate the quality assurance criteria as licensed by the Nuclear Regulatory Commission requirement. (NRC) or an Agreement State with the NRC? Site-Specific Radioactive Materials License 1.1.5 Does the organization establish and implement processes to detect and correct Corrected the references. quality problems? DOE Order 414.1D, Attachment 2, and NQA-1 Requirement 1, Section 201

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 4 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.1.6 Do the controlled conditions include the use of appropriate equipment, suitable Added the section identifier. environmental conditions for accomplishing the activity, and assurance that prerequisites for the given activity have been satisfied? NQA-1 Requirement 2, Section 100(a) 1.1.7 Does management regularly assesses the adequacy and effective implementation Added the section identifier for Requirement 2. Added of the quality assurance program? the applicable requirement from the revised Requirement 18, Section 201.2, and added it to the Does the facility assess all applicable QA program elements within a two-year references. period? Note: For well-established activities, the period may be extended one year at a time beyond the two-year interval based on the results of an annual evaluation of the applicable functional area and objective evidence that the functional area activities are being satisfactorily accomplished. However, the internal assessment interval may not exceed a maximum of four years. NQA-1 Requirement 2, Section 100(c), and Requirement 18, Section 201.2 1.2 Personnel Training and Qualification 1.2.1 Does the facility have a formal written training program that defines job Added the section identifiers. qualifications and required training based on job function? NQA-1 Requirement 2, Sections 100(a) and (b) and Section 300, RCRA, OSHA 1.2.2 Do the training requirements include/meet environmental, health and safety, and Added the NOTE. Deleted NQA-1 from the operational requirements? references. Changed “&” to “and.” NOTE: This line of inquiry is also included in the Environmental Compliance & Permitting (EC) checklist and the Industrial & Chemical Safety (ICS) audit checklists. The QA auditor should only address this item if there are no EC and ICS auditors on the audit team. OFFICIAL USE ONLY (When Completed) OFFICIAL USE ONLY (When Completed)

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 5 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number RCRA, OSHA 1.2.3 Is indoctrination and training commensurate with scope, complexity, importance Added the section identifier. of the activities, and the education, experience, and proficiency of the person? NQA-1 Requirement 2, Section 200 1.2.4 Is the person responsible for shipping of hazardous materials, radioactive materials Added the NOTE. and/or hazardous waste properly trained and qualified? Is the vendor providing the training approved and qualified to give the training? NOTE: This item is also included in the Transportation Management (TR) audit checklist. The QA auditor should only address this item if there is no TR auditor on the audit team. 49 CFR 172, Subpart H 1.2.5 Does the organization maintain a program that assures personnel performing or Added the section identifiers. managing activities affecting quality receive indoctrination in their job responsibilities and authority; general criteria, including applicable codes and standards, regulatory commitments, company procedures, and quality assurance program requirements? NQA-1 Requirement 2, Sections 100(b) and 201 1.2.6 Does the responsible organization designate those activities that require Added the section identifier. qualification of personnel and the minimum requirements for such personnel? NQA-1 Requirement 2, Section 300

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 6 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.2.7 Is the qualification of inspection, test, and auditor personnel certified in writing New line of inquiry added due to revision of the and include the information listed below? standard.  The employer’s name;  Identification of the person being certified;  Requirements for an individual to achieve the certification;  Activities the person is certified to perform;  Signature of the employer’s designated representative? NQA-1, Requirement 2, Section 400 1.2.8 Are training records complete and maintained in a formal record keeping system? Added the NQA-1 Requirement number and section identifier. Added a second part to the line of inquiry Do the indoctrination/training records include one or more of the following for due to revision of the standard and to identify the (a) inspection and test personnel qualification and requalification and (b) auditor NQA-1-required training records. qualification and requalification:  Attendance sheets  Training logs  Personnel training records RCRA, OSHA, DOT and NQA-1, Requirement 2, Section 500 1.2.9 Are training records for all personnel reviewed current and compliant with Added the NQA-1 Requirement number and section regulatory requirements? identifier. RCRA, OSHA, DOT, and NQA-1, Requirement 2, Section 500

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 7 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.3 Design Control 1.3.1 Were the facility designs completed and approved as required by the applicable permits? Were the treatment process designs completed and approved as required by applicable permits? Were the storage and/or disposal designs completed and approved as required by applicable permits? 1.4 Procurement 1.4.1 Are applicable design bases and other requirements necessary to assure adequate Added the section identifier. quality included or referenced in documents for procurement of items and services? NQA-1 Requirement 4, Section 100 1.4.2 To the extent necessary, are procurement documents requiring suppliers to have a Added the section identifiers. quality assurance program consistent with the applicable requirements? Are the applicable requirements flowed down to contractors and subcontractors? NQA-1 Requirement 4. Sections 100 and 203 1.4.3 Are technical requirements specified in the procurement documents? Added the section identifier. NQA-1 Requirement 4, Section 202 1.4.4 Are the technical requirements specified, as appropriate, by reference to specific Added the section identifier. drawings, specifications, codes, standards, regulations, procedures, or instructions, including revisions thereto that describe the items or services to be furnished? NQA-1 Requirement 4, Section 202

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 8 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.4.5 Do the procurement documents identify appropriate test, inspection, and Added the section identifier. acceptance criteria for determining acceptability of the item or service? NQA-1 Requirement 4, Section 202 1.4.6 Are procurement document reviews performed by personnel who have access to Added the section identifier. pertinent information and who have an adequate understanding of the requirements and intent of the procurement documents? NQA-1 Requirement 4, Section 300 1.5 Instructions, Procedures, and Drawings 1.5.1 Are activities affecting quality and services prescribed by and performed in Revised the wording to match the standard. Added the accordance with documented instructions, procedures, or drawings that include or section identifier. reference appropriate quantitative or qualitative acceptance criteria for determining that prescribed activities have been satisfactorily accomplished? NQA-1 Requirement 5, Section 100 1.5.2 Are the activities described to a level of detail commensurate with the complexity Added the section identifier. of the activity and the need to assure consistent and acceptable results? Note: The need for, and level of detail in, written procedures or instructions are determined based upon complexity of the task, the significance of the item or activity, work environment, and worker proficiency and capability (education, training, experience). NQA-1 Requirement 5, Section 100

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 9 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.6 Document Control 1.6.1 Are the preparation, issue, and change of documents that specify quality Added the section identifier. Added a comma and requirements or prescribe activities affecting quality such as instructions, removed a comma so that the text matched the procedures, and drawings, controlled to assure the correct documents are being standard. employed? NQA-1 Requirement 6, Section 100 1.6.2 Are documents specifying quality requirements and changes reviewed for Added the section identifier. adequacy and approved for release by authorized personnel? NQA-1 Requirement 6, Section 100 1.6.3 Are the following controls applied to documents and changes thereto: Added the section identifiers. Combined former  The identification of controlled documents; bullets 4 and 5 so that the text matched the standard. Moved “and” to the end of the new bullet 4 and  The specified distribution of controlled documents for use at the appropriate removed it from the start of bullet 5. location;  The identification of individuals responsible for the preparation, review, approval, and distribution of controlled documents;  • The review of controlled documents for adequacy, completeness, approval prior to distribution; and  • A method to ensure the correct documents are being used? Are major or minor changes defined and addressed? NQA-1 Requirement 6, Sections 200 and 301

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 10 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.7 Control of Purchased Items and Services 1.7.1 Do controls of purchased items and services provide for the following, as Added the section identifiers. Added the following appropriate: phrase from Section 501 to bullet 5: “to verify that the  Source evaluation and selection; item or service being furnished complies with the procurement requirements.”  Evaluation of objective evidence of quality furnished by the supplier;  Source inspection;  Audit;  Examination of items or services upon delivery or completion to verify that the item or service being furnished complies with the procurement requirements;  Bid evaluation;  Control of supplier-generated documents? NQA-1 Requirement 7, Sections 100. 300, and 501 1.7.2 Are records established and maintained to indicate the performance of the Added a new line of inquiry. following functions:  Supplier evaluation and selection;  Acceptance of items or services; and  Supplier nonconformances to procurement document requirements, including their evaluation and disposition NQA-1 Requirement 7, Section 800

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 11 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.8 Identification and Control of Items 1.8.1 Are controls established to assure that only correct and acceptable items are used Added the section identifier. Split the line of inquiry or installed? into two questions. Is the identification maintained on the item or in documents traceable to the item, or in a manner which assures that identification is established and maintained? NQA-1 Requirement 8, Section 100 1.8.2 Are items having limited calendar or operating life or cycles identified and Added the section identifier. controlled to preclude use of items whose shelf life or operating life has expired? NQA-1 Requirement 8, Section 302 1.9 Control of Special Processes 1.9.1 Are special processes controlled by instructions, procedures, drawings, checklists, Added the section identifier. travelers, or other appropriate means and include or reference procedure, personnel, and equipment qualification requirements? NQA-1 Requirement 9, Section 201 1.9.2 Do the conditions necessary for accomplishment of the special process include Added the section identifier. Added a comma to match proper equipment, controlled parameters of the process, specified environment, the text in the standard. and calibration requirements? NQA-1 Requirement 9, Section 201 1.9.3 Are records maintained as appropriate for the currently qualified personnel, Added the section identifier. Added a comma to match processes, and equipment of each special process? the text in the standard. NQA-1 Requirement 9, Section 400

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 12 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.10 Inspection 1.10.1 Are required inspections verifying conformance of an item or activity to specified Added the section identifier. requirements or continued acceptability of items in service planned and executed? NOTE: RCRA inspections are covered in the Waste Operations checklist. NQA-1 Requirement 10, Section 100 1.10.2 Are periodic inspections (e.g., in-service inspections) or surveillances of Added a new line of inquiry. structures, systems, or components planned and executed to ensure the continued performance of their required functions? NQA-1 Requirement 10, Section 700 1.10.3 Are inspection results documented, and do the inspection records identify the Added a new line of inquiry. following:  Item inspected;  Date of inspection;  Inspector;  Type of observation;  Results or acceptability; and  Reference to information on action taken in connection with nonconformances? NQA-1 Requirement 10, Section 800 1.11 Test Control 1.11.1 Are characteristics to be tested and test methods to be employed specified? Added the section identifier. NQA-1 Requirement 11, Section 100 OFFICIAL USE ONLY (When Completed) OFFICIAL USE ONLY (When Completed)

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 13 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.11.2 Are test results documented and their conformance with test requirements and Added the section identifier. acceptance criteria evaluated? NQA-1 Requirement 11, Section 100 1.11.3 Are test records established and maintained to indicate the ability of the item to Added the section identifiers. Added a phrase to satisfactorily perform its intended function or to meet its documented invoke the software quality assurance requirements in requirements, including computer program test procedures and records in Subpart 2.7 because they are invoked by accordance with Subpart 2.7, “Quality Assurance Requirements for Computer Requirement 11, Sections 400 and 602. Software for Nuclear Facility Applications”? NQA-1 Requirement 11, Sections 400 and 600 1.12 Control of Measurement and Test Equipment (M&TE) 1.12.1 Are tools, gages, instruments, and other measurement and test equipment used for Added the section identifier. activities affecting quality controlled, calibrated at specified periods, adjusted, and maintained to required accuracy limits? NQA-1 Requirement 12, Section 100 1.12.2 Is the selection of M&TE based on the type, range, accuracy, and tolerance needed Added the section identifier. Added a comma to match to accomplish the required measurements for determining conformance to the text in the standard. specified requirements? NQA-1 Requirement 12, Section 200 1.12.3 Is M&TE calibrated at prescribed times or intervals and whenever the accuracy of Added the section identifier. Changed “time periods or the equipment is suspect? usage” to “times or intervals” to match the standard. NQA-1 Requirement 12, Section 301

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 14 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.12.4 Is the calibration made against and traceable to certified equipment or reference Added the section identifier. Added the highlighted standards having known valid relationships to nationally recognized standards, or words/phrases to the line of inquiry to make it match to international standards known to be equivalent to and verified against the standard. corresponding nationally recognized standards? NQA-1 Requirement 12, Section 301 1.12.5 If no nationally recognized standards exist, is the basis for calibration defined and Added the section identifier. Added the word documented? “defined” to match the standard. NQA-1 Requirement 12, Section 301 1.12.6 Is M&TE suitably marked, tagged, labeled, or otherwise identified to indicate Added the section identifier. Added the highlighted calibration status and establish traceability to calibration records? words to make the line of inquiry match the standard. NQA-1 Requirement 12, Section 303.6 1.12.7 Have records been established and maintained to indicate calibration status and the Added the section identifier. Changed “measuring and capability of M&TE to satisfactorily perform its intended function? test equipment” to “M&TE.” Changed “their” to “its” to match the standard. NQA-1 Requirement 12, Section 401 1.13 Inspection, Test, and Operating Status 1.13.1 Is the status of inspection and test activities identified either on the item or in Added the section identifier. Changed “assure” to documents traceable to the items where it is necessary to assure that required “ensure” and added a comma to match the standard. inspections and tests are performed and to ensure that items which have not passed the required inspections and tests are not inadvertently installed, used, or operated? NQA-1 Requirement 14, Section 100

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 15 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.13.2 Is status maintained through indicators, such as physical location and tags, Added the section identifier. Added the words “shop markings, shop travelers, stamps, inspection records, operating documents, quality travelers, stamps, inspection records” to match the records, or other suitable means? standard. Added the second sentence to this line of inquiry to match the standard. Do the status indicators also provide for indicating the operating status of systems and components of the nuclear facility, such as by tagging valves and switches, to prevent inadvertent operation? NQA-1 Requirement 14, Section 100 1.14 Control of Nonconforming Items 1.14.1 Are items that do not conform to specified requirements controlled to prevent Added the section identifier. inadvertent installation or use? NQA-1 Requirement 15, Section 100 1.14.2 Do controls provide for identification, documentation, evaluation, segregation Added the section identifier. when practical, and disposition of nonconforming items, and for notification to affected organizations? NQA-1 Requirement 15, Section 100 1.14.3 Are nonconforming items identified by legible marking, tagging, or other methods Added the section identifier. not detrimental to the item? NQA-1 Requirement 15, Section 200 1.14.4 Is the identification of nonconforming items made either on the item, the container, Added the section identifier. Added a comma to match or the package containing the item? the standard. NQA-1 Requirement 15, Section 200 1.14.5 Are nonconforming items evaluated and are recommended dispositions proposed? Added the section identifier. NQA-1 Requirement 15, Section 401 OFFICIAL USE ONLY (When Completed) OFFICIAL USE ONLY (When Completed)

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 16 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.14.6 Is further processing, delivery, installation, or use of a nonconforming item Added the section identifier. controlled pending the evaluation and an approved disposition by authorized personnel? NQA-1 Requirement 15, Section 401 1.14.7 Is the responsibility and authority for the evaluation and disposition of Added the section identifier. Split the line of inquiry nonconforming items defined? into two sentences. Added “installation” to the second sentence to match the standard. Is responsibility for the control of further processing, delivery, installation, or use of nonconforming items designated in writing? NQA-1 Requirement 15, Section 402 1.15 Corrective Action 1.15.1 Are conditions adverse to quality defined, identified promptly and corrected as Added the section identifier. Changed “practical” to soon as practicable? “practicable” to match the standard. NQA-1 Requirement 16, Section 100 1.15.2 In the case of a significant condition adverse to quality, is the cause of the adverse Added the section identifier. Added the introductory condition determined and corrective action taken to preclude recurrence? phrase to match the standard Moved the second sentence to Item 1.15.5.. NQA-1 Requirement 16, Section 100 1.15.3 Are the identification, cause, and corrective actions for significant conditions Added the section identifier. adverse to quality documented and reported to appropriate levels of management? NQA-1 Requirement 16, Section 100 1.15.4 Is the completion of corrective actions verified? Added the section identifier. NQA-1 Requirement 16, Section 100

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 17 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.15.5 After completion of a corrective action or a set of corrective actions, is an Moved the second sentence from Item 1.15.2 to effectiveness review conducted using trained and qualified personnel that can become the new line of inquiry Item 15.5.5 because it verify the corrective action/corrective action plan has been effectively is from a DOE Order rather than NQA-1. Revised the implemented to prevent recurrences? text to match the DOE Order. Added the reference. DOE Order 226.1B, Attachment 1, Paragraph 2b(3)(b)(3) 1.16 Quality Assurance Records 1.16.1 Are quality assurance records identified, generated, authenticated, maintained, and Added the section identifier. their final disposition specified? Note: Quality assurance records furnish documentary evidence that items or activities meet specified quality requirements. NQA-1 Requirement 17, Section 100 1.16.2 Are requirements and responsibilities for records management activities Added the section identifier. documented? NQA-1 Requirement 17, Section 100 1.16.3 Are record retention periods documented? Added the section identifier. NQA-1 Requirement 17, Section 700 1.16.4 Are records protected from damage or loss and readily retrievable? Added the section identifiers. NQA-1 Requirement 17, Sections 601 and 800 1.16.5 Are databases routinely backed up and data files protected from loss? Added the NQA-1 Requirement number and the section identifier. Site QA Plan, NQA-1, Requirement 17, Section 601 1.16.6 Are manual data entry steps checked for transcription and calculation errors? Added the NQA-1 Requirement number and the section identifier. Site QA Plan, NQA-1, Requirement 17, Section 300 OFFICIAL USE ONLY (When Completed) OFFICIAL USE ONLY (When Completed)

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 18 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.17 Assessments and Audits 1.17.1 Are assessments performed to verify compliance to the QA program requirements, Added the section identifier. Added the highlighted to verify that performance criteria are met, and to determine the effectiveness of text to match the standard. the program? NQA-1 Requirement 18, Section 100 1.17.2 Are assessments performed in accordance with written procedures or checklists by Added the section identifier. personnel who do not have direct responsibility for performing the activities being audited? NQA-1 Requirement 18, Section 100 1.17.3 Are assessment results documented and reported to and reviewed by responsible Added the section identifiers. Added the third sentence management? from Requirement 17, Section 800. Is follow-up action taken where indicated? Do assessment records include the following:  Assessment plan,  Assessment report,  Written replies, and  Record of completion of corrective action? NQA-1 Requirement 18, Sections 100 and 800 1.17.4 Do independent assessment personnel have sufficient authority and organizational Added the section identifier. freedom to make the audit process meaningful and effective? NQA-1 Requirement 18, Section 302

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 19 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.17.5 Is follow-up action taken to verify that corrective action has been accomplished as Added the section identifier. scheduled? NQA-1 Requirement 18, Section 700 1.17.6 Audits of suppliers shall be performed on a triennial basis and supplemented by Add a new line of inquiry for supplier/vendor audits. annual evaluations of the supplier’s performance to determine if the regular schedule audit frequency shall be maintained or decreased or if other corrective action is required. NQA-1 Requirement 18, Sections 200 and 202 1.18 Laboratory QA (when no Data Quality auditor is on the team) NOTE: On-site laboratory quality requirements are usually identified in the DOE contract, RCRA permit, other site permits, state-specific requirements, Land Disposal Restriction, EPA methods used by the laboratory, and consensus standards invoked by the site’s QAP/laboratory QAP, which may include ASTM (e.g., ASTM E898, ASTM E617, ASTM D 1193-1999), NIST (e.g., NIST Handbook 44), ISO/IEC, TNI, etc. Therefore, the lines of inquiry (LOIs) provided below are general and are not linked to a specific requirements documents (although many of the LOIs were developed using the guidance contained in EPA SW-846, Chapter One, dated July 2014). 1.18.1 For samples collected and sent to the analytical laboratory, are records Changed the requirement reference to a guidance independently reviewed to provide early detection and corrective action of reference. sampling problems and concerns? [Guidance: EPA SW-846, Chapter One, 2014] 1.18.2 Are laboratory data review and verification processes described in written Changed the requirement reference to a guidance procedures? reference. [Guidance: EPA SW-846, Chapter One, 2014] 1.18.3 Are controlled data review checklists used for verification of analytical data? Changed the requirement reference to a guidance reference. [Guidance: EPA SW-846, Chapter One, 2014] OFFICIAL USE ONLY (When Completed) OFFICIAL USE ONLY (When Completed)

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 20 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.18.4 Are data review and verification results well documented and maintained? Changed the requirement reference to a guidance reference. [Guidance: EPA SW-846, Chapter One, 2014] 1.18.5 Are in-house laboratory procedures available for each laboratory method? Changed “SOPs” to “procedures.” Changed the requirement reference to a guidance reference. [Guidance: EPA SW-846, Chapter One, 2014] 1.18.6 Is documentation maintained that demonstrates that instrument calibration Changed the requirement reference to a guidance standards are traceable to a certified source? reference. [Guidance: EPA SW-846, Chapter One, 2014] 1.18.7 Is in-house laboratory data reviewed and documented by an independent chemist Changed the requirement reference to a guidance to ensure that data are of suitable quality for use? reference. [Guidance: EPA SW-846, Chapter One, 2014] 1.18.8 Is documentation available to ensure that off-site independent laboratory data are . Changed the requirement reference to a guidance verified and that the data are of acceptable quality before being released to the reference. customer? [Guidance: EPA SW-846, Chapter One, 2014] 1.18.9 Is documentation available to show that deionized water sources are routinely Changed the requirement reference to a guidance checked to ensure they meet ASTM requirements for Type II waters? reference. [Guidance: EPA SW-846, Chapter One, 2014] 1.18.10 Is documentation available to show that analytical balances are checked daily or Added the year to ASTM E898. Changed the before use (whichever is greater) and that these checks are compared to established requirement reference to a guidance reference. acceptance criteria? [Guidance: ASTM E898-2013]

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 21 of 37 Audit ID: ______TSDF: ______Auditor: ______Item Lines of Inquiry Status Response/Comment Number 1.18.11 Is documentation available to show that Type 1 or equivalent check weights are Removed the hyphen from “reverified.” Added the reverified at least every five years? year to ASTM E617. Changed the requirement reference to a guidance reference. [Guidance: ASTM E617-2013] 1.18.12 Is there documentation to show that laboratory balances are recertified at least Added the year to ASTM E898. Changed the annually by an outside vendor or from an independent third party? requirement reference to a guidance reference. [Guidance: ASTM E898-2013] 1.18.13 Do analytical logbooks follow good log-keeping practice? Deleted the reference to EPA SW-846, Chapter One, because the 2014 edition does not discuss logbooks. [Guidance: DoD/DOE Consolidated Quality Systems Manual (QSM) for Changed the requirement reference to guidance Environmental Laboratories, Section 4.13, “Control of Records”; EPA Quality references. Assurance/Quality Control Guidance for Laboratories Performing PCR Analyses on Environmental Samples, 2004, Section 6, “Data Recording, Record Keeping, and Data Evaluation”]

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 22 of 37 Audit ID: ______TSDF: ______Auditor: ______

Record of Revision for Checklist 1 Quality Assurance Management Systems

Revision Effective Reason for Line of Number Date Revision Inquiry 1.3.1 June 9, 2015 Changes to various references Various 2.0 Section 1.1, Program Management Section 1.1  Item 1.1.2: Added the section identifier for Requirement 2 (Section 100(a)).  Item 1.1.3: Added the phrase “and lines of communication for activities affecting quality.” Corrected the reference from Requirement 2 to Requirement 1, Section 100.  Item 1.1.4: Revised “a State under Agreement with the NRC” to “an Agreement State with the NRC.”  Item 1.1.5: Corrected  Item 1.1.6: Added the section identifier for Requirement 2 (Section 100(a)).  Item 1.1.7: Added the section identifier for Requirement 2 (Section 100(c)). Added the applicable requirement shown below from the revised Requirement 18, Section 201.2, and added it to the references. Does the facility assess all applicable QA program functional areas and elements within a two-year period?

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 23 of 37 Audit ID: ______TSDF: ______Auditor: ______Revision Effective Reason for Line of Number Date Revision Inquiry Note: For well-established activities, the period may be extended one year at a time beyond the two-year interval based on the results of an annual evaluation of the applicable functional area and objective evidence that the functional area activities are being satisfactorily accomplished. However, the internal assessment interval may not exceed a maximum of four years. NQA-1 Requirement 18, Section 201.2 2.0 Section 1.2, Personnel Qualification and Training Section 1,2  Item 1.2.1: Added the section identifiers for Requirement 2 (Sections 100(a) and (b) and Section 300).  Item 1.2.2: Added the NOTE shown below. Deleted NQA-1 from the references. Changed “&” to “and.” NOTE: This item is also included in the Environmental Compliance & Permitting (EC) checklist and the Industrial & Chemical Safety (ICS) audit checklists. The QA auditor should only address this item if there are no EC and ICS auditors on the audit team.  Item 1.2.3: Added the section identifier for Requirement 2 (Section 200).  Item 1.2.4: Added the NOTE shown below. NOTE: This item is also included in the Transportation Management (TR) audit checklist. The QA auditor should only OFFICIAL USE ONLY (When Completed) OFFICIAL USE ONLY (When Completed)

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 24 of 37 Audit ID: ______TSDF: ______Auditor: ______Revision Effective Reason for Line of Number Date Revision Inquiry address this item if there is no TR auditor on the audit team.  Item 1.2.5: Added the section identifiers for Requirement 2 (Sections 100(b) and Section 201).  Item 1.2.6: Added the section identifier for Requirement 2 (Section 300).  Item 1.2.7: New line of inquiry added as shown below due to revision of the standard. Renumbered the remaining items/lines of inquiry in this section. Is the qualification of inspection, test, and auditor personnel certified in writing and include the information listed below?  The employer’s name;  Identification of the person being certified;  Requirements for an individual to achieve the certification;  Activities the person is certified to perform;  Signature of the employer’s designated representative? NQA-1, Requirement 2, Section 400  Item 1.2.8: Added the NQA-1 Requirement number and section identifier (Requirement 2, Section 500). Added a second sentence to this line of inquiry due to revision of the standard and to identify the NQA-1-required training records. Do the indoctrination/training records include one or more of OFFICIAL USE ONLY (When Completed) OFFICIAL USE ONLY (When Completed)

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 25 of 37 Audit ID: ______TSDF: ______Auditor: ______Revision Effective Reason for Line of Number Date Revision Inquiry the following for (a) inspection and test personnel qualification and requalification and (b) auditor qualification and requalification:  Attendance sheets  Training logs  Personnel training records NQA-1, Requirement 2, Section 500 2.0 Section 1.4, Procurement Section 1.4  Item 1.4.1: Added the section identifier for Requirement 4 (Section 100).  Item 1.4.2: Added the section identifiers for Requirement 4 (Section 100 and 203).  Item 1.4.3: Added the section identifier for Requirement 4 (Section 202).  Item 1.4.4: Added the section identifier for Requirement 4 (Section 202).  Item 1.4.5: Added the section identifier for Requirement 4 (Section 202).  Item 1.4.6: Added the section identifier for Requirement 4 (Section 300). 2.0 Section 1.5, Instructions, Procedures, and Drawings Section 1.5  Item 1.5.1: Revised the wording to match the standard (changed “results” to “activities” and changed “attained” to OFFICIAL USE ONLY (When Completed) OFFICIAL USE ONLY (When Completed)

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 26 of 37 Audit ID: ______TSDF: ______Auditor: ______Revision Effective Reason for Line of Number Date Revision Inquiry “accomplished.” Added the section identifier for Requirement 5 (Section 100). 2.0 Section 1.6, Document Control Section 1.6  Item 1.6.1: Added the section identifier for Requirement 6 (Section 100). Added a comma and removed a comma so that the text matched the standard.  Item 1.6.2: Added the section identifier for Requirement 6 (Section 100).  Item 1.6.3: Added the section identifier for Requirement 6 (Section 200 and 301). Combined former bullets 4 and 5 so that the text matched the standard. Moved “and” to the end of the new bullet 4 and removed it from the start of bullet 5. 2.0 Section 1.7, Control of Purchased Items and Services Section 1.7  Item 1.7.1: Added the section identifiers for Requirement 7 (Sections 100, 300, and 501). Added the following phrase from Section 501 to Bullet 5: “to verify that the item or service being furnished complies with the procurement requirements.”  Item 1.7.2: New line of inquiry from Requirement 7, Section 800, “Records.” 2.0 Section1.8, Identification and Control of Items Section 1.8  Item 1.8.1: Added the section identifier for Requirement 8 (Section 100). Split the line of inquiry into two questions.  Item 1.8.2: Added the section identifier for Requirement 8 (Section 302).

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 27 of 37 Audit ID: ______TSDF: ______Auditor: ______Revision Effective Reason for Line of Number Date Revision Inquiry 2.0 Section 1.9, Control of Special Processes Section 1.9  Item 1.9.1: Added the section identifier for Requirement 9 (Section 201).  Item 1.9.2: Added the section identifier for Requirement 9 (Section 201). Added a comma to match the text in the standard.  Item 1.9.3: Added the section identifier for Requirement 9 (Section 400). Added a comma to match the text in the standard. 2.0 Section 1.10, Inspection Section 1.10  Item 1.10.1: Added the section identifier for Requirement 10 (Section 100).  Item 1.10.2: Added a new line of inquiry for Requirement 10, Section 700, “Inspections During Operations.” Are periodic inspections (e.g., in-service inspections) or surveillances of structures, systems, or components planned and executed to ensure the continued performance of their required functions? NQA-1 Requirement 10, Section 700  Item 1.10.2: Added the new line of inquiry shown below for Requirement 10, Section 800, “Records.” Are inspection results documented, and do the inspection records identify the following:  Item inspected; OFFICIAL USE ONLY (When Completed) OFFICIAL USE ONLY (When Completed)

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 28 of 37 Audit ID: ______TSDF: ______Auditor: ______Revision Effective Reason for Line of Number Date Revision Inquiry  Date of inspection;  Inspector;  Type of observation;  Results or acceptability; and  Reference to information on action taken in connection with nonconformances? NQA-1 Requirement 10, Section 800 2.0 Section 1.11, Test Control Section 1.11  Section 1.11.1: Added the section identifier for Requirement 11 (Section 100)  Section 1.11.2: Added the section identifier for Requirement 11 (Section 100)  Section 1.11.3: Added the section identifiers for Requirement 11 (Sections 400 and 600). Added the following phrase to invoke the software quality assurance requirements in Subpart 2.7 because they are invoked by Requirement 11, Section 400 and 602 “and records in accordance with Subpart 2.7, “Quality Assurance Requirements for Computer Software for Nuclear Facility Applications.” 2.0 Section 1.12, Control of Measuring and Test Equipment Section 1.12 (M&TE)  Item 1.12.1: Added the section identifier for Requirement 12 (Section 100). OFFICIAL USE ONLY (When Completed) OFFICIAL USE ONLY (When Completed)

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 29 of 37 Audit ID: ______TSDF: ______Auditor: ______Revision Effective Reason for Line of Number Date Revision Inquiry  Item 1.12.2: Added the section identifier for Requirement 12 (Section 200). Added a comma to match the text in the standard.  Item 1.12.3: Added the section identifier for Requirement 12 (Section 301). Changed “time periods or usage” to “times or intervals” to match the standard.  Item 1.12.4: Added the section identifier for Requirement 12 (Section 301). Added the text shown in bold below to make the line of inquiry match the standard. Is the calibration made against and traceable to certified equipment or reference standards having known valid relationships to nationally recognized standards, or to international standards known to be equivalent to and verified against corresponding nationally recognized standards?  Item 1.12.5: Added the section identifier for Requirement 12 (Section 301). Added the word “defined” to match the standard.  Item 1.12.6: Added the section identifier for Requirement 12 (Section 303.6). Added the text shown in bold below to make the line of inquiry match the standard. Is M&TE suitably marked, tagged, labeled, or otherwise identified to indicate calibration status and establish traceability to calibration records?  Item 1.12.7: Added the section identifier for Requirement 12 OFFICIAL USE ONLY (When Completed) OFFICIAL USE ONLY (When Completed)

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 30 of 37 Audit ID: ______TSDF: ______Auditor: ______Revision Effective Reason for Line of Number Date Revision Inquiry (Section 401). Changed “measuring and test equipment” to “M&TE.” Changed “their” to “its” to match the standard. 2.0 Section 1.13, Inspection, Test, and Operating Status Section 1.13  Item 1.13.1: Added the section identifier for Requirement 14 (Section 100). Changed “assure” to “ensure” and added a comma to match the standard.  Item 1.13.2: Added the section identifier for Requirement 14 (Section 100). Added the words “shop travelers, stamps, inspection records” to match the standard. Added the following sentence to this line of inquiry to match the standard: Do the status indicators also provide for indicating the operating status of systems and components of the nuclear facility, such as by tagging valves and switches, to prevent inadvertent operation? 2.0 Section 1.14, Control of Nonconforming Items Section 1.14  Item 1.14.1: Added the section identifier for Requirement 15 (Section 100).  Item 1.14.2: Added the section identifier for Requirement 15 (Section 100).  Item 1.14.3: Added the section identifier for Requirement 15 (Section 200).  Item 1.14.4: Added the section identifier for Requirement 15 (Section 200). Added a comma to match the text in the standard.  Item 1.14.5: Added the section identifier for Requirement 15 OFFICIAL USE ONLY (When Completed) OFFICIAL USE ONLY (When Completed)

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 31 of 37 Audit ID: ______TSDF: ______Auditor: ______Revision Effective Reason for Line of Number Date Revision Inquiry (Section 401).  Item 1.14.6: Added the section identifier for Requirement 15 (Section 401).  Item 1.14.7: Added the section identifier for Requirement 15 (Section 402). Split the line of inquiry into two sentences. Added “installation” to the second sentence to match the standard. 2.0 Section 1.15, Corrective Action Section 1.15  Item 1.15.1: Added the section identifier for Requirement 16 (Section 100). Changed “practical” to “practicable” to match the standard. Merriam-Webster defines “practicable” as “capable of being put into practice or of being done or accomplished.”  Item 1.15.2: Added the section identifier for Requirement 16 (Section 100). Added the following introductory phrase to match the standard: “In the case of a significant condition adverse to quality.” Moved the second sentence to Item 1.15.5.  Item 1.15.3: Added the section identifier for Requirement 16 (Section 100).  Item 1.15.4: Added the section identifier for Requirement 16 (Section 100).  Item 1.15.5: Moved the second sentence from Item 1.15.2 to become a new line of inquiry Item 15.5.5 because it is from a DOE Order rather than NQA-1. Revised the text to match the DOE Order. Added the reference. The new line of inquiry reads as follows:

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 32 of 37 Audit ID: ______TSDF: ______Auditor: ______Revision Effective Reason for Line of Number Date Revision Inquiry After completion of a corrective action or a set of corrective actions, is an effectiveness review conducted using trained and qualified personnel that can verify the corrective action/corrective action plan has been effectively implemented to prevent recurrences? DOE Order 226.1B, Attachment 1, Paragraph 2b(3)(b)(3) 2.0 1.16, Quality Assurance Records Section 1.16  Item 1.16.1: Added the section identifier for Requirement 17 (Section 100).  Item 1.16.2: Added the section identifier for Requirement 17 (Section 100).  Item 1.16.3: Added the section identifier for Requirement 17 (Section 700).  Item 1.16.4: Added the section identifier for Requirement 17 (Sections 601 and 800).  Item 1.16.5: Added the NQA-1 Requirement number and the section identifier (Requirement 17, Section 601).  Item 1.16.6: Added the NQA-1 Requirement number and the section identifier (Requirement 17, Section 300). 2.0 1.17, Assessments and Audits Section 1.17  Item 1.17.1: Added the section identifier from Requirement 18 (Section 100). Added the bold text shown below to match the standard.

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 33 of 37 Audit ID: ______TSDF: ______Auditor: ______Revision Effective Reason for Line of Number Date Revision Inquiry Are assessments performed to verify compliance to the QA program requirements, to verify that performance criteria are met, and to determine the effectiveness of the program?  Item 1.17.2: Added the section identifier from Requirement 18 (Section 100).  Item 1.17.3: Added the section identifier from Requirement 18 (Sections 100 and 800). Added the third sentence as shown below from Section 800. Do assessment records include the following:  Assessment plan,  Assessment report,  Written replies, and  Record of completion of corrective action?  Item 1.17.4: Added the section identifier from Requirement 18 (Section 302).  Item 1.17.5: Added the section identifier from Requirement 18 (Section 700).  Item 1.17.6: Added a new line of inquiry for vendor/supplier audits as shown below. Audits of suppliers shall be performed on a triennial basis and supplemented by annual evaluations of the supplier’s performance to determine if the regular schedule audit OFFICIAL USE ONLY (When Completed) OFFICIAL USE ONLY (When Completed)

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 34 of 37 Audit ID: ______TSDF: ______Auditor: ______Revision Effective Reason for Line of Number Date Revision Inquiry frequency shall be maintained or decreased or if other corrective action is required. NQA-1 Requirement 18, Sections 200 and 202 2.0 1.18, Laboratory QA Section 1.18  Item 1.18: Added the note shown below. NOTE: On-site laboratory quality requirements are usually identified in the DOE contract, RCRA permit, other site permits, state-specific requirements, EPA methods used by the laboratory, Land Disposal Restrictions, and consensus standards invoked by the site’s QAP/laboratory QAP, which may include ASTM (e.g., ASTM E898, ASTM E617, ASTM D 1193-1999), NIST (e.g., NIST Handbook 44), ISO/IEC, TNI, etc. Therefore, the lines of inquiry (LOIs) provided below are general and are not linked to specific requirements documents (although many of the LOIs were developed using the guidance contained in EPA SW-846, Chapter One, dated July 2014).  Item 18.1.1: Changed the requirement reference to a guidance reference. Added “2014” to EPA SW-846, Chapter One.  Item 18.1.2: Changed the requirement reference to a guidance reference. Added “2014” to EPA SW-846, Chapter One.  Item 18.1.3: Changed the requirement reference to a guidance reference. Added “2014” to EPA SW-846, Chapter One. OFFICIAL USE ONLY (When Completed) OFFICIAL USE ONLY (When Completed)

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 35 of 37 Audit ID: ______TSDF: ______Auditor: ______Revision Effective Reason for Line of Number Date Revision Inquiry  Item 18.1.4: Changed the requirement reference to a guidance reference. Added “2014” to EPA SW-846, Chapter One.  Item 18.1.5: Changed “SOPs” to “procedures.”  Item 18.1.6: Changed the requirement reference to a guidance reference. Added “2014” to EPA SW-846, Chapter One.  Item 18.1.7:  Item 18.1.8: Changed the requirement reference to a guidance reference. Added “2014” to EPA SW-846, Chapter One.  Item 18.1.9: Changed the requirement reference to a guidance reference.  Item 18.1.10: Added the year to ASTM E898-2013. Changed the requirement reference to a guidance reference.  Item 18.1.11: Added the year to ASTM E898-2013. Removed the hyphen from “reverified.” Changed the requirement reference to a guidance reference.  Item 18.1.12: Changed the requirement reference to a guidance reference. Deleted the reference to ASTM E898-1988.  Item 18.1.13: Changed the requirement reference to guidance references from DoD/DOE and the EPA.

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 36 of 37 Audit ID: ______TSDF: ______Auditor: ______Revision Effective Reason for Line of Number Date Revision Inquiry

U.S. Department of Energy Consolidated Audit Program DOECAP TSDF Audit Checklist: 1 Revision 2.0 Quality Assurance Management Systems Effective Date: November 2015 Page 37 of 37 Audit ID: ______TSDF: ______Auditor: ______Notes:

OFFICIAL USE ONLY (When Completed)