Part 2 of 3, Audit Report HQ-92-001 OCRWM Headquarters ... · PREPARED BY Craiq Walenia DATE 927/91 CONCURRED BY APPROVED BY pft:- g cŽY- ~ DATE P I P DATE_____ (N

J &9OFFICE OF CIVIUAN

RADIOACTIVE WASTE MANAGEMENTU.S. DEPARTMENT OF ENERGY

WASHINGTON. D.C.

SHEET I OF 14

AUDMOSURVELLANCMNSPECTION

No. H920o1

I I I

ORGANIZATION EVALUATED

OCRWM HO

DATES OF EVALUATION

October 15-18. 1991

[ EXTERNAL

P[ INTERNAL

[Xi AUDIT

[I SURVEILLANCE

[ INSPECTION

PREPARED BY Craiq Walenia DATE 927/91

CONCURRED BY

APPROVED BY

pft

:- g cŽY- ~

DATE P I P

DATE______(N

CONTROLLING DOCUMENT (Title, Number, Revision) Q 3.5, Rev.0 ACTIVMTY EVALUATEDPreparation of Technical Documents Preparation of Tednical Documents

ITEM ~~~~~~~~~~~~REMARKSNO. CHARACTERISTICS TO BE EVALUATED Record obedtive evidence reviewed, method RESULTS

.O. of verfication, personnel contacted

1. Identlfy the technical documents that were developed or are beingdeveboped by OCRWM since the last audit and that are required to meetthe requirements of the OCRWM QA Program. (Para. 1.0 and 2.0)

* INDICATE RESULTS: SATISFACTORY (SAT), UNSATISFACTORY (UNSAT), NOT APPLICABLE (N/A)

REV. 11M

~~~~~ J ,~~~~~~~~~~~~I'm-I

OFFICE OF CIVILIANRADIOACTIVE WASTE MANAGEMENT

U.S. DEPARTMENT OF ENERGYWASHINGTON, D.C.

SHEEr 2 OF 14

AUDTISJRVELLANCEWSPECTIONNO. H-92-o01

__a 4 -~ S * 0 --

ITEMNO. CHARACTERISTIC 70 BE EVALUATED

REMARKSRecord objective evidence reviewed, methodof verification, personnel contacted

RESULTS. .t t t

2.

3.

Selectively sample at least one technical document created or beinggenerated by each RW Office rsponsible for creating technicaldocuments.

For each technical document selected, obtain the technical documentmanagement plan for the documents development. Has the planbeen approved by the cognizant Division Director? (Para. 6.1.2)

REV. II9

t L &oOFFICE OF CIVILIAN


WASHINGTON, D.C.

SHEET 3 OF 14

AUDITPSURVELLAJNlCEiINSPECTONNo. HO-92001

I a.

ITEMNO. CHARACTERISTIC TO BE EVALUATED


RESULTS

"5 1

4.

5.

Evaluate each technical document management plan selected todetermine if the content of the plan compiles with the specifiedcontent of Attachment I of QAAP 3.5. (Effectiveness Question)

For each plan address the adequacy, completeness, and correctnessof the plan by evaluating the following:

a) Is the objective dearly and precisely stated so that the goal of thedocument is clear? (Effectiveness Question)

4. 4. a.

REV. 11/90


U.S. DEPARTMENT OF ENERGYWASHINGTON, D.C. -

SHEET 4 OF 14AUDlISURVELLANCEONSPECTION

No. HO-92O01

_~ I - 6 I I I I

ITEMNO. CK4RACTERISTIC TO BE EVALUATED


SRESULTS

1� "I *1

6.

7.

b) Is the scope dearly stated and does it completely address theuniverse for which this document Is to be developed? Does itadequately address the Attachment I specifications for scope?(Effectiveness Question)

c) Are all necessary references listed and uniquely identified as to thecorrect revision o be used for each document? (EffectivenessQuestion)

REV. 1/90


U.S. DEPARTMENT OF ENERBYWASHINGTON, D.C.

SHEET 5 OF 14AUDI1ISURVELLANCEANSPECTION

NO. H-92-O1

= £ * S l .


REMARKSRecord objective evidence reviewed, methodof verication, personnel contacted

RESULTS.

8.

9.

d) Are definitions provided true technical writing definitions or are thedefinitions just providing examples without definitions? Are thedefinitions dear, precise, and correct? (Effectiveness Question)

e) Are adequate criteria and minimum requirements for accetabilityspecified hI the plan? (Effectiveness Ouestion)

REV. 11/90

/

OFFICE OF CIVILIANRADIOAClIVE WASTE MANAGEMENT

US. DEPARTMENT OF ENERGYWASHINGTON, D.C.

SHEET 6 OF 14

AUDITISURVEIUANCENSPECTON

No. HO-920o1

* a a -

ITEMNO. CHARACTERISlIC 70 BE EVALUATED


RESULTS

. ..9

10.

11.

f) Should the plan Indicate that QAAP 3.6 was applicable? Did theplan so Indicate? (Effectiveness Question)

g) Should the plan Indicate that 3.7 was appilcable? Did the plan soIndicate?

I 5

REV. I V90

~~~W)~~K



SHEET 7 OF 14

AUDIT/SURVELLANCEONSPECTIONNo. HO-92-O01

I I -- I i~~~~~~~9 A ' S -



RESULTS. .9 1*

12.

1.

h) Does the methodology proposed in the plan appear adequate andclear? (Effectiveness Question)

i) Are the people or organizations to complete the major tasksIdentified along with dear and adequate qualification requirementsfor the document preparers? Are sufficient technical qualificationsIdentified for the scope of the document? (Effectiveness Question)

REV. 1190



SHEET a OF 14

AUDM/SURVEULANCERNSPECTION

No. H92-O01

461111 I am 6 61 troS iiIT; -ilI I I I

ITEMNO. CHARACTERISlIC TO BE EVALUATED


RESULTS

4 4 4

14.

15.

D Is the review and apprval process dearly. correctly andadequately specified? (Effectiveness Question)

k) Are the specified records requirements suffident? (EffectivenessQuestion)

& . .

REV. 1U9O



SHEET 9 OF 14AUDITURVELANCEANSPECTON

NO. H92-Oo1

. A * *S B -&W~~~~~~~~~~~~~~~~~~L: so .Mel


REMARKSRecord objecive evidence reviewed, methodof verification, personnel contacted

RESULTS. .

16

17.

Identify the preparers of the document and through vestigation anditerview evaluate: (Effectiveness Question)

Q If the preparers meet the quarification requirements provided Inthe plan.

0) If the preparers have or have access to the required referencedocuments and are familiar with their contents.

______ I. a.

REV. V90

� J %W.O/ 1111�OFFICE OF CIVILIAN


WASHINGTON, D.C.

SHEEr 10 OF 14

AUDITISURVEULANCEOINSPECTION

No. H92-O01

: 1". 0 1 - 0 -



RESULTS

1. 4 4

18.

19.

II) K the preparers have been trained to Implement QAAPs 3.6. 3.7,and 3.1. f applicable to the work

Iv) If the preparers are those Identified In the plan and if not, whywasn't the plan revised?

I I. I

REV. Iligo



SHEET 11 OF 14AUDrrJSURVELLANCEINSPECTION

NO. HO-92O01

9 £ I AOALGM1141111 0 -0


REMARKSRecord objective evidence reviewed, methodof verfication, personnel contacted

RESULTS

I I

20.

21.

K QAAP 3.6 was determined to be applicable, use the QAAP 3.6checdist to determine i the process was followed and was adequate.

I QAAP 3.7 was determined to be applicable, use the QAAP 3.7checklist to determine if the process was followed and was adequate.

REV. 1t o

'11-� 11-�OFFICE OF CIVILIAN

RADIOACTlVEWASTE MANAGEMENTU.S. DEAE OF ENERGY

WASHINGTON, D.C.

SHEEr 12 OF 14AUDTISURVELLANCENSPECTION

NO. HO-92-001

9N I A hWA3 a11 k -ae o14 I1 1fO



RESULTS

______ .4 4

Use the appropriate review procedure checklist to determine theadequacy and correctness of the review process.

Determine who reviewed the technical document and evaluate:

a) If the reviewers meet the qualification requirements provided In theplan.

23.

______ a. I.

REV. 11190


U.S. DPtARftEI# OF ENERGYWASHINGTON, D.C.

SHEET 13 OF 14AUDMiMMURVELUANCEWNSPECTION

NO. 1-1920o1

Alp. *; £hid;. *'. A::'. -- 1:



RESULTS

_

24.

25.

b) K the reviewers have or have access to the required documentsand are familiar with their contents.

c) f the reviewers have been trained to Implement OAAPs 3.6. 3.7,and 3.1, If applicable to the work.

REV. 11190

OFFICE OF CIVIUANRADIOACt1IV WAft MANAGEMENT


/,SHEET 14 OF 14AUDMT/SURVELLANCENSPECTION

NO. HO-92401

9 A I IN

I I - a~~ ~ ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ I A



RESULTS

26.

27.

d) if the reviewers are those Identified In the plan and If not, whywasn't the plan revised?

Are the records being collected and handled In accordance withQAAP 17.1 and the plan? (Para. 7.1)

REV. 11/90

~~~~~ j~~~~~K

OFFICE OF CVUANRADIOACTIVE WASTE MANAGEMENT

US. DEPARTMENT OF ENERGYWASHINGTON. D.C.

SHEET I OF 4

AUDITISURVELLANCEfNSPECTION

No. HO-92 1

4011A 11 *0 0 101


OCRWM HQ

DATES OF EVALUATION

[ EXTERNAL

[XI INTERNAL

[XI AUDIT

[ I SURVEILLANCE

I INSPECTION

D0rFAO~n PY f%.rshA WI. nAT a7a1rnc I-Fr%6 ncu fad4 VCXIWIR40. Mr =- 0S-

CONCURRED BY

APPROVED BY_

pi )a DATE P A

DATE 6 }11 OL_ -- r

October 15-18, 1991

CONTRONG DOCUMENT (Rio, Number, Revision) QAAP 3.6, Rev._ ACTIVITY EVALUATEDTechnical Input Control Technical Document Input ControL

REMARKSITEM CHARACTERISTICS TO BE EVALUATED Record objective evidence reviewed, method RESULTSNO. of verification, personnel contacted

1. Does the technical document management plan provide the detailedImplementation of the process described In QAAP 3.6? (Para. 6.1.1)

INDICATE RESULTS: SATISFACTORY (SAT), UNSATISFACTORY (UNSAT), NOT APPLICABLE (N/A)

REV. 11190

- N

I

OFFICE OF CIVILIANRADIOACi1VE WASTE MANAGEMENT


SHl 2 OF 4

AUDtISURVELLANCEtNSPECTION

No. HO-92001

_ I I - i I£- -

ITEMNO.

REMARKSRecord objective evidence reviewed, methodd verification, personnel contacted

RESULTSCHARACTERISTIC TO BE EVALUATED

2.

3.

Were sufficient and correct technical input criteria identified aspotential Input and were the input evaluated for appropriateness forthe technical document? (Pares. 6.1.1bcd)

Evaluate each technical input source to determine If the input wasdevekbped under QA program controls or was qualified for use priorto the completion of the technical document, if appropriate.(Paras. 6.1.1.ef)

REV. 1190

&-.' OFFICE OF CIVILIAN


WASHINGTON, D.C.

SHEET S OF 4

AUDI&SJRVELLANCEANSPECTION

No. H92oo1

R £ £ -ill-ty-AROM00

;||l~~~~~ ai I~S; ^;1 u ; |1i 1,



RESULTS

4- I

4.

S.

Has the Technical Document Input Control form for each Input beenadequately completed? (Para. 6.4)

During the evaluation of the various technical documents, develop aRst of approved technical Input sources and when the reviews aredone verify that the Branch Chief, CMB Is maintaining a controlledmastered list of Input sources for technical documents that Is accurateand up-to-date. Selectively check some of the input sources to verifythat the master fist is being maintained current as revisions o Inputsources are completed. (Para. 6.2)

4-

REV. 1190

~a Ji



SHEET 4 OF 4AUDITISURVELLANCEOINSPECTIONNO. HO-92401

L , 11 *A S -c sS * 11

ITEMNO.


RESULTSCHARACTERISTIC TO BE EVALUATED

______ T

6.

7.

Determine how revised Input sources are controlled for factoring intothe next technical document revision. Is the process adequate?(Para. 6.3)

Determine what records are being kept as a result of theImplementation of this procedure. Are the records being handled Inaccordance with QAP 17.1? (Pare. 7.1)

REV. 11/90


U.S. DEPARTMENT OF ENERGYWASHINGTON. D.C.

SHEET 1 OF 3AUDWITISURVEILLANCEANSPECTIONNo. HO-92001

* - ' _ i£ L ' I' _;, £ I

I ORGANIZATION EVALUATED

OCRWVM HQ

DATES OF EVALUATION

[ I EXTERNAL

[Xi INTERNAL

rXI AUDiT

I SURVEILLANCE

[ iNSPECTION

PREPARED BY Wayne Booth

CONCURRED BY

DATE 927/91

� E Q2:��

DATE V IA

DATE_______APPROVED BYOctober 15-18, 1991

CONTROLLING DOCUMENT (itle. Number, Revision) OAAP 3.7, Rev. 0 ACTIVITY EVALUATEDInterface Control Interface Control

REMARKS *

IO CHARACTERISTICS TO BE EVALUATED Record objective evidence reviewed, method RESULTSof verification, personnel contacted

1. Review previous audits and surveillanes performed on the interfacecontrol process and identify Items for follow-up. (General)

INDICATE RESULTS: SATISFACTORY (SAT), UNSATISFACTORY (UNSAlT, NOT APPLICABLE (A)

REV. 11J90



SHEET 2 OF 3AUITIRELtANCENSPECTMNO. HO-92001

O 6 : l, .I



.

RESULTS

l. I. .I

2.

3.

Determine how Interfaces ae identified and documented withIncreasing levels of detail. (Effectiveness question)

Review Interface Identification file within Systems Engineering branch.(WMSR, WMSD, Para. 62.3 Change Control Procedure)

a. Compare to currently documented interfaces In design basisdocuments.

b. dentify pending updates.

c Determine required level of detaiL

d. identify revisions to previously documented Interfaces.

1 4 4.

REV. 11190

I Nwww/ 1�1�IOFFICE OF CIVILIAN


WASHINGTON, D.C.

SHEET 3 OF 3AUDrISURVELLANCEINSPECTIONNO. H-92001

_ I £ -I 0 - 0 --I I I a



RESULTS_T r

4.

5.

Verify that Interface forms exist with the WMSR documentationpackage. (Para. 6.3.3)

Verify that Interface control forms are being developed for thePhysical System Requirements documents and lower tier documentssuch as the MRS System Specification document. (EffectivenessQuestion)

.0 I I

REV. I V90

/ � 4 J

OFFICE OF CMUANRADIOACTIVE WASTE MANAGEMENT


SHEET 1 OF eAUDITrSURVELANCEJNSPECTIONNO. HO-92-o01

L 11I I£ i -


OCRWM HO

DATES OF EVALUATION

[ EXTERNAL

pq INTERNAL

p[I AUDIT

I I SURVEILLANCE

I INSPECTION

PREPARED BY Crak Walenga

CONCURRED BY I t

APPROVED BY i e

DATE 97t91

DATE I i

DATE __21___v

October 15-18, 1091K .~~~ .

CONTROLLING DOCUMENT (ite. Number, Revision) IP 30.3.2, Rev.3 ACTIVITY EVALUATEDProgram Change Control Procedure Program Change Control

REMARKSITEM CHARACTERISlICS TO BE EVALUATED Record objective evidence reviewed, method RESULTSNO. of verlricalion, personnel contacted

1. Identify, using the PMS, the Program-level Controlled Document Register.and other RW documents, what documents are or should be subject tothe change control process. Determine I these documents are beingsubjected to the change control process. (General)

INDICATE RESULTS: SATISFACTORY (SAT), UNSATISFACTORY (UNSAT), NOT APPLICABLE (NA)

REV. IV90

Li'RADIO Ot tIVIUAN


WASHINGTON, D.C.

SHEET 2 OF 8

AUDMlISURVELLANCEANSPECTION

No. H92-oo1

* A A *I 0 ii i i



RESULTS

2.

3.

Selectively sampling irst the technical documents that have beendeveloped or revised that are subject to QARD requirements,determine f the required OA program reviews have been completedprior to the submission of the document to the CCB. (Para. 4.3.2)

Reviewing the DCP created for each of the sampled documents,determine N the documented hiltial Impact of the DCP-ldentlfied effortIs adequate, complete, and corret (Para. 5.1.3)

FlEV. 11/90



SHEET 3 OF SAuDVITSURvERIANcEANsPEcTIONNO. HO-92oo1

I.--- I - -- 14 a I



RESULTS

t I

4.

5.

For DCPs that dentify changes to existing documents, is the attachedinformation sufficient to understand the change? (Parm. 5.1.4)

Has sufficient supporting documentation been provided along with theDCP? (Para. 5.1.7)

I. C 4

REV. 11/90

.. I,./:OFICE OF CMAN


WASHINGTON, D.C.

SHEET 4 OF a

AUDITSURVEIUANCONSPECTION

No. HO-92-oo1

, ; 0 -I I I * -i i l i -I ; i ; I p I I i 1 i i 1iii 1 i


REMARKSRecord obfective evidence reviewed, methodof verification, personnel contacted

RESULTS

I. t

6.

7.

Review the DCP log maintained by the Executive Secretariat andverify that the Executive Secretariat appropriately handles within 2days of recelpt. (Para. 5.2.2)

Establish DCPs are being dispositioned In accordance with thescheduled date needed. (Paras. 5.2.3 and 5.2.4)

I 1. 1.

REV. 11/90

- z . - 4 -



SHET 5 OF E

AUDITISURVELLANCEANSPECTION

No. HO-92-oo1

R . I s .e,^ L,; l leni,.~~~~~~~~~~~~~~~~~~~~~~~ I


REMARKSRecord objecive evidence reviewed, methodof verllicatbn, personnel contacted

RESULTS

I I- I.

8.

9.

For each DOP reviewed, determine I the Executive Secretariat hasdocumented the attendance and the proceedings on theComment/Response Record and documents the response on a DCPEvaluation SummaryiRecommendations form. (Para. 5.32)

Do the documented reviews of the PCCB members appear adequate?Interview the PCCB members for specific DCPs and establish I thePCCB member has the specific reference material or has access lothe specific reference material needed to evaluate the DCP if thePCOB members can demonstrate adequate knowledge of therequirements contained In the reference material? (EffetivenessQuestion)

REV. 11190



SHEET 6 OF 8AMrSURVEiUANCE/NPECTNO. HO-92-001

9411 Rh WEA *-112fA S - S -.nI I a I I I~



RESULTS

I I.

10.

11.

Review the training the PCCB members have received lo verify thatthe training completed is adequate for the work being performed.(Effectiveness Question)

Verify that the resolution of comments that required changes to thedocument were Indeed Incorporated into the document (EffectivenessQuestion)

i. a

REV. 1I I/



SHEET 7 OF 8AUDMrIsURvELuANCcEJIfPEcTIoNNo. HO-92-001

e . LIz .B -~b !B !--., zL l!11 a_. *l _I_;[o

ITEMNO. CHARACTERISTiC TO BE EVALUATED


RESULTS. .

12.

13.

Verify that for documents subject to ARD requirements theconfiguration control requirements are adequately addressed andimplemented, specifically attaching the reviews to the DCP.(Para. 6.0)

Has the Executive Secretafy requested QA verification of completedPCCB activities, when appropriate? (Paras. 6.9 and 5.7.7)

REV. IV9O

f I-



SHEET a OF 8

AuDrSURvELLAcONSPEcToNNo. H-92-001

p . ~ ~~~~ A. f S -;Sgq AII a a I~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~



RESULTS

4. 4 I

14.

15.

Are the records of the PCB activities appropriately maintained?(Paras. 6.8 and 8.0)

Is the controlled document distribution and Identification processadequate and effective? Review the process and nvestigate ifcurrent document holders have the document isted? (Para. 7.0)

oS

I I I.

REV. 11/90

I

OFFICE OF CIVFUANRADIOACTIVE WASTE MANAGEMENT


SHEET I OF 4AUDrTnURVEuANENSPECTION

No. HO-92001

I a a~~~~~~~ . a


OCRWM HO

DATES OF EVALUATION

October 15-18, 1991

I EtTERNAL

[XI INTERNAL

[XI AUDIT

II SURVEILLANCE

[I INSPECTION

PREPARED BY F. Hugh Lentz

CONCURRED BY Ii Ir

DATE 924/91

DATE tPlk

DATE f12C)|qCkAPPROVED BY £ ( i>e_

CONTROLLING DOCUMENT (itle. Number, Revision) DOEIRW-215, Rev. 3 ACTIVITY EVALUATEDQuality Assurance Program Description Cdterlon 4 - Procurement Document Control

REMARKSTEOM CHARACTERISlICS TO BE EVALUATED Record objective evidence reviewed, method RESULTS

of verification, personnel contacted

1. Determine the types of procurement activities that have occurredsince last HO Audit. (General)

* Completed

In-progress

INDICATE RESULTS: SATISFACTORY (SAT), UNSATISFACTORY (UNSAT). NOT APPLICABLE (A)

REV. 1190

J, N4�-/ "-%�

OFFICE OF CIVIUANRADIOACTIVE WASTE MANAGEMENT


SHEET 2 OF 4AUD(TWSURVEULANCERNSPECTON

NO. H2-0

I I I B611R I iiI I I

iTEMNO. CHARACTERISlIC TO BE EVALUATED

REMARKSRecord objective evidence reviewed, methodof venrification, personnel contacted

RESULTS

* I I

2.

3.

4.

Verify procurement documents are being controlled IAW writtenprocedures. (QAPD Section 4, Para. 4.0)

Verify procedures Include the following:

* Pwcess for procurement planning* Method for document preparation, change review, approval and

control.* Contents for procurement packages* Responsibilities for implementation* Involvement of quality assurance staff.

(QAPD Section 4, Para. 4.0)

Determine which offices have been asstned responsbility forImplementing procedures. (general)

______ I I

REV. 9O

I

OFFICE OF CIVLANRADIOACTIVE WASTE MANAGEMENT


SHEET S OF 4AUDInSURVEILLANCENSPECTION

NO. HO-92-001

- ' --- I I

I~~~~~~~:.l Iaxl: :I: L;&,^,;"



SRESULTS

9. 4 4

Determine how technical and quality assurance responsibilities areassigned. (general)

Verify that procurement documents contain the following: (QAPDSection 4, Para. 42)

* Statement of work* Technical requirements* Quarty assurance requirements* Right of access* Documentation requirements* Nonconformance dispositon

Review 5 documents

Verify that Procurement Documents are reviewed for technicalrequirements and that the review Is documented. (QAPD Section. 4,Paras. 4.3.1 and 4.32c)

REV. 1 90

%,../



SHEEr 4 OF 4AUDrTMURVELLANCONSPECnON

NO. HO-2401

..

fTEMNO. CHARACTERISTIC TO BE EVALUATED


RESULTS

.9 9

8.

9.

10.

Verify that Procurement Documents are reviewed for qualityassurance requirements and that the review Is documented.(QAPD Section 4, Paras. 43.1 and 4.3.2b)

Verify that changes are reviewed to the same degree as the originaldocument (OAPD Section 4, Para. 44)

Determine how the Procurement Documents nctude supplierexceptions and how the exceptions are reviewed for Impact.(QARD Section 4, Para. 4.3.3)

REV. 11/90



SHEET I OF 4AUDrT/SURELLANCENSPECTION

uo. HO-92001

=011 _ _


OCRWM HO

DATES OF EVALUATION

October 15-18i1

[I ]EXTERNAL

pq INTERNAL

[XI AUDIT

I I SURVEILLANCE

[I INSPECTION

PREPARED BY F. Huwh Lentz

CONCURRED BY

APPROVED BY_

le I

DATE 9/24/91

DATE PIL .

DATE _ _ _) I __

CONTROLLING DOCUMENT (litle, Number, Revision) QAAP 4.1, Rev. 0 ACTIVITY EVALUATEDProcurement Document Review Procurement Document Review

REMARKSNEM CHARACTERISTiCS TO BE EVALUATED Record objective evidence reviewed, metod RESULTSNO. I of verification, personnel contacted

1 Determine types and number of Procurement Documents since the lastHO audit. Status: (General)

* Completed* In progress


REV. 11/90



SHEET 2 OF 4AUDTISURVELLANCENSPECTON

NO. HO-92-001

p , ; 1 1 i ;i *F1 IN i 6-1 a



RESULTS. .

2.

3.

4.

For available (sample) Procurement Documents, verify Identificationof technicaliualty acceptance criteria on Document Review Record.(DRR). (Parm. 6.1.1 and Attachment I QAP 7.1)

Verify Identification of programmatic acceptance criteria on the DRR.

Determine how reviewers are selected. (Para. 6.1.2)

* For technical:* For quality assurance:* For programmatic:

Verify use of chediists for document review. Review 2-3 In progressdocuments. (Para. 6.2.1)

.0 I S

REV. 11/90

JI 11--�OFFICE OF CIVILIAN


WASHINGTON, D.C.

SHEET 3 OF 4AUDrTISURVELLANCENSPECTIOt

NO. HO-92001

I I I I

HEMNO. CHARACTERiSTIC TO BE EVALUATED


RESULTS

I- I

5.

6.

7.

Verify documentation of-reviewer comments on DRR. (Para. 6.2.2).Review 2-3 completed documents.

* Annotation of mandatory comments* no comments"

Verify mandatory comments resolved(Paras. 6.4.4 and 6.4.5).

by hitiating organization.

* Responses documented on DRR* Response acceptejet by reviewers. (nitlais on DRR).

Determine if any mandatory comments responses rejected byreviewers. (Paras. 6.4.6 and 6.4.7)

* Documented rationale* Comment resolution* Dispute elevation

FEV. 11190



SHEET 4 OF 4

AUDITSIURVEILLANCENSPECTIONNO. H92-OO1

II a



RESULTS

.5 4 4

S.

9.

10.

Verify all mandatory comments resolved and Incorporated asnecessary. (Para. 6.4.10).

Verffy acceptance memos and signatures. (Para. 6.5 and 7.0)

* QA records* DRRs* Memos

Verify process of traddng review stus. (Para. 5.3)

I 0. 4

REV. 1 90

------

OFFICE OF CMIUANRADIOACTIVE WASTE MANAGEMENT


SHEET I OF 3

AUDTISRVELLANCEmPECTION

No. HO-92001

I A~~~ ~ ~ ~ ~ ~~~~~~~~~ a


OCRWM HO

DATES OF EVALUATION

I 1 EXTERNAL

[XI INTERNAL

[XI AUDIT

[1 SURVEILLANCE

I INSPECTION

PREPARED BY F. Hugh Lentz DATE Wi20/91

DATE 'IICONCURRED BY

APPROVED BY

P1A

DATE c I2I) IIOctober 15-18, 1991

CONTROLLING DOCUMENT (le. Number, Revision) QAAP 4.2, Rev. 0 ACTIVITY EVALUATEDEstablishing Procurement QA Controls Establishing Procurement QA Controls

REMARKSITEM CHARACTERISTICS TO BE EVALUATED Record objective evidence reviewed, method RESULTSNO. of verifcation, personnel contacted .

1. Determine types and number of Procurement Documents since lastHO Audit (General)


REV. 11190

&/OFFICE OF CIVIUAN


WASHINGTON, D.C.

SHEET 2 OF 3

AUDITISURVEIUANCEA1NSPECTION

NO. HO92-001

* *~~~~~~~~~~~~--

I ~~I I


REMARKSRecord objective evidence reviewed, methodof verificatlon, personnel contacted

RESULTS

Verify determination for applicability of QA requirements and QAControl Procurement documents. (Para. 6.1)

* Criteria used (Sections 5.2 and 5.3)* Justification* Documentation

(Review 2-3 documents)

* In-progress

* Completed

Verify evaluation of QA Program requirements for Procurementdocuments. (Pare 6.2)

* Criteria used (QAAP 23)* Justification - none* Documentation

Verify specification of OCRWM A Program requirements onOCRWM-Managed Contractors. (Pare 6.5)

* QARD Sections (Sec. 5.4)* Justification* Documentation* Supplier Documentation

REV. 11/90

t



SHEET 3 OF SAUDMIrURVELLANUNSPECTION

NO. H92-001

1pYARIWE.M.'"I OM1912961261:1911214 4 -S


REMARKSRecord obJective evidence reviewed, methodof verification, personnel contacted

RESULTS

______ I

Verify specification of OCRWM QAPD sections and QA Controlsrequirements on OCRWM Direct-support contractors. (Para. 6.6)

* QAPD sections (sec. 5.5)* QA control* Justification* Documentation* specific work to be controlled;

Verify specification of other appropriate QA requirements. (Para. 6.7)

* Justification* Documentation

Verify inclusion of QA controls spec and QA controils basis sheet InProcurement document. (Para. 6.8)

* QA records

REV. I1V90



SHEEr I OF 5*

AUDIT/SURVEILLANCE1NSPEC11ON

NO. HO-92001

I _


OORWM HQ( ERNAL

[X INTERNAL

pq AUDIT

( SURVEILLANCE

( I INSPECTION

PREPARED BY Frank Kratzinger

CONCURRED BY IA

DATE 910QC

DATE P 1IA

DATEDATES OF EVALUATION

APPROVED BY . __4

October 15-18, 1991

CONTROLliNG DOCUMENT (Title, Number, Revision) QAAP 5.1, Rev. 3 ACTIVlTY EVALUATEDPreparation and Reviston of OMPs Preparation and Revision of QMPs

REMARKS *ITEM CHARACTERISTICS TO BE EVALUATED Record objective evidence reviewed, method RESULTSNO. of verification, personnel contacted

1. Verify that for new QAAPs, the preparer develops the QAAP Inaccordance with Subsections 5.1 and 5. (Para 6.1.3)

INDICATE RESULTS: SATISFACTORY (SAT), UNSATISFACTORY (UNSAT). NOT APPUCABLE (N/A)

REV. 11/90

OFFICE OF CIVIUANAADIOACTIVE WASTE MANAGEMENT


SHEET 2 OF 5 AUDRr/SURVEILIANCEIINSPECTIONNO. HO-92001

. al £ A


REMARKSRecord obJective evidence reviewed, methodof verification, personnel contacted

RESULTS

_______ I

2

3.

4.

Verity that the Director, OQA hitiates the formal review process bycompleting the top portion of the Document Review Record (DRR)Including the dentification of the review and acceptance criteria Inaccordance with Paragraph 1.6; Identification of the reviewingAssociate or Office Directors In accordance with Paragraph S. 1.3; andthe establishment of a realistic comment-due date. (Para. 6.2.2)

Verity that the reviewers perform their review using the specifiedreview and acceptance criteria referenced on the DRR and dentifytheir mandatory commerts hI accordance with Paragraph 5.1.6.(Para. 624)

Verity that each affected Associate or Office Director provides to theDirector, OQA a consolidated set of comments on a single set ofDRRs for subsequent resolutlon. (Para 6.2.5)

REV. 11/O



SHEET 3 OF 5

AUDMISURVEI DAN CE/ NSPECTION

NO. HO-92-001

I I III



RESULTS

4. 4. I

5.

6.

7.

Verify that, where the comment does not meet the mandatorycomment criterion of Paragraph 3.2.3. the QAAP preparer may, withthe occurrence of the Director, OQA, change the designation anddocument the ustification for the change In the RESPONSE block, thechange Is concurred with by the reviewer. (Para. 6.3.2)

Verify that once an acceptable response to a mandatory comment Isreached In accordance with Paragraph 5.1.6through 5.1.8, the QAAPpreparer Indicates acceptable resolution by signing and dating thespace provided on the DRR. (Para. 6.3.3)

Verify the following completion of mandatory comment resolutionprocess, the QAAP preparer revises the document as necessary andforwards the completed draft QMP along with the completed DRRpackage to the Director, OQA. (Para. 6.3.4)

I &

REV. 11J90

/. lkl� 11--�



SHEET 4 OF 5lUDITSURVELLANCNSPECTION

NO. HO-92-001

S I I 0aA : ;-

I II

ITEMNO. CHARACTERISliC TO BE EVALUATED


RESULTS

4 9- 1

8.

9.

10.

Verify that for QAAP revisions, the draft Issued for approral signature.Changes are identified by vertical side bar makddng. (Para. 6A.3)

Verify that the QAAP preparer signs the revision record and transmitsthe draft QAAP revision and the revision record to the ResponsibleAssociate or Office Director. (Para. 6A.4)

Verify that the Responsible Associate or Office Director evaluates ifthe proposed revision is Major or Minor In accordance with thedefinitions provided in Paragraphs 3.2.2 and 32.4, document thedecision and ustification on the revision record, and sign In the biockprovided. (Para. 6.4.5)

REV. 1I V

I %,../OFFICE OF CIVIlAN


WASHINGTON, D.C.

HEE B OF 5AlrFSRVELI.UW NPWTMNO. HO-M-eo0

* a A * -.

I I

REMNO. CHARACTERISTIC TO BE EVALUATED

REMARKSRecord obledive evidence reviewed, methodof verification, personnel contacted

RESULTS

I. t 4.

11.

12.

1&

Verify that the Responsible Associate or Office Director completes theRECOMMENDED TRAINING block of the revision record.(Para. 6.5.2)

Veriythatthe Director, OOAobtalnsthe concurrence of the AssociateDirectors affected by or with defined responsibilities within thedocument and signs the concurrence block on the QAAP title pageand forwards the OAAP by memorandum) to the Director, OCRWVMsoliciting the Director's approval signature on the QAAP title page.(Para. 6.7.1)

Verily that upon obtaining OAAP approval, the Director, OQA requiresthe OCRWM QA Training Officer to complete the RECOMMENDEDTRAINING block of the revision record. (Parm. 6.7.3)

REV. 11190

-)/i



SHEEr 1 OF 6

AUDITISURVELANCEONSPECTION

NO. H92-001

& lMV- I


OCRWM HO

DATES OF EVALUATION

[ EXTERNAL

pq INTERNAL

[X] AUDIT

I I SURVEILLANCE

[ INSPECTION

PREPARED BY -Fred Bearham DATE 11191

CONCURRED BY p/,

APPROVED BY £ 24ox. A efAJ

DATE P I t

DATE ______October 15-18, 1991

. .£

CONTROLLING DOCUMENT (litle. Number. Revision) QAAP 5.2. Rev. 0 ACTIVITY EVALUATEDPreperation and Revision of Implementing tine Procedures Preparation of and revisions to IlPs

ITEM ~~~~~~~~~~~~REMARKSINE. CHARACTERISTICS TO BE EVALUATED Record objective evidence reviewed, method RESULTS

NO. of verification, personnel contacted

1. Verify that the current revision of the pcedure is available at workstations. (General)

* INDICATE RESULTS: SATISFACTORY (SAT), UNSATISFACTORY (UNSAT), NOT APPLICABLE (NIA)

REV. 1190

OFFICE OF CVUANRADIOACTIVE WASTE MANAGEMENT


SHEET I OF 6.AuDrrIuRVEW nNSPEc1nNNo. H92001

.a


OCRWM HO

DATES OF EVALUATION

[ EXTERNAL

p ITERNAL

[XI AUDIT

1 I SURVEILLANCE

I INSPECTION

PREPARED BY Frank Kratzinger

CONCURRED BY pig

DATE 9VACIal

DATE P A

DATE cl/!g)Ic lAPPROVED BY (Ž 4L.. )(NOctober 15-18. 1991

CONTROLLING DOCUMENT (litle. Number. Revision) OAAP 6.1. Rev. 2 ACTNITY EVALUATEDDocument Control Control of QA Documents

REMARKSNIO CHARACTERISTICS TO BE EVALUATED Record objective evidence reviewed, method RESULTSNO. of vericaStion, personnel contacted

1 Verify that the responsible Associate or Office Director approvescontrolled distrbution of documents within their primary areas ofresponsibility. (Para. 6.2.1)


REV. 11/90

_' K) OFFICE OF CIVIAN

RADIOACTIVE WASTE MANAGEMENTUS. DEPARTMENT OF ENERGY

WASHINGTON, D.C.

SHEET 2 OF_ 6

AUDMiMURVELLANCENSPECTIONNo. H-92-001

I I I A


REMARKSRecord objective evidence reviewed, methodof verif cation, personnel contacted

RESULTS

.- t

2.

3.

Verify that the foloing s subitted to the Director, OQA ordocuments covered by this procedure. (Para. 6.12)

a) One approved (signed) document original;

b) The required distribution list for kiltial Issue of the document orrequested changes, any, to the existing distribution list for thedocument or Manual; and

c) Special Instructions for distribution, if any, required orrecommended

Verify that the Director, OQA ensures that:

a) Each controlled document has a unique tle or number andeffective date identified on the document;

b) Each controlled copy is identified In accordance with paragraph5.5;

c) Each controlled copy Is assigned a unique copy number and;

d) Records Indicate the assigned copy holder of each controlledcopy by copy number.

I. I. I.

REV. 1 90

-



SHEET S OF 6AUDISURVELLANCEMSPECTION

NO. 1-92-001

I I a [ e --



RESULTS

.1 I - I

4.

5.

Verify that the Director, OQA has established and maintains acontrolled document Index. The Index shall consist of one or both ofthe following: (Para. 6.2.4)

a) A table of contents for each controlled manual that dentifieseach document In the hi the manual by number, title, revision orION number, and effective date. A new table of contents shallbe Issued each time a document Is added or revised

b) For documents not controlled as part of a controlled manual, a1st Identifying each such Individually controlled documents. Thelist shall identify each document by number and ile, revision orION number, and effective date. This ndex, if required, shag beupdated annually or as major changes occur and distributed tothe document recipients.

Verify that the Director, OQA prepares a Document Transmittal foreach distribution of a controlled document and distributes a copy ofthe Document Transmittal with the controlled copy to all personnel onthe approved distribution list. (Para. 6.3.1)

.4 .6 .4

REV. 1V90

K) K)OFFICE OF CIVILIAN


WASHINGTON, D.C.

SHEET 4 OF 6AUDITSURVELLANCEnNSPECTION

NO. H92-001

_ & - -0 6 - S -

ITEMNO. CHARACTERIS71C TO BE EVALUATED

REMARKSRecord objeclive evidence reviewed, methodof verification, personnel contacted

E

RESULTS

.4 4 4

6.

7.

S.

Verify that the Director, OQA forwards one uncontrolled copy of eachcontrolled document to the OCRWM Central Records Facility forknclusIon In the Records Information System. (Par. 6.32)

Verify that the Director, OQA makes a record of the return of theDocument Transmittal induding the document number, revisionnumber, date the recipient signed the acknowledgement, controlledcopy number, and recipient that acknowledges receipt (Para. 6.3A)

Verffy that If the Document Transmittal has not been returned, signed,to the OQA by the acknowledgement date specfied, the Director,OQA will formally request that the controlled document be updated orthe OQA will take appropriate action. (Par. 6.3.6)

.6 - -

REV. 11/90



SHEET 5 OF 6AUDWfSURVELLANCElNSPECTIONNO. H-92-O1

I a * IF aI fi __



RESULTS. .

9.

10.

11.

Verify that revisions and ICNs to the controlled documents arecontrolled In the same manner as the original controlled documentThe effective date and revision number shall be plainly visible on thedocument cover sheet. (Para. 6.4.1)

Verily that the Document Transmittal Instructs the recipient to destroyor return superseded material or cearly label It SUPERSEDED.(Para. 6A.2)

Verify that the Director, OQA maintains a controlled distribution ist foreach document or manual covered by this procedure. (Para. 6.5.1)

I 4 4

TEV. 11190

I � -- 1%410000r� II

OPFIt OF CVILIANRADIOACTIVE WASTE MANAGEMENT


SHEEF 6 OF 6AUDMfSURVELLANCEANSPECTION

No. HO92oo1

:"S. Ha .6.S. I:. ;-.:-I I ;l 1" I

ITEMNo. CHARACTERISTIC TO BE EVALUATED


RESULTS

I- 4.

12.

13.

14.

Verify that requests for changes to the controlled distribution lists aremade by memorandum and directed the Director, OQA(Pra. 6.5.2)

Verify that when a document holder Is removed from a distribution list,the Director, OQA notifies the person, via a Document Transmittal, todestroy the document, mark It SUPERSEDED", or return It to theOQA. (Para. 6.5.3)

Verify that at least annually copies of the distribution list for eachcontrolled document or group of controlled documents are transmittedby the Director, OQA to the Director, OCRWM, and the Associate orOffice Directors for review and updating. (Para. 6.5.4)

S I .6

REV. 11/90

JI iWM/

OFFICE OF CMIANRADIOACTIVE WASTE MANAGEMENT


SHEET I OF 4AUDrTJsURVELLANcMNSPECMoN

No. HO92001

_ I .,iAs 1J


OCRWM HO

DATES OF EVALUATION

[ EXTERNAL

pq INTERNAL

[XI AUDIT

[1 SURVEILLANCE

[ ] INSPECTION


CONCURRED BY_

DATE 9/2491

APPROVED BY '9 e ((

. DATE PIP

DATE _29_October 15-18, 1991

_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _~~ L .

CONTROLLING DOCUMENT (litle, Number, Revision) DOE/RW-215, Rev.3 ACTIVITY EVALUATEDQuarity Assurance Program Description Criterion 7- Control of Purchased tems and Services

REMARKS 0

NTM CHARACTERISTICS TO BE EVALUATED Record objective evidence reviewed, method RESULTSof verrifcation, personnel contacted

1. Determine the types and number of Procurement Activities that haveocorred since last HO Audit. (General)

INDICATE RESULTS: SATISFACTORY (SAT), UNSATISFACTORY (UNSAT). NOT APPLICABLE (N/A)

REV. 1190



SHEET 2 OF 4

AUDrFSURVELLANCENSPECTION

NO. H02001

* & A & -~~~~~~~~~~311ifll

ITEMNO. CHARACTERIST1C TO BE EVALUATED


RESULTS

l I..

2.

3.

4.

Verify that purchased iems/servbes are being controlled using writtenprocedures. (QAPD Section 7, Para. 7.0)

Verify that the procedures Include the following: (APD Section 7.Para. 7.1)

* Procurement planning* Supplier selection and control.* Bid evaluation* Supplier Performance Evaluation* Change control* Acceptance of services* Control of nonconformances

Verify that procedures on planning Include: (QAPD Section 7. Parm.7.1.a)

* What Is to be accompished?* How Is it to be accomplished?* When s it to be accomplished?* Who Is to accomplish It?* Requirements for supplier QA Program

REV. 11/90



SHEET 3 OF 4AUDITISURVELLANCEANSPECTONNO. H042-2001

p t i -j Ifi t] 0 jt1*94-~

-. p~~~~~~~~~~



RESULTS

_ _ _ _ I. .

5.

6.

7.

Verify that procedure specifies evaluation of suppliers QA Programprior to initiating quality-affecting work (APD Section 7. Pam. 7.1.6)

Verify that procedure specifies the process to determine suppliers'sablity to meet technical,/QA requirements. (QAPD Section 7, Para.7.1.c)

Verify that procedures specify the method and aiteria for evaluatingsupplier performance. (QAPD Section 7. Para. 7.1.d)

I. - -

REV. 1 1190

'%� 11��OFFICE OF CMLIAN


WASHINGTON, D.C.

SHEET 4 OF 4

AUDrISURVELLANCEMNSPECnON

NO. HO001

-~ ~~ ~~~ ~~ ~~ ~~ ~~ ~~ ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~S af l S -i -i SI ;-1; I Nis ii me I

F I A I

rTEMNO. CHARACTERISTIC TO BE EVALUATED


RESULTS

9 *1

S.

9.

10.

11.

Veriy that procedures specify the method for control of suppliergenerated documents. (APD Section 7. Para. 7.1..)

Verify that procedures specify methods for acceptance of services.(QAPD Section 7. Para. 7.1.g)

Verify that procedures on Control of Nonconformance kiclude:* Evaluation of nonconforming conditions* SubmnIta of the nonconformance document* Disposition of supplier's corrective action* Verification of the disposition* Maintenance of records(QAPD Section 7, Para. 7.1.h)

Determine which offices have been assigned responsibilty forimplementing the procedures. (APD Section 1, general)

REV. 11J90

Nkav,/ 11



SHEET I OF 4AUDITISURVELLANCEANSPECTON

NO. HQ-92-001

= , ,111a111 iil1 i 11


OCRWM HO

DATES OF EVALUATION

I EXTERNAL

[XI INTERNAL

(XI AUDIT

( SURVEILLANCE

[ INSPECTION


CONCURRED BY 1P I P

APPROVED BY _e ______

DATE 9/24/91

DATE tP I I

DATE Ot I 'I q IOctober 15-18, 1991

-

_

b .

CONTROLLING DOCUMENT (litle, Number, Revision) QAP 7.1, Rev. 0 ACTIVITY EVALUATEDControl of Purchased Services Control of Purchased Services

REMARKSIT.EM CHARACTERISTICS TO BE EVALUATED Record objective evidence reviewed, method RESULTSNO. of verification, personnel contacted

1. Determine types and number of related procurement activities thathave occurred since last HO Audit. (General)

Review 23 procurement documents

* In Progress

• Completed

*INDICATE RESULTS: SATISFACTORY (SAT), UNSATISFACTORY (UNSAT), NOT APPLICABLE (A)

REV. 1J90

I 'thm"s/



SHEET 2 OF 4

AUDITSURVELLANcONSPECTION

NO. HO-92-o1_

. .I *I 0 - 0 --

IlEMNO. CHARACTERISTiC TO BE EVALUATED

REMARKSRecxord objective evidence reviewed, methodof verification, personnel contacted

RESULTS

4 I 4.

2.

3.

4.

Determine which office coordinates the control of purchased services.(Parm. 4.2)

Verify that the procurement plans nclude the following:(Paras. 6.1 and 5.1)

* What are steps* Who Is responsible* How to accomplish* When to accomplish* SOW* What technicalQA requirements* Approach for evaluation

Verify development of a schedule for the olowing procurementactivities: (Paras. 6.1.2 and 6.1.3)

* QA Controls Specification

* Procurement Document Review (AAP 4.1)

REV. tI I/



SHEET 3 OF 4AUDITSURVELLANCElNSPECTION

NO. HO-g2-001

Ililia I~iililil*a a * i



RESULTS. ..A

5.

6.

7.

Verify the use of checklists/equivalent review aids for nitial supplierevaluation (Paras. 5.2 and 5.3)

Verify the review of documents for technica/quality assurancerequirements (Para. 62.2)

* Checklists

* AITechnical evaluation report

Determine If technical and QA personnel are Involved Incomprehensive evaluation (Paras. 6.2.3 and 62.4)

* Written plan* Evaluation criteria0

0

S

ChecklistsRate Supplier OAttechnical capabilitiesReport

S I I.

REV. 11/90

I %/ -OFFICE OF CIVILIAN


WASHINGTON, D.C.

SHEET 4 OF 4

AUDTSURVELILANENSPECnONNO. HNO-92-01

. I |


REMARKSRecord objedive evidence reviewed, methodof verification, personnel contacted

RESULTS

I t

S.

9.

10.

Verify that performance evaluation methods and schedule have beenestablished. (Paras. 6A.1 and 5.5.4)

Verify that methods for acceptance of performance evaluation havebeen established. (Paras. 6A2 and 5.5.4)

Verily that QA Records Include: (Para. 7.1)

* Procurement plans* Sections procurement documents on QWrechnical requirements* QAfFechnical evaluation plans, cheddists, reports* Supplier performance evaluations, acceptance* Supplier submittal

I 1

REV. 11190

/



SHEET I OF 4AUDThSURVELLANCOEINSPECTIONNo. HO-92-001

* A~ -


OCRWM HO and YMP QA Divisions

DATES OF EVALUATION

PREPARED BY 9126/91[ EXTERNAL

[XI INTERNAL

[XI AUDIT

ISURVEILLANCE

[ INSPECTION

. - . N 1

V3 lPi_CONCURRED BY DATE P/ A

DATE I|Qr ) IOctober 15-18, 1991

APPROVED BY - . C, - C D

. _.~~~~(CONTROLLING DOCUMENT itle, Number, Revision) QAAP 16.1, Rev. 3 ACTIVITY EVALUATED

Corrective Action Requests Corrective Action

REMARKS EINEOM CHARACTERISTICS TO BE EVALUATED Record objective evidence reviewed, method RESULTS

of verification, personnel contacted

1 Has or Is appropriate action being taken o make certain all OCRWMpersonnel, Including line personnel. Initiate CARs upon discoveringdeficiencies?(Pares. 5.1 & 6.1.1; and 0W/1 Management Assessment, Finding )


REV. 11190

-

OFFICE OF CIVILANRADIOACTIVE WASTE MANAGEMENT


SHEET 2 OF 4

AUDMTISURVELLANCENSPECMTON

No. H92oo1

A .



RESULTS

I-

3.

4.

Do Severity Levels assignments agree with QAAP 16.1 criteria?(Pare. 5.4)

Has ustification provided for Invaldating or voiding CARs beenconsistent with QARD requirements? (Paras. 6.1.3 & 6.72)

Is a CAR log being maintained and Is it complete and accurate?(Para. 6.1.8)

REV. 11190

K)WI



SHEET 3 OF 4AUDrrITURVEILLANCEnNSPECTION

No. H-92-001

p £ £ A S * S -.~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~:

ITEMNO. CHARACTERISTIC T0 BE EVALUATED

REMARKSRecord obective evidence reviewed, methodof verification, personnel contacted

RESULTS

l~~~~~~~~~~~~~~~~~~~~~~~~4 l .

5.

6.

7.

Are descriptions of adverse conditions (Block 6 of CAR) and corres-ponding agreed upon corrective actions dear enough to permitveritcaion of Implementation of corrective action? (Para. 6.5)

Have corrective action responses, accepted by OQA, been what wasneeded to resolve the adverse condition? (Pam. 6.3.1)

Are deficiencies Identified In CAR HO-91.008 (regarding untimely CARresponses, evaluations of responses, and closure of CARs) stillevident? (CAR H-91-008; and 07/12/91 Management Assessment,Para. 6.12)

* Verify timely Corrective Action for ail FY 91 deficIencies and DRs-9D-008 and 018.

I - S

REV. 11190

OFFICE OF CIVLIANRADIOACTIVE WASTE MANAGEMENT


SHEET 4 OF' 4

AUDITSURVELLANCMNSPECTION

No. HO-92-001

|-- .- -- -I i A ;A - I- i i iill1lls1l air1| , I



RESULTS

I I

S.

9.

10.

Are periodic CAR status reports being provided to the Director, OOA?(Pars. 6.8.1)

Do CARs contain the required signatures and dates? Att. I & 111)

Has Management Assessment Finding 27. regarding the Improperprocessing of a December 1990 CAR, been resolved? 07/12191Management Assessment, Finding 27)

REV. 119I

L K )



SHEET 1 OF S

ADiuTsuRVETLLAWrANSPEcTONNo. HO-92401

. ' a~


OCRWM HO

DATES OF EVALUATION

October 15-18, 1991

I I EXTERNAL

[XI INTERNAL

[X AUDIT

[ I SURVEILLANCE

( INSPECTION

PREPARED BY Robert Constable DATE 9/20/91

CONCURRED BY

APPROVED BY_

DATE VIf I

DATE'0 1291 h-

& I. I.

CONTROLLING DOCUMENT (tie. Number, Revision) QAAP 162, Rev. 0Stop Work Authority

ACTIVITY EVALUATEDAuthority to Stop Work

REMARKS 0

ITEM CHARACTERISTICS TO BE EVALUATED Record objective evidence reviewed, method RESULTSNO. of verfication, personnel contacted .

1. States In part The Director, OQA shall evaluate reported deficienciesto determine Issuance of a SWO/R Is necessary or advisable.(Para. 6.& 1 & 6.32)

* Verify Director, OQA evaluates reported deficiencies.

* Verify OCRWM and PROGRAM participants reported deficienciesand adverse trends are monItored.

INDICATE RESULTS: SATISFACTORY (SAT), UNSATISFACTORY (UNSAT), NOT APPLICABLE (A)

REV. 11i90



SHEET 2 OF 5

AUOITISURVELLANCEPINSPECTION

NO. HO-62-001

tI " I - 0it SS E| |M M1A


REMARKSRecord objedive evidence reviewed, methodof verification, personnel contacted

RESULTS

I 4

2.

3

4.

States in part: I a condition Is Identified that warrants work stoppage,the Director, OQA, shalt advise the Director, OCRWM. In writing andrecommend a SWOIR be Issued. (Para. 6.3.3)

Verify that I a work stoppage Is warranted, a letter Is Issuedrecommending a SWOIR be Issued.

Reads In part: The Director, OCRWM, shag decide to approve orIssue a SWOJR based on Input from the Director, OQA. (Para. 6.3A)

Verify that a SWOtR Is required, the Director, OQA, Is advised.

Reads in part: it is decided not to Stop Work, the Director,OCRWM, shal document and submit ustification to the Director,OQA. (Para. 6.3.5)

Verify that If Stop Work Is not required, Justification Is submitted to theDirector, OQA.

1. .0 1.

REV. 11J90

I)i %,.W/OFFICE OF CIVELIAN


WASHINGTON, D.C.

SHEET S OF 5AUDTISURVELLANCENSPECTIONNO. HO-2-401

1p £ I S -E lI I I A A


REMARKSRecord objective evidence reviewed, metiodof verification, personnel contacted

RESULTS

4 I I

Reads In part: If It Is deemed necessary to Stop Work, the Director,OCRWM, shall Issue a SWOJR by memo or letter. (Para. 6.4.2)

Verify that memo or letter Is written and SWO/R issued and includesat least the following:

* specific work to cease;

* Immediate actions to be taken to control conditions;

• time allowed for compliance;

* specific work to be controlled;

* reasons for Stop Work;

* Criteria for lifting the SWOIR; and

* special actions to be completed to restart work.

States In part: If CAR Initiates SWOIRI the CAR will be Included withthe SWOJR. (Para. 6.4.4)

Verify CARs are Included with SWO/R.

FEV. V90

I



SHEET 4 OF 5AUDTUISURVEIUANCEnNSPECION

NO. HO-92-001

.o * a-4 -

rEMNO. CHARACTERISTIC TO BE EVALUATED


RESULTS. .

7.

8.

Reads hi part: For a SWO/R affecting an OCRWM managedcontractor, the SWOIR shall be submitted to the cognizant CO.(Para. 4.67)

Verify SWOIR submitted to cognizant CO as applicable.

Reads hi part: The Director, OCRWM shall evaluate the completionnotification to ensure corrective action Is adequate. (Par. 6.6.2)

* Verify evaluation of CAR by Director, OCRWM.

Verify that the Director, CRWM has evaluated completedcorrective action hi aordance with specified criteria on theSWO/R.

I I.

REV. V0



SHEET 5 OF 5AUorrisURVEULANCEANsPEcnON

NO. Hg2.o

1- 0 ~~~~~~~~~~~ law aU419 0 -- -



RESULTS. .

9.

10.

Reads In part: Upon verification that corrective action has beenadequately Implemented, a memo authorzkig resumption of work IsIssued by Director, OCRWrM. (Para. 6.6.5)

Verify memo for resumption of work Issued.

Reads hI part: The Director, OQA, shall schedule and perform follow-up QA verification. (Para. 6.7.1)

Verify foliow-up verification of corrective measures by QA.

REV. 190



SHEET 1 OF 10

AUDMMISURVELXAME1NSPECTON

No. HO-92-O01

_~~~~~~~~~~~~~Pl- _ II .lf- .n , .1;:01119 9 a~~~~~~~~ *& a


OCRWM HO

DATES OF EVALUATION

I EXTERNAL

(I INTERNAL

[XI AUDIT

[ I SURVEILLANCE

I INSPECTION

PREPARED BY Fred Bearham

CONCURRED BY P

APPROVED BY )5 £ L

DATE 10/1/91

DATE PIPt

DATE to l %j0L,

October 15-18, 1091I. ~.

CONTROLLING DOCUMENT (lo, Number, Revision) QAAP 17.1, Revision 1 ACTIVITY EVALUATEDQA Records Management QA Records Management

REMARKSITEM CHARACTERISlICS TO BE EVALUATED Record objective evidence reviewed, method RESULTSNO. of verification, personnel contacted

1. Are appropriate instructions provided and mplemented within theorganization for development and control of documents that are QArecords-In-progress? (Para. 4.2.1)


REV. 11190

I KUOFFICE OF CIVILIAN

RADIOACTIVE WASTE MANAGEMENTU.& DEPARTMENT OF ENERGY

WASHINGTON, D.C.

SHEET 2 OF 10AUDITISURvELIANCONSPECTIoNNo. HO-92-001

I a Ia


REMARKSRecord objective evidence reviewed, methodof verilicaton, personnel contacted

RESULTS_

2.

3.

Are appropriate Instructions provided and mplemented within theorganization regarding the preparation and valdation of records andrecord packages prior to submittal by the ORG and o the CRF?(Pare. 4.2.1)

Has a list of the types of records and a record packages expected tobe generated as a result of their assigned OCFWM activities, beenprovided to the ORC? (Para. 4.3.1a and Para. 6.1.1a. b and c)

S - .4

REV 1V9

I \IJOFFICE OF CIVILIAN


WASHINGTON, D.C.

SHEEr S OF 10

AUD TISURVELLANCNSPECTION

No. HQ-92-001

; a a *a -I - I

I a I I



RESULTS

I I

4.

S.

Has a list, including signatures of persons having the authority toreview, validate and sign-off GA records been prepared, maintainedand provided to the QRC? (Para 43.1b and Para. 6.12)

Verify that personnel on the ist are still assigned to their respectivegroup. Check for terminations and transfers. (Para. 4.3b)

REV. 1U9O

/ KJOFFICE OF CMLIAN


WASHINGTON, D.C.

SHEET 4 OF 10AUDIT/SURVELLANCEANSPECTIONNO. HO-92001

I I I I I



RESULTS. .

6.

7.

Are copies of QA records originated within the organization distributedto the CRF as they are generated or approved? (Para. 4.3.1.c)

Are copies of records received from external sources for which theorganization is responsible copied to the CRF when they are receivedor accepted? (Para. 4.3.1.c)

REV. 1V9

L i \2NW00,



SHEET 5 OF 10AUDITiURVELLANCEMNSPECTIONNo. H92001

C , a *& 0 - 0 --



RESULTS

4. I. .I

S.

9.

10.

Has a Records Inventory and Disposition Schedule (RIDs) beendeveloped for the disposition of QA records (hard copies)?(Para. 4.31.d)

Are QA records for the organizations areas of responsibilty reviewed,identified and submitted to the QRC within (10) ten work days ofgeneraton, approval, receipt or acceptance? (Para. 4.3.2a andPara. 622)

Are documents or items that are to become QA records protectedfrom deterioration, damage, or oss until transferred to the QRC?(Para. 4.3.2.b)

ARE 1U50

� j J)-

I

OFFICE OF CMLIAN SHE 6 OF 10

RADIOACTIVE WASTE MANAGEMENT AUDIsuRVOEL ANNsPECIoN

U.S. DEPARTMENT OF ENERGY No. HO-92-001WASHINGTON, D.C.

NO. CHARAC|ERISTIC TO BE EVALUATED Record 4 bjedhrv evidence reviewed, method Tof erification, personnel contctedi

11. Select a sample of record packages from each RW group and verifythat the following requirements of Paragraph 6.2.4 are met.

a. The record is properly authenticated by signature, Initials, and dateor attached cover letter.

b. The record is complete and al of its attachments or enclosures areincluded.

c. Writtenftyped records are legible, reproducible, and microfilmablein accordance with the following:

1. A distinct nage of the character or pictorial Information sformed.

2. The record Is recorded with an indelible medium.

3. The record can be read without guessing or magnification.

4. The record has no correction fluid or tape.

S. Records do no have any Information scratched out or haveextraneous Information hand-written on the record with theexception of corrections made in accordance with subsection 6.8.

6. Stamps or other marks do not obliterate the text.

7. Photocopies are as dose in appearance to the original aspossible.

8. Draft records are marked Draft.

9. Records that are technical or published reports have accessionnumbers identified.

1 1

REVr

IOFFICE OF CIVILIAN


WASHINGTON, D.C.

SHEET 7 OF 10

AUDITISUIRVELLANCENSPECTIQN

No. HO-92-001

9 & , _ : ]B1-.



RESULTS

I 4. 4

12.

1&

Verify that record transmittals Include the following:

a. Package dentification numberb. Record titlec Record datad. Number of pagesa. Special instructions (if any)1. Name and ocation of the person submitting the record.(Paras. 6.2.5A & B)

Verify that formal drafts of documents comply with the following:

a. Documents are dentified as draft with a unique draft number anddate.

b. Associated comments are typewritten unless covered by otherprocedural requirements.

c Documentation of comments and resolutions are processed Inaccordance with this procedure.

d. Record copies of drafts and associated comments and theresolutions are fled and retained with the record copy of the finalapproved document.

(Para. 6.4.2)

RE. 1190

'I~~~~~~~~~~~~~~~~~~~~~~~~~11



SHEET a OF 10

AUDMITSURVELLANCEMNSPECTION

NO. H4O-92-001

1 . t S , : -.

I A II

rIEMNO. CHARACTERISTIC TO BE EVALUATED

REMARKSRecord objective evidence reviewed, methodof veriicaion, personnel contacted

RESULTS

9

14.

15.

Verify that each manager maintains a log of the specific recordspackages and the assodated records package identification numbersassigned. (Para. 6.6.3)

Have the actions Identified In Paragraphs 6.72 through 6.7.7 beencompleted within 20 worldng days? (Para. 6.7.1)

1. .5 4.

RE. V90

/ U1-OFFICE OF CIVILIAN


WASHINGTON, D.C.

SHEET 9 OF 10AUDMISURVEXLLANCEANSPECTM

No. H92oo1

* S I ~ ~~~~~~~~~~ I



RESULTS

9 9

16.

17.

Are corrections to records being accomplished In accordance withrequirements Identified In Paragraphs 6.8.1 through 6.8.5 of QAAP17.1?

Verify that potential QA records are protected from deterioration, lossor damage In accordance with the following: (Para 6.9)

a. Keep liquids a reasonable distance from records to protect againstdamage from spillage.

b. Keep smoking materials and other heat sources a reasonabledistance from records to protect against damage which could result

c. Keep magnetic media records a reasonable distance from sourcesof magnetic fields (including telephones).

d. When not In use or attended, keep documents or items that couldbecome QA records locked in a secured area (e.g., locked desk,locked file cabinet, locked office).

1. 1 J.

REV. 1190

l

IOFFICE OF CIVILIAN


WASHINGTON, D.C.

SHEET 10 OF 10

AUDITISURVELLANCEIINSPECTION

NO. HO-92-001

_ & £ - A S - S -.



RESULTS.-I 1* .9

18.

19.

Review the processing of any records identified as bst or damaged.(Para. 6.10.1)

Are record originators familiar with the basic content of QAAP 17.1,Revision 1? (General)

- 4 £

REV. 11/90

-

¼A '<2-



SHEET 1 OF 6AUDITIsURVELLANcEANsPEcTIONNo. H92-001

"I9l "O0181M0A-

I I a~~~~~~~~~~~~~~~~~~~~~~~~~~~


OCRWM HO

DATES OF EVALUATION

[ 1 EXTERNAL

[XI INTERNAL

pq AUDIT

[1 SURVEILLANCE

[] INSPECTION

PREPARED BY F. Hugh Lenk DATE 9/24/91

7CONCURRED BY PI1.

APPROVED BY 3 P ( oDATE I iA

DATE d1O|I\October 15-18, 1991

CONTROLLING DOCUMENT (itle. Number, Revision) LP 1217.01, Rev. 1 ACTIVITY EVALUATEDhIplementing Line Procedure Quality Records Center Implementing Une Procedure

REMARKS EIIEM CHARACTERISTICS TO BE EVALUATED Record objective evidence reviewed, method RESULTSNO. of verification, personnel contacted

1. Determine the number of QA Record Packages handled by the OROsince the last HQ AudiL (General)

* In progress* Completed

Review each In progress and completed QA Record packages.

* INDICATE RESULTS: SATISFACTORY (SAT), UNSATISFACTORY (UNSAT), NOT APPLICABLE (A)

REV. 11i90



SHEET I OF 5AUMISURVELNCEANSPECTOl

No. H-92-001

..*_ 7 . - .


OCRWM HO

DATES OF EVALUATION

[ EXTERNAL

pq INTERNAL

[XJ AUDIT

[ SURVEILLANCE

I I INSPECTION

PREPARED BY Robert Constable DATE 920/91

CONCURRED BY PIN

APPROVED BY S F.

DATE 9.1A

DATE q11ai2lOctober 15-18, 1991

I. _

CONTROLLING DOCUMENT (Title, Number, Revision) QAAP 18.1, Rev. 1 ACTIVITY EVALUATEDOualffication of Audit Personnel Process for Oualification of Audit Personnel


1. States In part An individual who holds a current certification as aLead Auditor In Accordance with ASME NQA-1 or ANSI 45.2.23 maybe certified after evaluating previous certification documentation,receiving training as required by the OCRWM QA Program, andcompleting Attachment I. Qual. Cert. Rec. (Para 6.2.1.1)

Verify that previously certified Lead Auditors:

* were ASME NOA-1 Lead Auditor Certified; or

* we ANSI 45223 Lead Auditor Certified;

* had previous certification evaluated and evaluation documented;

* received appropriate training; and

* have completed Attachment I. Qual. Cert. Rec.


REV. 11I90

~~~~~~~~~~~~~~LJ~ ~ ~ ~ ~ ~ ~ ~ ~~~~~~~~~~~~ ---



SHEET 2 OF 5AUDITISURVELLANCENSPECTION

NO. HO-2001

r-W i I



RESULTS

.9 Y t

An individual who does not hold current certification, however, waspreviously certfied as a Lead Auditor in accordance with ASME NQA-1 or ANSI 45.2.23 may be certified after demonstrating proficienc,receiving training, providing documentation and completingAttachment I, QuaL Cert. Rec. (Para. 62.1.2 & 6.3)

Verify not currently certilied Lead Auditors:

* ASME NQA-1 Lead Auditor Certified; or

* ANSI 45.2.23 Lead Auditor certified;

* demonstrated proficiency since last certified;

* provided prevbus documentation of certification;

* received appropriate training, and

* completed Attachment 1, Qual. CerL Rec.

.1

REV. 11/90

~~-J' 1\'J~~~~~KOFFICE OF CIVILIAN


WASHINGTON, D.C.

SHEET S OF 5AtUDMITSURVELLANCONSPECTIONNO. H-92-001

pP i 1a11 .i-



RESULTS

4 4. 1.

3. States In part: The prospective Lead Auditor shall demonstrate skillsof effective communication, both oral and written; have trainingsufficient to assure competence; have participated in 5 QA audit Inprevious 3 years; at least I nuclear audit i past year successfullycompleted an examination; and accumulated a minimum of 10 credits(see Attachment I Qua!. CerL Rec.) (Paras. 6221 through 6.2.2.5)

Verify evidence of:

* demonstration of skils In communication;

* applicable training;

* five QA audits within prior 3 year period;

* one nuclear QA audit within prior year period;

* s ssful completion of examination;

* minimum of 10 credits on Attachment 1. Qual. Cert. Rec: and

* certification as Lead Auditor.

I. I.

REV. 11/90

/ I)OFFICE OF CIVILIAN


WASHINGTON, D.C.

SHEET 4 OF 5

AUDMISURVELANCSINSPECTION

NO. HO-M2001

Q & A S * S I



RESULTS

,~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~~~~~I 4

4.

S.

States In part: Lead Auditors shall maintain their proficiency throughparticipation of at least 1 audit per year, or review and study andtraining. Activities performed by Lead Auditors bo maintain theirproficiency will be listed on Attachment 1II, Qual. MaInt. Rec. Paras.6.3.1 and 6.32)

Verify evidence of:

* at least audit per year or

* review and study of codes and standards;

* applicable training; and

* updated and current Attachment IlIl, Oual. Main. Rec.

States in part Technical Specialists are assigned for use In audits asadvisors hI technical matters. Technical Specialists who are notqualified auditors will receive training and will have read AttachmentI, Auditor Guide for Technical Specialists.

Verify Technical Specialist are at least:

* qualified auditors; or

* have received training accordingly; and

* have read Attachment I1V Auditors Guide for Technical Specialists.

- a

REV. 11/90

/I 1%,J 1\ ).00



SHEET 5 OF 5AUDWMISURVELANCENSPECTMN

NO. HO--0o1

__&14 *_ Is0I--I I II



RESULTS. .

6. States in part A listing of each QA audit in which a Lead Auditorparticipates In maintained (Attachment I11) and a file for each LeadAuditor and Auditor is established and maintained.(Para. 6.5.1 and 6.5.2)

Verify each Lead Auditor:

* maintains Attachment ll; and

* has a file established and maintained.

I. &

REV. I1/90

�-JOFFICE OF CMUAN


WASHINGTON. D.C.

SHEET 1 OF SAUDriSuRvELLNCENSPEcnoNNo. HO-92-001

a ORGANIZATION EVALUATED

OCRWM HO and YMP GA Division

DATES OF EVALUATION

I EXTERNAL

[Xq INTERNAL

[XI AUDIT

[ I SURVEILLANCE

t I INSPECTION

PREPARED BY_

CONCURRED BY.

APPROVED BY

P'f lA&W DATE__ _

DATE PI_

DATE °i/) I I

. ...

YE- . t

October 15-18, 1991

CONTROLLING DOCUMENT (e. Number, Revision) AAP 18.2. Rev. 3 ACTIVITY EVALUATEDAudit Program Audit Program


1. Verfy that the Director of OOA Is issuing annual (Fiscal Year) auditschedules for Internal and external audits. (Para. 6.1.1)

* INDICATE RESULTS: SATISFACTORY (SAT). UNSATISFACTORY (LINSAT), NOT APPLICABLE (A)

RE. 1t90

~~-J 1-1..~~ ~~\-J KOFFICE OF CVILIAN


WASHINGTON, D.C.

SHEET 2 OF eAUDrFISURVELLANCEnNSPECT1ONNO. H062-001

9||l £ £l;1il11;l ;A;1 | iS ii &1i1 in i:[] N_

I I I~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ I

flEMNO. CHARACTERISTIC TO BE EVALUATED


RESULTS

t .9 .9

2.

3.

4.

Is the schedule updated quarterly? (Paras. 6.1.2 and 6.1.3)

Do the quarterly schedule revisions contain ustifications forcancellations and delays? (Pare 6.12)

Does the schedule Include organizadons to be audited, audit number,date of audit, and Audit Team Leader? (Para. 6.1.1)

.9 .4 .4

REV. 11190

j 11~~~~~~~~~~~\j~



SHEET S OF aAUDITISURVELLANCENSPECTIONNO. HO-92-C01

S i 0 ' a -.

I I .



RESULTS

4 .9 4

5.

6.

7.

Is there evidence that schedule process considers:

a. Results of previous surveillances?

b. Results of previous audits?

c Impactof sgnificantchanges in personnel, organizational scture,or A Programs? (Para. 6.1.1)

Is each audit team member sufficiently Independent from the areashe/she Is auditing? (Para. 6.3.1)

Do the audit plans Include:

a. Scope?b. Audit team personnel?c. Requirements?d. Activities to be audited?e. Organizations to be notified?f. Documents to be audited?g. Schedule?h. Checklists to be utilized? (Para. 6.3.3)

______ .5 .1

REV. 1 1190

/ JL- \1 JOFFICE OF CIVLIAN


WASHINGTON, D.C.

SHEET 4 OF a

lUDTSURVELLANCENSPECTON

NO. HQ-0201

I IN II li ; I 1A;1 W m-I~~ N I I


REMARKSReocrd objective evidence reviewed, methodof verification, personnel contacted

RESULTS. .

S.

9.

10.

Verify that the Audit Team Leader Is signing the audit plans. (Para.6.3.4)

Does the Director of OQA Issue the formal notificalon letters andaudit plans? (Par. 6S6)

Are checklists or marked-up procedures used? (Parm. 6.3.7)

REV. U90

I! JOFFICE OF CIVILIAN


WASHINGTON, D.C.

SHEET 5 OF 8AUDITISURVELUANCEnNSPECTON

NO. HO-92-1

If . a *a B * 0 -I



RESULTS

I I

11.

12

13.

Verify that preaudit meetings with the audit team members are beingheld to prepare for the audits? (Para. 6.3.9)

Verify that the audit teams are collecting objective evidence of QAprogram Implementation. (Para. 6.4.1)

Are the audit teams documenting conditions adverse to quality onNonconformance Reports or Corrective Action Requests? (Para.6.4.4)

REV. 11190

<2OFFICE OF CIVUAN


WASHINGTON, D.C.

SHEET 6 OF eAXDSURV8UA sPECTOr

NO. HO-M001

I I I~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

llEMNO. CHARACTERISTIC TO BE EVALUATED


RESULTS. .

*1 I* I

14.

15.

16.

Are the results of the audits presented to the audited organizations Inpostaudit meetings? (Para. 6.5.1)

Hasthe Director of OQA issued the NORs and CARs, with transmittalletters, to the audited organizations? (Para. 6.5.3)

Verify that a member of each audit team has completed a Trend Dataform for each audit. (Para. 6.5.4)

I 1 .1

REV. 1V90



SHEET 7 OF 8AUDrTISURVELLANCEMPECTIONNO. H92-001

I I a



RESULTS

t 4 4

17.

18.

19.

Do the audit reports contain the following:

a. Audit scope?b. Basis(reference documents)?c. Audit team members?d. Date?e. Summary of results?. Effectiveness statement?g. Personnel contacted?h. Conditions adverse to quality?1. Conditions corrected during the audit? (Para. 6.6.1)

Are the ATLs signing the audit reports? (Para. 6.6.4)

Is the Director of A approving and Issuing audit reports?(Para.6.6A)

I 0 L

REV. 11190

i i-OFFICE OF CMLIAN


WASHINGTON, D.C.

SHEET 8 OF S

AUDWTSURVELUANCEMSPECTION

NO. HO-W-01

ma 0 - 0 Ip p~~~~~~~~~I~- - -- - --


REMARKSRecord objective evidence reviewed, methodof verication, personnel contacted

RESULTS. .t I

20. Who Is responsible for performing evaluations described In the firstsentence In Paragraph 6.6.6? Are they being adequately evaluated?(Para. 6.6.6)

d I I

REV. 1190

�- J, \4.� \11-J -



SHEET I OF 4

AUDTF/SURVELLANCEMNSPECTIONNo. HO92o01

9 1I


OCRWM HQ

DATES OF EVALUATION

p[ EXTERNAL

[ INTERNAL

pq AUDIT

I SURVEILLANCE

( I INSPECTION

PREPARED BY Robert Constable DATE 92091

CONCURRED BY

APPROVED BY _

'IP DATE _ ____

DATE ei 1211 0%October 15-18. 1991 -- S%

CONTROLLING DOCUMENT (Title, Number, Revision) QAP 18.3, Rev. 1 ACTIVITY EVALUATEDSurveillance Program Surveillance Program

REMARKS *

ITEM CHARACTERISTiCS TO BE EVALUATED Record objective evidence reviewed, method RESULTSN. of verication, personnel contacted

1. States In part: The Director, OQA, shall develop a surveillanceschedule specifying surveillance coverage for the fscal year. Theschedule shall Identify proposed personnel, organization, location,date and activities to be surveliled. (Para 6.1.1)

Verify that:

* a surveillance schedule exists;

. dentifies proposed personnel;

* Identifies proposed location;

. identifies proposed date; and

* identifies proposed activities.

RESULTS: SATISFACTORY (SAT), UNSATISFACTORY (UNSAT), NOT APPLICABLE (N/A)

REV. 11/90

� lkkW) '.

OFFICE OF CILIANRADIOACTIVE WASTE MANAGEMENT


SHEET 2 OF 4AUDIT/SURVEILLANCErANSPECTIONNO. H042OO1

* *A -

TEMNO. CHARACTERISTIC T0 BE EVALUATED


RESULTS. .

2.

3.

States In part: The Director, OQA, shall on a quarterly basis, reviewand update the surveillance schedule and distribute to the Director,OCRWM. surveillance personnel. (Paras. 6.1.3 and 6.1.4)

Verily that the surveillance schedule Is:

* updated on a quarterly basis;

* sent to Dlrector, CRWM;

* sent to Associated Directors, OCRWM; and

* sent to assigned surveillance personnel.

States In part: When a checklist Is developed for a survelliance,Attachment I shall be concurred with and approved by the surveillanceteam leader. (para. 6.2.2)

* verify that checidists are per Attachment I and approved by STL

REV. I1V90

-



SHEET S OF 4AUDMISURVELLANCE1INSPECTION

NO. HO-@2-001

I S| u | t ^1 - &l1||"; ^ l1;^I I I



RESULTS

L .5 4

4.

5.

States In part The surveillance team shall use the surveillancechecklist (or copy of procedure) lo document results. (Para. 62.2)

Verify that results are documented on checklist or marked-upprocedure.

States: Evaluation of each characteristiclattribute shall bedocumented on the surveillance checklist or mariked-up copy of theprocedure. (Para. 6.3.3)

Verify that the characterstics/attrbutes are documented.

.5 -

REV. 1V90

1----j \' ')OFFICE OF CMLIAN


WASHINGTON, D.C.

SHEET 4 OF 4

AuDrJsurRVELLANCEANSPECTONNO. HO-92-001

* A I -~M0 :111111

1 1~~~ p p

NEMNO. CHARACTERISTIC TO BE EVALUATED


RESULTS

4 .1 .1

6.

7.

States In part: The surveillance team leader shall prepare a QASurveillance Report that describes the relative iformation addressedon the checklists or marked-up procedures. Sign the Surveiflancereport, attach any CARs and forward to Director, OQA for review andapproval. (Paras. 6.4.1 through 6A.3)

States hi part: The Director, OQA, will distribute copies of theapproved Surveillance Report to the organization surveilled, Director,OCRWM, Associated Directors, and Surveillances Team Members.(Para 6.4.4)

Verify that the Surveillance Report Is distributed to the following as aminimum:

* organization surveiled.

* Director, OCRWM;

* Associated Director; and

* surveillance team

4 5 6

RE. 11i90

j- I/

OFFICE OF CMIANRADIOACTIVE WASTE MANAGEMENT


SHEEI I OF 6AMUSISURVELLAcEINSPECTION

No. HO-92O01

I I I I 'S ;!


OCRWM HO and YMP QA Divison

DATES OF EVALUATION

[ EXTERNAL

[N INTERNAL

pq AUDIT

I I SURVEILLANCE

[ INSPECTION

PREPARED BY 0 krvM.

CONCURRED BY P/A

DATE /SjqI

DATE .IA

DATE c|QrIcotAPPROVED BY K £. _October 15-18, 1991

CONTROLLING DOCUMENT (Tltle, Number, Revision) QMP-18-02. Rev. 2 ACTIVITY EVALUATEDSurveillance Surveillance

REMARKSf7EM Cl-lARACTERlSTICS TO BE EVALUATED Record objective evidence reviewed, method RESULTSNO. of verrication, personnel contacted _

1. Does the Director of OQA Issue a monthly survefliance schedule? Isthere rationale for surveillances that were delayed or canceled? (Para.


REV. 1190