AC7114 REV.

F
Issued 1997-07
AUDIT CRITERIA
Revised 2013-1
161 Thorn Hill Road
Warrendale, PA 15086-7527 Superseding AC7114 Rev E
TO BE USED FOR AUDITS ON OR AFTER JULY 01, 2012
Nadcap
AUDIT CRITERIA FOR NONDESTRUCTIVE TESTING (NDT) SUPPLIERS
ACCREDITATION PROGRAM
Editorial change made on 22-Oct-12 to section 1.0 and 3.2
22-Jan-13 to 5.5.1
1 SCOPE
These Audit Criteria are intended for use to survey a facility seeking accreditation from Nadcap for the NDT
process. This criteria is supplemented by Audit Criteria for specific NDT processes to be accredited and shall be
used with the applicable User Prime Supplemental Checklists to ensure that NDT suppliers meet the requirements
for Nadcap accreditation in Nondestructive Testing.

The purpose of this Audit Criteria is to provide a means to verify and document that systems are in place to control
the process and that the process procedures are being followed.

The Nadcap NDT Task Group recognizes ISO17025 (NDT Test Houses only) and/or any Nadcap recognized
quality system in accordance with NOP-002. If the supplier has been audited and approved by Nadcap or any
other Nadcap recognized agency for registration with AS9100 / EN9100, then no further assessment for quality
systems will be required. Although specific Audit Criteria for evaluation of the general quality system is not
included within the text of this checklist, the requirements of AC7004 do form a part of the standard used in the
Nadcap NDT Accreditation program. As such, auditors may identify and record nonconformances related to the
quality system. The supplier must address these nonconformances in order to obtain Nadcap Accreditation.
2 GENERAL INFORMATION

References

SAE Publications: Available from SAE, 400 Commonwealth Drive, Warrendale, PA 15086-0001.

AS7003 Nadcap Program Requirements

AS9100 Quality Systems Aerospace model for Quality Assurance in Design,

Development, Production, Installation and Servicing

AIA Publications: Available from Aerospace Industries Association of American, Inc.,

1250 Eye Street, N. W., Washington, DC 20005-3922.

NAS-410 NAS Certification & Qualification of Nondestructive Test Personnel

PRI operating procedures provide that "This report is published by PRI to advance the state of technical, engineering, and quality
sciences. The use of this report is entirely voluntary, and its applicability and suitability for any particular use, including any patent
infringement arising there from, is the sole responsibility of the user."

PRI values your input. To provide feedback on this document, please contact the appropriate commodity staff engineer.
(Contact information is located at http://www.eauditnet.com under “Contact Us”.)
Copyright 2012 Performance Review Institute. All rights reserved.
t-frm-15 3-Jan-12
PRI AC7114 Rev. F -2-

ISO Publications: Available from the American National Standards Institute, 11 West
42nd Street, New York, NY 10036.

ISO 9100 Quality Systems Aerospace model for Quality Assurance in Design,
Development, Production, Installation and Servicing

ISO 10012-1:1992 International Standard Quality Assurance Requirements for Measuring Equipment – Part
1 Metrological Confirmation Systems for Measuring Equipment

ANSI/NCSL Z540 Calibration Laboratories, and Measuring and Test Equipment – General Requirements

EN Publications: Available from BSI, 389 Chiswick High Road, London W4 4AL. UK.

EN 4179 Aerospace Series – Qualification and Approval of Personnel for

Nondestructive Testing

EN ISO Publications: Available from BSI, 389 Chiswick High Road, London W4 4AL. UK.

EN ISO 9000 Series Quality Management and Quality Assurance Standards - Guidelines;

EN ISO/IEC 17025 General Requirements for the Competence of Testing and

calibration Laboratories.
2.1 Instructions for the Auditors
In completing this assessment, auditors are instructed to respond with a “Yes” or “No” to address compliance with
each statement of requirement. For any negative responses, the auditor must clearly indicate in the NCR if the
“No” reflects noncompliance with respect to existence, adequacy, and/or compliance. Existence relates to
evidence of a documented procedure or policy, adequacy relates to the completeness of the procedure or policy
and compliance relates to evidence of effective implementation. This checklist includes the use of the word “shall”
which indicates a clear requirement that must be met at all times. The word “may” indicates a possible resolution
to a requirement or one recommended method to achieve a given requirement, but does not represent the only
way to meet that requirement. In addition the checklist includes the term “Compliance Assessment Guidance”.
This term is used to reflect the Task Groups expectation when answering the checklist question as YES or N/A.

The auditor must verify the list of procedures provided by the supplier at the time of the audit. Any corrections or
updates to the list must be identified using notes inserted at the applicable criterion.

All negative responses require a Nonconformance Report (NCR). Not Applicable (N/A) responses do not require
an explanation unless otherwise noted. There is only one plausible reason for an N/A, which is, that a particular
operation or issue is not being used at the supplier. There are no N/A’s simply for a lack of a customer
requirement. If a system is in use, then all questions pertaining to that system are applicable. If verification of
results require documentation it shall be so noted in this checklist.

The audit results shall not include any customer proprietary information. Technical information on parts which have
been designated “Export Controlled – License Required”, (EC-LR) cannot be input into eAuditNet. If auditors have
any questions about this, they should contact the Staff Engineer for directions.

When a satellite audit is conducted, the AC7114 checklist shall be completed as normal for the main facility with
all relevant attachments. For the satellite facilities, the following applies:

a. AC7114 – Attach auditor cover letter/notes, subscriber matrix, NCR report form and NDT personnel listing.
b. AC7114 – Section 3.0 add the following note: “This is a satellite audit to audit #XXXXXX, only the relevant
sections of this checklist have been completed”.
c. Complete all of Section 3 of AC7114.
d. AC7114S– If no new subscriber supplements are applicable to the satellite then add the following note to
section 3.0: “This is a satellite audit to audit #XXXXXX, as no new subscriber supplements are applicable none of
this checklist has been completed”.
PRI AC7114 Rev. F -3-

e. AC7114S–If new subscriber supplements are applicable for the satellite then complete the entire checklist.
f. Complete all applicable method checklists and supplemental criteria.
g. Confirm that all requirements for satellite facilities are met and reference within the auditor cover letter. If the
requirements are not met, the auditor shall inform scheduling immediately. For all other invoked checklists, the
auditor is required to complete them in full attaching the appropriate documentation in the relevant sections.

For all other invoked checklists, the auditor is required to complete them in full attaching the appropriate
documentation in the relevant sections.

When an addition to scope audit is conducted, the AC7114 checklist shall be completed as following:

a. AC7114 – attach auditor cover letter/notes, subscriber matrix, NCR report form and NDT personnel listing.
b. AC7114 – Section 3.0 add the following note: “This is an add scope audit to audit #XXXXXX, only the relevant
sections of this checklist have been completed”.
c. Complete all of Section 3 of AC7114.
d. AC7114S– If no new subscriber supplements are applicable to the add scope audit then add the following note
to section 3.0: “This is an add scope audit to audit #XXXXXX, as no new subscriber supplements are applicable
none of this checklist has been completed”.
e. AC7114S–If new subscriber supplements are applicable for the add scope audit then complete the entire
checklist.
f. Complete all applicable method checklists and supplemental criteria.

2.2 Instructions for the Supplier

2.2.1 Prior to the Audit
The supplier must complete a self-audit using AC7114, all applicable slashsheets and applicable
supplements in preparation for this audit. All internally identified nonconformances should be corrected
prior to the actual audit. Nonconformances identified as part of the Nadcap audit with potential product
impact may, at the Nadcap NDT Task Group’s discretion, require a Verification Corrective Action (VCA)
audit at the supplier’s expense. Supplier to forward the following to the assigned auditor, as directed by
PRI, 30 days prior to the scheduled audit:
General Data:
a. List of subscribing Nadcap Users that have approved the supplier for NDT. This approval listing
must be accurate as it will be the basis for the scope of the audit. Failure to provide accurate
information will be cause for a follow-up audit.
b. List of current quality systems approvals (by Users, Registrars, etc.).
c. List of procedures (index/table of contents only).

NDT Data:
d. List of processes to be approved.
e. Copy of applicable NDT process procedure(s) and certification procedure.
f. Copy of the completed supplier self audit using the applicable Nadcap checklists.
g. List of Approved NDT Personnel including Level 3’s. Supplier may use NDT Attachment
AC7114-A or another format as long as all of the identified information is present (name,
stamp/identification number, certification dates, eye exam dates, vision correction required, years
of experience, certification levels and NDT method).
h. List of NDT procedures (index/table of contents only).
i. List of applicable NDT processing specifications (military, government,
industry, [AMS, etc.], customer).

The format for providing the different required lists may be accessed via the Electronic Database or may
be generated by the supplier and attached electronically to the audit package.

2.2.2 During the Audit

PRI AC7114 Rev. F -4-

The supplier shall provide for an in-briefing with the auditor. Key members of the applicant's staff should
attend the in-briefing so the audit purpose, methods and assessment processes can be discussed. These
may include the Responsible Level 3, the Quality Manager, internal audit personnel and others as deemed
necessary by the auditor or supplier.
Working space for the auditor with desks or tables, chairs, telephone, etc., shall be made available.
A final out-briefing will be conducted at the completion of the audit. Each nonconformance and
observation will be reviewed at least daily and the supplier will be given the opportunity to discuss
proposed corrective action or to provide any additional information. Note: The PRI Staff Engineers or
Nadcap NDT Task Group may, upon review, change the auditor's determination of a finding.
2.2.3 Following the Audit
In accordance with Nadcap procedures, the supplier has 21 calendar days from the time the auditor
submits the audit to submit a corrective action plan, identify effectivity dates for each NCR and when
applicable, objective evidence. This response shall be entered directly into PRI’s Electronic Database. The
response must address the root cause of the nonconformance from a systems management approach,
the immediate action taken to resolve the discrepancy and the actions taken or to be taken to preclude
recurrence.

PRI staff or the Nadcap NDT Task Group may, after review of the audit report, require additional
information or may find cause to issue additional findings. Note: Final authority over the audit report,
acceptability of corrective actions and accreditation recommendation rests with the Nadcap NDT Task
Group.
3 INFORMATION

3.1 General Information

Nature of Business: ___________________________________________

In House Products (Captive House) Accepts Outside Work

Total Number of Employees Number of QA Personnel Number of Certified NDT Personnel

(EXCLUDE NDT)

3.1.1 Audit Contacts

Identify the Primary Contacts for the Audit (Name/Title)

Name Title

3.1.1.1 Were the applicable procedures, exams and other technical data available in English YES NO
per NOP-002?

Compliance Assessment Guidance:

Unless an alternative language is agreed upon by the assigned Auditor, the following
items shall be translated in writing prior to the audit:

• NDT process procedure(s) and NDT written practice.

PRI AC7114 Rev. F -5-

• All NDT qualification examinations, or examination question database used, which

are not administered by ASNT, EN473, ISO9712 or an NANDTB.
During the audit, the company shall provide verbal or written translations as required
to assure the Auditor’s understanding and proper assessment for all technical data
such as:
• All other procedures referenced in the applicable Nadcap NDT audit checklists
which are not listed above, which require review by the Auditor.
• NDT personnel training and certification records
• Gauge/Equipment certifications
• NDT equipment calibration records
• Vision records and results
• Internal NDT audit and Annual performance review records

NOTE: If the choice to translate verbally results in the Auditor not being able to verify
compliance for all required audit checklist criteria, then an NCR will be issued.

3.2 Quality Systems Approvals

3.2.1 Is there evidence of a current approval related to quality system in accordance YES NO
with NOP-002?

Auditing/Certifying Agency Audit Criteria Certificate Issue Certificate Expiration

Date Date

3.3 Corrective Actions

3.3.1 For re-accreditation audits, were corrective actions from the previous audit YES NO N/A
implemented?

Compliance Assessment Guidance: Verification of corrective actions taken as a result

of nonconformances identified during the previous audit will be conducted by the
auditor. In addition, the auditor shall verify corrective actions associated with a
previous audit that resulted in “failure”. The auditor shall use investigative means to
assure these are implemented.

3.3.2 Does the suppliers corrective action system, as it applies to the NDT area, ensure that YES NO
the required changes in procedures resulting from corrective action are implemented
and effective?

4 NDT QUALITY SYSTEM REQUIREMENTS

4.1 Customer Requirements

4.1.1 Responsibility

Has a Level 3 been given accountability for identifying and assuring implementation of
customer NDT requirements for the following?

Review of NDT requirements YES NO

Sequence of NDT operations YES NO
NDT procedure development and approval YES NO
NDT technique development/review and approval YES NO
Training of NDT personnel YES NO
PRI AC7114 Rev. F -6-

Examination of NDT personnel YES NO

Compliance Assessment Guidance: The supplier shall identify those accountable for
identification and implementation of customer NDT requirements. The Level 3 in the
method shall review NDT requirements and assure the proper sequence for NDT
operations is achieved as specified by the appropriate process standard and/or
drawing. Verification of proper sequencing may be accomplished by one of the
examples noted below, but is not limited to these options:
1) The Level 3 signature on the routing and/or checklist, approving the
sequence.
2) Use of a sequence template for specific product, or family of product,
which has been approved by the Level 3.
3) Approval of part drawings which include the sequence of operations by
the Level 3.
The Level 3 shall be responsible for NDT procedure and/or technique development,
review and subsequent approval. The Level 3 shall ensure that NDT personnel are
properly trained and examined in accordance with the appropriate standard.

4.2 Procurement
4.2.1 NDT Process Customer Approval Procedure

Is there a procedure in place to ensure that all required customer approvals are YES NO N/A
obtained prior to performing NDT on customer hardware?

Compliance Assessment Guidance: Compliance may be in a high level contract

review or other quality procedure and not necessarily in an NDT procedure. The
procedure must be documented. Question would only be N/A for those suppliers not
required to hold any specific customer approval.

4.2.1.1 NDT Process Customer Approval Compliance

Is there evidence that all required customer approvals are current for all of the NDT YES NO N/A
methods being audited?

Compliance Assessment Guidance: Question would only be N/A for those suppliers
not required to hold any specific customer approval.

4.2.2 Sub Tier Flow-down

Is there a procurement procedure to ensure that Prime contractor requirements are YES NO
adequately imposed on the sub-tier supplier that includes but is not limited to
calibration services, cleaning/etching facilities, process control tests, materials and
equipment and inspection facilities as related to NDT?

Compliance Assessment Guidance: The procedure shall address flow-down of the

specification(s), or standard(s), to which services or materials are procured,
certification requirements, accuracy, range and any other data pertinent to justify
acceptance.

4.2.2.1 Procurement Compliance

Is there evidence of compliance to the procedure? YES NO

4.3 Internal NDT Audits

4.3.1 Procedure

Is there a procedure requiring an annual internal audit of the NDT System and does it YES NO
PRI AC7114 Rev. F -7-

address a review of the NDT inspection process, the associated documentation,

personnel certifications, NDT process procedure adequacy and equipment?

4.3.2 Internal Audit Scope

Does the annual internal NDT audit include a review of the NDT inspection process, YES NO
the associated documentation (planning, travelers and inspection certifications),
personnel certifications (for existence and completeness), NDT process procedure
adequacy and equipment?

4.3.3 Internal Auditor Qualification

Are the personnel performing internal NDT audits knowledgeable in the method(s) YES NO
they are auditing and are they approved by the Responsible Level 3?

Compliance Assessment Guidance: Documented evidence of the Responsible Level 3

approval of the NDT internal audit personnel shall be maintained.

4.4 Performance Review

4.4.1 Procedure
Is there a procedure implemented defining performance reviews and is it approved by YES NO
a Level 3?

4.4.2 Performance Review Scope

Is there a documented annual review of processing and inspection of hardware for YES NO
each certified individual who is qualified to process hardware?

Compliance Assessment Guidance: The auditor shall verify that the documentation
utilized is adequate to indicate that parts were processed and/or evaluated per the
specified requirements. This requirement applies to all individuals qualified to process
hardware including Level 3’s. A practical exam may replace that year’s performance
review if actual parts are used and the exam is conducted internally.

Documentation of the performance review shall include the following at a minimum:

name of reviewee, name of reviewer, process criteria, acceptance criteria (if
applicable), part identification (e.g., part number, serial number, nomenclature), NDT
process utilized (PT/MT/UT/RT/ET), disposition of reviewee (if applicable), evaluation
of reviewee by reviewer and date of review.

4.4.3 Review Performance

Is this review performed by the Level 3 or designee (minimum of Level 2 qualified) in YES NO
the method being reviewed and records retained?

Compliance Assessment Guidance: The review shall include the ability of the individual
to process hardware in accordance with approved procedures and/or, when allowed,
evaluate and disposition hardware in accordance with customer requirements.
Documentation of such reviews shall be maintained on file for review. Nadcap audits
cannot be used as a performance review.

4.5 NDT Inspection Status

4.5.1 Procedure
Is there a procedure addressing the method to be used for control and identification of YES NO
NDT inspection status?
PRI AC7114 Rev. F -8-

Compliance Assessment Guidance: Identifiers may be in the form of signatures,

initials, stamps, clock numbers or any other method that can be controlled.

4.5.2 Status Control Record

Does the procedure address the requirements for a record to be maintained for the YES NO
issuance, recall and traceability of all inspection status identifiers?

4.5.3 Actions
Are appropriate actions included in the control procedure to deal with lost status YES NO
identifiers, misuse of identifiers, reassigned identifiers and removal of names of
previously authorized, but reassigned personnel?

4.5.4 NDT Inspector's Identification

Is the inspection status identifier traceable to the assigned inspector? YES NO

4.5.5 NDT Inspection Records

Are records of personnel identification (e.g., signatures, initials, stamp impression, YES NO
clock number, etc.) maintained for all personnel required or authorized to sign-off on
any NDT inspection sequence, NDT inspection report or NDT procedure?

4.5.6 Control of NDT Inspection Identifiers

Were all stamps/inspection status identifiers properly controlled to prevent misuse? YES NO

Compliance Assessment Guidance: Control is to be considered as the supplier’s

procedure defines it but at a minimum means that the stamp or identifier is not
available to be used by anyone other than the individual to whom it is assigned.

5 NDT QUALIFICATION / CERTIFICATION – NAS-410 / EN 4179

Note: Reference NAS-410 / EN 4179 for detailed requirements.
5.1 Written Practice
The written practice shall address the following as a minimum:
Compliance Assessment Guidance: The expectation is that each item required by section 5.1 be addressed in
detail in the supplier’s written practice. It is not adequate to merely reference NAS 410 for these items.

5.1.1 Written Practice Approval

Is the training, qualification and certification of NDT personnel written practice YES NO
approved by the Responsible Level 3?

5.1.2 Governing Standard

Does the written practice identify the standard(s) to which it is compliant? YES NO

Compliance Assessment Guidance: This is to include unique customer requirements,

i.e. NDTQ, RPS908, SPOC 165.7,ASI6-10, A1083.

5.1.3 NDT Techniques

Does the written practice identify the specific techniques within each method as YES NO
defined by the employer or NANDTB?

5.1.4 Levels of Qualification

Does the written practice address the applicable levels of qualification used by the YES NO
supplier?
PRI AC7114 Rev. F -9-

5.1.5 Personnel Duties and Responsibilities

Does the written practice address the required personnel duties and responsibilities? YES NO
5.1.6 Training Program
Does the written practice address the required training requirements? YES NO
5.1.7 Training Plan
Does the supplier have a formal plan showing objectives for obtaining certification for YES NO
trainees?

Compliance Assessment Guidance: The individual shall be documented as a trainee

and be actively participating in a training program for a stated NDT method for a
limited and specified period of time. This shall be addressed in the supplier’s written
practice.

5.1.8 Experience Requirements

Does the written practice address the experience requirements? YES NO

5.1.9 Examination Requirements

Does the written practice address the examination requirements? YES NO

Compliance Assessment Guidance:

a) The written practice shall include provisions for the designation of the individual(s)
or organization(s) responsible for administering examinations, the number of
examination questions to be administered, and the specific visual acuity examination
method(s) to be used. If required, the use of a general examination for recertification
shall be documented in the written practice.
b) If a Level 2 develops work instructions, the supplier’s written practice shall address
those duties and the practical examination shall include the developing of work
instructions.

5.1.10 Records
Does the written practice address the required records to be maintained? YES NO

Compliance Assessment Guidance: The written practice shall include the designation
of the individual(s) or organization(s) responsible for maintaining the qualification and
certification records and where such records shall be kept.

5.1.11 Loss / Reinstatement of Certification

Does the written practice address the following:

5.1.11.1 Expiration? YES NO

5.1.11.2 Suspension? YES NO

5.1.11.3 Revocation? YES NO

5.1.11.4 Reinstatement of certification? YES NO

5.1.12 Additional Training

Does the written practice address the requirements for additional training of personnel YES NO
that fail the certification/re-certification examinations?

Compliance Assessment Guidance: Candidates failing any general, specific or

practical examination shall receive additional training before attempting re-examination
PRI AC7114 Rev. F - 10 -

of the failed exam. The additional training shall be documented and shall address
those areas found deficient in the candidate's skills or knowledge.

5.1.13 Re-examinations
Does the written practice address the requirements for re-examination of those YES NO
personnel who have failed their certification/re-certification examinations or have had
their certifications revoked?

Compliance Assessment Guidance: The re-examination shall not use the same written
tests or test samples that were used in the initial examination. The re-examination test
must contain a minimum of 25% new questions.

5.1.14 Certification and Recertification Requirements

Does the written practice address the certification and recertification requirements? YES NO

5.1.15 Training Outlines

Does the written practice reference or include the NDT training outlines used by the YES NO
employer?

5.1.16 Administration
Does the written practice include the identification of the individual(s) or YES NO
organization(s) responsible for administering and maintaining all or part of the
employer's certification program?

5.1.17 Level 3 Re-certification Option

Does the written practice define the re-certification option to be used for the Level 3, YES NO
whether it is by examination and/or by a credit system?

5.2 Personnel Records

5.2.1 Certification Records

Are all required records of training, qualification and certification of NDT personnel YES NO
maintained and made available for review?

Compliance Assessment Guidance: All training, qualification, and certification records

shall be maintained in accordance with the employer’s written practice and shall be
made available for audit by the facility's customers or regulatory agencies. When an
NANDTB is used, the scores for the latest written and practical examinations shall be
kept by the employer but actual examinations may be kept by the NANDTB.

5.2.2 Identification
Do the records indicate the name of the certified individual? YES NO

5.2.3 Scope of Certification

Do the records indicate the level, method and technique(s) for which the individual is YES NO
certified?

5.2.4 Certification Authorization

Do records include the name and signature of the employer’s representative YES NO
authorizing the certification?

5.2.5 Availability of Qualification Examinations

PRI AC7114 Rev. F - 11 -

Are the latest written and practical examinations on file? YES NO N/A

Compliance Assessment Guidance: The facility shall maintain the results of all
qualification examinations. A copy of the latest examinations shall be made available
for review during the audit. Documentation shall be adequate to ascertain all pertinent
facts surrounding the exams. In the case of the practical exam, evidence shall exist
that the candidate has documented their results. In the case where a recognized
Independent National Aerospace NDT board (NANDTB) provides the qualification
examinations, these do not need to be maintained at the supplier’s facility.

5.2.6 Examination Scores

Are the scores for immediately previous examinations on file? YES NO N/A

Compliance Assessment Guidance: The answer would be N/A only if the individual in
question has only taken one set of examinations for a particular NDT method at the
employer being audited, i.e., no previous examinations.

5.2.7 Certification Dates

Are the certification and expiration dates of current certification(s) included in the YES NO
records?

Compliance Assessment Guidance: Certification for all levels is considered to expire

at the end of the corresponding month in which the certification began.

5.2.8 NDT Experience History

Do records include NDT experience history including any previous certifications, both YES NO
with current and previous employers sufficient to justify satisfaction of experience
requirements for qualification?

Compliance Assessment Guidance: A candidate’s experience with a previous

employer may be accepted by the current employer only if such experience is
documented and approved by the Responsible Level 3 or NANDTB.

5.2.9 NDT Training History

Do the records include the NDT training history that identifies the source, type of YES NO
training, dates of training and course hours?

Compliance Assessment Guidance:

a) For personnel credited with previous training, or personnel not certified
within 12 months of their training, refresher training must be provided. Previous
training must be documented to be accepted by the employer. As a minimum,
refresher training shall cover products, equipment set-up, operation and
standardization, specific operating procedures, applicable techniques,
b) General, specific and practical training may be obtained with the employer or an
outside agency, but shall always be supplemented by practical on-the-job training with
the employer.

5.2.10 Equivalent Experience

Is documentation on file regarding equivalent experience accepted by the responsible YES NO N/A
Level 3 to meet qualification requirements?

Compliance Assessment Guidance: For personnel previously certified under NAS 410,
EN 4179 or other recognized NDT qualification program, the adequacy and
equivalency of their previous experience shall be determined and documented by the
Responsible Level 3 or NANDTB.
PRI AC7114 Rev. F - 12 -

5.2.11 Education
When used to meet qualification requirements, do records indicate the extent of and YES NO NA
provide documentation of formal education?

5.2.12 Equivalent Training

Is documentation on file regarding equivalent training accepted by the Responsible YES NO NA
Level 3 to meet qualification requirements?

Compliance Assessment Guidance: For personnel previously certified under NAS 410,
EN 4179 or other recognized NDT qualification program, the adequacy and
equivalency of their previous training shall be determined and documented by the
Responsible Level 3 or NANDTB.

5.2.13 Level 1 ‘Limited’

Is documentation appropriate to justify Level 1 ‘Limited’ certifications and is it YES NO N/A
maintained with the Responsible Level 3?

Compliance Assessment Guidance: For Level 1-Limited certifications, the case-by-

case justification, the cognizant engineering organization’s approval, the training and
experience hours, the length of the certification (up to 1 year), the specific NDT test to
be performed, the specific hardware to be tested, and, if applicable, the approval to
accept reject hardware.

5.2.14 Responsible Level 3

Do records indicate that the employer has designated a Responsible Level 3? YES NO

Compliance Assessment Guidance: The employer shall identify, in writing a

Responsible Level 3 to act on its behalf in matters regarding the NDT qualification and
certification process. The Responsible Level 3 shall be certified in accordance with
NAS 410/EN4179 as a Level 3 in one or more NDT methods, and shall have a
thorough knowledge of the written instructions, codes, specifications and standards
used by the employer. He/she shall also have a thorough knowledge of the materials,
components, product technologies, NDT methods and NDT techniques used by the
employer. Additional Level 3 Examiners as defined in NAS 410/EN4179may be
identified and delegated in writing as necessary to provide coverage for all methods
used by the employer. The Responsible Level 3 may be an outside agency but in this
case he/she can only qualify personnel, as only the employer can certify personnel.

RESPONSIBLE LEVEL 3

5.3 Examinations

5.3.1 Administration and Grading

Is there evidence that the qualification examinations have been administered and YES NO N/A
graded by the Responsible Level 3 or Examiner?

Compliance Assessment Guidance:

a) In the case where an NANDTB provides the qualification examinations, the exams
do not need to be maintained at the supplier’s facility, however the examination scores
shall be on file.
b) The administration and grading of all examinations shall be the responsibility of the
Responsible Level 3 or Examiner. All practical examinations shall be administered by
PRI AC7114 Rev. F - 13 -

the Responsible Level 3 or Examiner. Responses to essay and fill-in questions must
be evaluated by the Responsible Level 3 or Examiner, certified in the applicable test
method, to verify the candidate's adequate understanding of the subject matter.

5.3.2 Examination Delegation

If the Level 3 delegates the administration of examinations, was the delegation YES NO N/A
documented?

Compliance Assessment Guidance: The Responsible Level 3 or Examiner may

delegate in writing the administration and grading of examinations using multiple
choice or true/false questions to non-Examiner personnel. All practical examinations
shall be administered by the Responsible Level 3 or Examiner certified in the
applicable test method.

5.3.3 Administration Limits

Does evidence exist that qualification exams have not been administered by a YES NO
subordinate or to one’s self?

Compliance Assessment Guidance: In no case can an examination be administered

by one's self or by a subordinate.

5.3.4 Exam Schedule for Level 1 ‘Limited’

Are Level 1 ‘Limited’ personnel examinations administered yearly? YES NO N/A

5.3.5 Exam Schedule for Level 1 and Level 2

Are the Level 1 and Level 2 personnel re-certified at a frequency not to exceed five YES NO N/A
years?

5.3.6 Exam Schedule for Level 3

Are Level 3 personnel re-certified at a frequency not to exceed five years? YES NO N/A

5.3.7 Level 3 Re-certification by Points

When points are utilized for Level 3 re-certification, is the required documentation on YES NO N/A
file?

Compliance Assessment Guidance:

a) Documentation for recertification shall be submitted to the Responsible Level 3 or
NANDTB at least 14 days prior to the expiration date of the certification.
b) Application for Level 3 recertification by the Responsible Level 3 shall be made
directly to the employer, the applicable regulatory agency, or applicable NANDTB.
This application shall provide documented evidence that the requirements outlined in
NAS-410/EN-4179, Annex A have been met. A copy of this application shall be
maintained in the Level 3 candidate’s NDT personnel records.

5.3.8 Level 3 Re-certification by Examination

When examinations are utilized for Level 3 re-certification, is the required YES NO N/A
documentation on file?

Compliance Assessment Guidance: Specific and practical examinations (at a

minimum) equivalent to initial certification are required for re-certification.

5.3.9 Re-certification Examinations

Are Level 1, Level 2 and Level 1 ‘Limited’ re-certification examinations equivalent to YES NO N/A
those given for initial certification?
PRI AC7114 Rev. F - 14 -

Compliance Assessment Guidance: Only specific and practical examinations

equivalent to initial certification are required for re-certification.

5.3.10 Examination Scoring System

Does the examination scoring system for qualification examinations conform to the YES NO
requirements of the governing standard?

Compliance Assessment Guidance: All examination scores shall be of equal weight in

determining the average score. For example, if only a specific and practical
examination is administered for recertification, only those scores shall be factored into
the average score. If a general examination is also given for recertification, the general
score shall also be factored into the average score. For a Level 3 recertified using
points, the score for the hands-on practical, if administered, will be used as the
average score. Scores for ASNT, EN 473 or ISO 9712 NDT certificates scored as
“pass/fail” and used in lieu of the general examination shall be assigned a value of
80%.

5.3.11 General Examination Questions

Do the examinations have the minimum number of questions and does the question YES NO N/A
content cover the subject material for the level and method for which certification is
sought?

Compliance Assessment Guidance:

a) The general examination for all levels shall be a closed book examination (An
examination administered without access to any reference materials) covering the
cross-section of the applicable method at the appropriate level. A minimum of 10
questions shall be administered for the general examination for Level 1-Limited. A
minimum of 40 questions shall be administered for the general examination at Levels
1, 2 or 3. For Level 3, the general examination questions shall address the general
knowledge of other methods used by the employer as well as the method for which
certification is sought. Passing a “basic” examination covering the other NDT methods
used before passing any NDT method examination shall be considered satisfactory
evidence the other NDT methods have been satisfactorily covered. Possession of a
current ASNT, EN 473 or ISO 9712 NDT certificate at the appropriate level by the
candidate may be satisfactory evidence that the general examination requirement is
satisfied as defined in the employer’s written practice.
b) In the case where an NANDTB provides the qualification examinations, these do
not need to be maintained at the supplier’s facility and question is N/A.

5.3.12 Specific Examination Questions

Do the examinations have, at least, the minimum number of questions and do the YES NO N/A
specific examination questions reflect the specifications, codes, equipment, operating
procedures and test techniques used within the facility?

Compliance Assessment Guidance:

a) The specific examination for all levels shall be an open book examination
(Reference material such as specifications, tables, formulas, etc. may be provided as
determined by the Responsible Level 3 or Examiner. Questions utilizing such material
shall require understanding of the information contained therein rather than merely
finding its location.) covering the requirements and use of the specifications, codes,
equipment, operating procedures and test techniques the candidate may use in the
performance of his/her duties with the employer. A minimum of 8 questions shall be
administered for the specific examination for Level 1-Limited. A minimum of 30
questions shall be administered for the specific examination at Levels 1, 2, and 3.
b) In the case where an NANDTB provides the qualification examinations, these do
not need to be maintained at the supplier’s facility and question is N/A.
PRI AC7114 Rev. F - 15 -

5.3.13 Practical Examination Test Samples

Is there evidence that test samples used for the practical examination contain known YES NO N/A
discontinuities or conditions?

Compliance Assessment Guidance:

a) The test samples shall be representative of the products to be encountered by the
candidate in the performance of his/her duties with the employer. When only one
configuration of hardware is to be inspected upon certification, both test samples may
be of the same configuration.
b) A test sample is a part or image containing one or more known and documented
natural or artificial discontinuities, flaws or conditions used in the practical examination
to demonstrate the candidate's proficiency in an NDT method. Test samples can refer
to actual hardware, fabricated test parts, or, when applicable, images of actual
hardware such as radiographs.
c) In the case where an NANDTB provides the qualification examinations, these do
not need to be maintained at the supplier’s facility and question is N/A.

5.3.14 Level 1 Practical Examinations

Do the Level 1 practical examinations provide evidence that at least one test sample YES NO N/A
per technique, with a minimum of two test configurations for each method, were
processed?

Compliance Assessment Guidance:

a) Technique is defined by the Level 3 in the supplier’s written practice.
b) When only one configuration of hardware is to be inspected upon certification, both
test samples may be of the same configuration.
c) The candidate shall document the NDT results. The checklist shall address
proficiency in the use and standardization of the equipment and materials, adherence
to procedural details and the documentation of the results.
d) If the Level 1 candidate is to accept products, the checklist shall also include
proficiency in the interpretation and evaluation of indications. All practical examinations
shall be administered by the Responsible Level 3 or Examiner.
e) In the case where an NANDTB provides the qualification examinations, these do
not need to be maintained at the supplier’s facility and question is N/A.

5.3.15 Level 2 Practical Examinations

Do the Level 2 practical examinations provide evidence that at least one test sample YES NO N/A
per technique, with a minimum of two test configurations for each method, were
processed?

Compliance Assessment Guidance:

a) Technique is defined by the Level 3 in the supplier’s written practice.
b) When only one configuration of hardware is to be inspected upon certification, both
test samples may be of the same configuration.
c) The candidate shall document the NDT results in accordance with the applicable
acceptance criteria. The checklist shall address proficiency in the use and
standardization of the equipment and materials, adherence to procedural details and
the accuracy and completeness of interpretation and evaluation of indications. All
practical examinations shall be administered by the Responsible Level 3 or Examiner.
d) If a Level 2 develops work instructions, the practical examination shall include the
developing of work instructions. The examination checklist completed by the examiner
must include the ability of the candidate to develop work instructions.
e) In the case where an NANDTB provides the qualification examinations, these do not
need to be maintained at the supplier’s facility and question is N/A.
PRI AC7114 Rev. F - 16 -

5.3.16 Level 3 Practical Examinations

Does the Level 3 practical examination provide evidence that an NDT procedure or YES NO N/A
work instruction appropriate to the employer’s current requirements for the method
was written?

Compliance Assessment Guidance:

a) The Level 3 practical shall require the candidate to develop an NDT procedure or
work instruction (A document detailing the NDT technique and testing parameters to
be used for the inspection of a specific component, group of parts, e.g. aluminum
extrusions or steel brackets, or assembly. These are sometimes referred to in the
industry as technique sheets or data cards. Such work instructions are based on
procedures defined in NAS410/EN4179) appropriate to the employer’s requirements.
This may include a procedure previously written for the current employer but must
have been developed within the previous three (3) months by the candidate with the
approval of the Responsible Level 3 or NANDTB. A part specific data card
(technique) may be adequate for the procedure requirement provided it contains
sufficiently detailed information for processing and inspecting a part and
demonstrating a Level 3 candidate’s practical knowledge of the method and customer
requirements. As guidance, a penetrant technique would generally not meet this
requirement. A written checklist shall be used to address the technical and practical
adequacy of the procedure. Results of all practical examinations shall be documented
with evidence as to date reviewed, signature of reviewer and title.
b) In the case where an NANDTB provides the qualification examinations, these do
not need to be maintained at the supplier’s facility and question is N/A.

5.3.17 Level 3 Proficiency Examination

If the Level 3’s duties include processing and/or accepting hardware, does the YES NO N/A
practical examination provide evidence that at least one test sample per technique (as
defined by the written practice) with a minimum of two test samples of differing
configurations for each method were evaluated?

Compliance Assessment Guidance:

a) The practical examination shall encompass proficiency in performance of such
tasks and be demonstrated to the requirements of Level 2.
b) The additional practical examination to accept/reject hardware is not required for
Level 3s who write or approve procedures or work instructions even if those
instructions are used by personnel to accept/reject hardware. All practical
examinations shall be administered by the Responsible Level 3 or Examiner.
c) In the case where an NANDTB provides the qualification examinations, these do not
need to be maintained at the supplier’s facility and question is N/A.

5.3.18 Written Checklists

Is there evidence that a written checklist was used to document all practical YES NO N/A
examinations, including those administered by an outside agency or NANDTB?

Compliance Assessment Guidance:

a) For all practical exams, a written checklist covering the topics detailed by the
appropriate standard shall be developed and completed by the Responsible Level 3 or
Examiner
b) In the case where an NANDTB provides the qualification examinations, these do
not need to be maintained at the supplier’s facility and question is N/A.

5.3.19 Documenting Practical Results

Does the documentation indicate the acceptance criteria and acceptance status of all YES NO N/A
indications and/or conditions established by the Level 3 Examiner or NANDTB?
PRI AC7114 Rev. F - 17 -

Compliance Assessment Guidance: In the case where an NANDTB provides the

qualification examinations, these do not need to be maintained at the supplier’s facility
and question is N/A.

5.3.20 Access to Exams

Are controls in place that assures NDT qualification examinations are only made YES NO N/A
available during administration of the exam?

5.3.21 Exam Security

Are examinations located in an area preventing access by those other than the YES NO N/A
Responsible Level 3 or examiner?

Compliance Assessment Guidance: Examinations shall be maintained in a secure

environment.

5.3.22 Right To Review

Does the written procedure address actions to be taken to assure all qualification YES NO N/A
examinations, including those provided by an outside agency, are available for review
during the audit?

Compliance Assessment Guidance: When an outside agency provides the

qualification exams and maintains them, the procedure must address actions to be
taken to allow review by the customer, or Nadcap representative, in a timely manner.
Responsibility for making examinations available for review is solely that of the
employer. The only time N/A can be used is when a NANDTB is utilized and provides
all qualification examinations, therefore procedural coverage is not required.

5.4 Vision Examinations

5.4.1 Examination Records

Are visual and color perception examination results current for all certified inspection YES NO
personnel?

5.4.2 Maintenance of Exam

Are records of vision exams maintained and available for review? YES NO

5.4.3 Near Vision

Do the records provide evidence that the near vision examinations meet Snellen 20/25 YES NO
test chart at 16 inches (40.6cm), +/- 1 inch (2.5cm), (or equivalent as determined by
the Responsible Level 3) with at least one eye, either natural or corrected?

Compliance Assessment Guidance: For the purpose of this checklist, Jaeger J1 at not
less than 12 inches/30.5 cm and the UK NANDTB tumbling E near vision acuity test
are considered acceptable. Any alternative to the Snellen 20/25 must be defined in
the Supplier’s Written Practice. NOTE: Documented evidence of equivalency
determination does not need to be kept on file.

5.4.4 Color Vision

Do the vision examination records indicate that the technicians can distinguish and YES NO
differentiate between the colors used in the method for which certification is sought?

Compliance Assessment Guidance: Any limitations in color perception shall be

evaluated by the Responsible Level 3 prior to certification and must be approved in
PRI AC7114 Rev. F - 18 -

writing. The employer shall ensure the flowdown of the (NAS 410/EN4179) Table V
vision requirements to all necessary personnel and/or facilities.

5.4.5 Frequency of Exams

Are near vision examinations administered prior to certification and annually thereafter YES NO
and color perception examinations given at least prior to certification or re-
certification?

Compliance Assessment Guidance: Certification expires at end of the anniversary

month in which it was conducted.

5.4.6 Vision Examination Administration

Is there evidence that trained personnel designated by the Responsible Level 3, YES NO
NANDTB or qualified medical personnel administered the vision exams?

Compliance Assessment Guidance: The Responsible Level 3 shall designate the

source for administering the vision examination.
a) If medically qualified, the medical facility name is sufficient.
b) If non-medically qualified, individuals shall be identified. Designation must be
conducted prior to examinations being performed. The designation must be in writing
and may be in the form of a letter or via electronic means that specifies, by name,
those authorized to perform the vision examinations.

5.5 Review of Supplier’s Level 3 Personnel

5.5.1 Internal Level 3 Assignment

Does the supplier have an internal Level 3 in all methods being audited? YES NO N/A

Compliance Assessment Guidance: The supplier may choose to utilize an on site

Level 3 for any or all NDT methods performed. All methods performed at the facility
shall be covered by a Level 3, either internal or external. This question shall be
answered as “yes” if a combination is used but with an explanation. If an external
Level 3 is utilized a “no” answer for this question does NOT require an NCR.

METHOD NAME(s) CERT DATE

Liquid Penetrant
Magnetic Particle
Ultrasonic
Radiography
Eddy Current

5.5.2 Use of Outside Agencies

Are outside agencies, including corporate level 3’s not stationed at this facility, used to YES NO N/A
provide Level 3 services? Note: An “N/A” response must be explained in detail

Compliance Assessment Guidance: In the case where a NANDTB provides the

qualification examinations (noted in 5.5.2), there is no need to list the name of the
examiners and their certification date in 5.5.3.

NAME Company Location SERVICES PROVIDED

PRI AC7114 Rev. F - 19 -

5.5.3 Qualification / Certification Record for Outside Agents

Does the facility have documentation on file to verify the adequacy of the qualification / YES NO N/A
certification for the outside Level 3?

Compliance Assessment Guidance: If a supplier uses external Level 3 services

(including corporate level 3’s not stationed at this facility) for qualification
examinations; to approve techniques and/or procedures; to inspect hardware; or as
the Responsible Level 3 then that Level 3 shall be qualified and certified to NAS410
/EN4179. The NDT Task Group requires that the supplier who utilizes the Level 3’s
services shall have proof, on file, of this certification. “Proof of certification” in this
sense is evidence of certification in accordance with NAS 410 / EN4179, the supplier
is not required to maintain copies of the Level 3’s examinations. External sources who
provide only training services are not required to prove certification only proof of
adequate background experience. “Proof of Background Experience” in this sense is
documentation that justifies the suitability of the outside source. Documentation may
be in the form of a resume citing qualifications, evidence of certifications held or
previous industry-related work experience that proves the candidate’s suitability as a
trainer.

Name Method Cert Date

5.6 Training Course Outline

5.6.1 Training Course Outline Availability

Are training course outlines for NDT personnel in place, including those used by an YES NO
outside agency?

5.6.2 Training Sufficiency

Is the training subject matter sufficient enough to ensure that NDT personnel at all YES NO
levels (excluding Level 3) become proficient with the principles and practices of the
applicable test method and technique(s)?

5.6.3 Training Course Outline Approval

Are the training course outlines approved by the Responsible Level 3 or NANDTB, as YES NO
applicable?

Compliance Assessment Guidance: This includes those training course outlines used
by an outside agency. If an outside agency or NANDTB is used to provide the training,
the Responsible Level 3 shall verify that the training meets the employer’s
requirements.

5.6.4 Basic Theory

Do the training course outlines address the basic theory for each method? YES NO

5.6.5 Test Principles

Do the training course outlines address the test principles, including choice of NDT YES NO
methods, relevance to different materials, and part and test variables?

5.6.6 Product Knowledge

Do the training course outlines address product forms and materials; defect formation YES NO
and characterization?
PRI AC7114 Rev. F - 20 -

5.6.7 Equipment
Do the training courses outline address, for each method, equipment operation and YES NO
standardization?

5.6.8 Process Controls

Do the training courses outline address, for each method, the applicable process YES NO
controls?

5.6.9 NDT Process and Parameters

Do the training courses outline address, for each method, the applicable NDT YES NO
processing steps and parameters?

5.6.10 Safety
Does the training course outline address, for each method, safety related training YES NO
requirements as determined by the supplier?

5.6.11 NDT Techniques

Do the training course outlines address the advantages and disadvantages of each YES NO
NDT technique used?

5.6.12 Limitations and Capabilities

Do the training course outlines address the limitations and capabilities of each NDT YES NO
method and technique used?

5.6.13 NDT Inspection Criteria

Do the training course outlines address the applicable specifications, codes, operating YES NO
procedures and work instructions used?

5.6.14 Product Evaluation Process

Do the training course outlines address the evaluation and interpretation processes YES NO
and documentation of the inspection results?

5.6.15 Training Hours

Do the training course outlines address the amount of time to be spent on each YES NO
subject area?

Compliance Assessment Guidance: Training outline subject areas can be specific or

generic, but must include hours.

5.6.16 Instructor Approval

Have instructors been designated or approved by the Responsible Level 3 or YES NO
NANDTB?

Compliance Assessment Guidance: Instructors shall have the skills and knowledge to
plan, organize, and present classroom training and practical exercises in accordance
with approved course outlines.

5.6.17 Training References

Do the training course outlines include a list of references from which the training YES NO
material is derived?

6 PERSONNEL
PRI AC7114 Rev. F - 21 -

The supplier shall complete and the auditor shall review, the employer’s provided list of Attachment
NDT personnel for adequacy, content and correctness. This list shall include trainees
and suspended personnel. Attachments are for information only but shall be
completed fully. NCR’s shall not be written against attachments. Supplier may use
Attachment AC7114-A or similar format which contains the same information.

7 INSPECTION / RECORDS / PROCEDURES

7.1 Evidence of Unauthorized Changes

7.1.1 Procedure
Is there a procedure that addresses how changes are to be made and who is YES NO
authorized to make changes?

7.1.2 Records / Procedures

Were all record and/or procedure changes properly authorized? YES NO N/A

Compliance Assessment Guidance: The auditor is expected to review substantial

documentation to make this determination.

7.1.3 Authorized List

Does the supplier maintain a list of authorized personnel? YES NO

Compliance Assessment Guidance: Authorized personnel may be expressed

generically in the terms of job title, e.g., Quality Engineer.

7.2 Inspection Records

7.2.1 Record Maintenance

Is an inspection record maintained of all parts submitted for NDT inspection and YES NO
evaluation?

7.2.2 Inspection Date

Do inspection records contain or provide traceability to the date of Inspection? YES NO

7.2.3 Supplier’s Name

Do inspection records contain or provide traceability to the name of the Supplier that YES NO
carried out the inspection?

7.2.4 Traceability to Part or Material Being Inspected

Do inspection records contain or provide traceability to the part number or material? YES NO

7.2.5 Serial Numbers

Do inspection records contain or provide traceability to the serial number, if YES NO N/A
applicable?

7.2.6 Inspection Quantities

Do inspection records contain or provide traceability to the number of parts in the lot, YES NO
the number inspected, and the number accepted or rejected?

7.2.7 Specification References

Do inspection records contain or provide traceability to the applicable process YES NO
PRI AC7114 Rev. F - 22 -

specification and acceptance criteria specification and revision?

7.2.8 Traceability to Inspector

Do inspection records contain or provide traceability to the identification of the YES NO
inspector performing the inspection?

7.2.9 Nature of Discrepancy

Do inspection records contain or provide traceability to the nature of the discrepancy YES NO
and, if applicable, the rejection tag number?

7.3 Work Orders / Shop Travelers

7.3.1 Traceability to Purchase Order

Is a work order or shop traveler in use that contains, or provides traceability to, the YES NO
product identification traceable to the applicable purchase order number, part number,
or product specification?

7.3.2 Traceability to Specifications

Is a work order or shop traveler in use that contains or provides traceability to the YES NO
applicable process specification and/or procedure?

7.3.3 Traceability to Inspection Method

Is a work order or shop traveler in use that contains or provides traceability to the YES NO
inspection method?

7.3.4 Traceability to Inspector

Is a work order or shop traveler in use that contains, or provides traceability to the YES NO
inspector performing the operation?

7.3.5 Inspection Quantities

Is a work order or shop traveler in use that contains or provides traceability to the YES NO
quantity inspected, accepted / rejected?

7.3.6 Sequence of Operations

Is a work order or shop traveler in use that contains or provides traceability to the YES NO
correct sequence of the inspection operation(s) within the manufacturing process?

Compliance Assessment Guidance: For independent inspection facilities only the

sequence within the inspection process is applicable.

8 CALIBRATION

8.1 Procedure

8.1.1 Flow Down

Is there a procedure that flows down calibration requirements for NDT related YES NO
equipment?

8.1.2 Accuracy / Range

Does the procedure specify the number of points to be checked for each instrument YES NO
and reference to the accuracy required and the range to be checked?
PRI AC7114 Rev. F - 23 -

8.1.3 Calibration Services

Do purchase orders or procedures for calibration services identify or provide YES NO
traceability to requirements for the standard to be used, accuracy, range of use and
number of points to be checked (3 minimum unless otherwise stated in the applicable
method standard) encompassing that range?

8.2 Calibration Certificate

8.2.1 Accuracy / Range

Do calibration certificates contain or provide traceability to the unit under test, identify YES NO
the accuracy, nomenclature and/or serial number of the unit, the range, the points in
the range of use that were checked and results?

8.2.2 Certification Review

Is there evidence that calibration certificates are reviewed to verify equipment was YES NO
within tolerance?

Compliance Assessment Guidance: Calibration certificates shall be reviewed upon

receipt to assure accuracy of data and verify all equipment was within tolerance when
checked by the calibration source.

8.3 Calibration Frequency

8.3.1 Extension Procedure

Does the calibration procedure address criteria to extend the calibration frequency, if YES NO N/A
allowed by the governing specification?

Compliance Assessment Guidance: The procedure must define what is considered as

acceptable justification, i.e., number of acceptable calibrations required before
extension is possible; etc.

8.3.2 Documentation
Does the calibration procedure address criteria to reduce the calibration frequency? YES NO

Compliance Assessment Guidance: As a minimum it is expected that a review of the

impact on results captured whilst the equipment was “out of tolerance” will be
documented, an assessment of suitability for further use shall be made and their
impact on the process determined. Any additional requirements imposed eg
limitations of use, increased tolerances or changes in frequency would also need to be
shown.

9 PROCESS CONTROL FAILURE

Failure Procedure

9.1.1 Actions Taken

Is there a procedure that addresses the actions to be taken if unacceptable results are YES NO
obtained for process control tests?

9.1.2 Customer Notification

Does the procedure address the requirements for customer notification when product YES NO
impact is suspected?