Personnel Certification Records for 10 CFR 50 Appendix B
10 CFR 50 Appendix B names this requirement as "Special process procedures for nondestructive testing, with evidence the procedures and the personnel are qualified (Criterion IX)". The QA manager owns it, and a contracted Level III can author and sign it.
The finding auditors record against this document is: QA manual written to the eighteen criteria in the abstract with no procedure translating Criterion IX into control of NDE special processes at the working level. Appendix B sets eighteen quality assurance criteria for activities affecting the safety-related functions of nuclear structures, systems and components. For an inspection service provider two criteria bite hardest. Criterion IX, Control of Special Processes, requires measures assuring that special processes 'including welding, heat treating, and nondestructive testing, are controlled and accomplished by qualified personnel using qualified procedures in accordance with applicable codes, standards, specifications, criteria, and other special requirements.' Criterion X, Inspection, requires inspection by individuals other than those who performed the activity being inspected. Criterion XVII requires records identifying the inspector or data recorder, the type of observation, the results, the acceptability and the action taken on any deficiency. Criterion XVIII requires planned periodic audits by trained personnel without direct responsibility in the area audited.
Source: Appendix B to 10 CFR Part 50, 'Quality Assurance Criteria for Nuclear Power Plants and Fuel Reprocessing Plants,' full text from the GPO govinfo CFR annual edition, Title 10 Volume 1, revised as of 1 January 2024 — Introduction and Criteria I through XVIII, quoting Criterion IX, X, XVII and XVIII verbatim. Cross-referenced against 10 CFR Part 21, 'Reporting of Defects and Noncompliance,' same edition, whose definition of 'basic component' at paragraph (4) expressly includes 'safety-related design, analysis, inspection, testing, fabrication, replacement of parts, or consulting services... whether these services are performed by the component supplier or others.' Accessed 21 Aug 2026.
| Item | What applies | Why it matters |
|---|---|---|
| Regime | Appendix B to 10 CFR Part 50 — Quality Assurance Criteria for Nuclear Power Plants and Fuel Reprocessing Plants | Enforced by U.S. Nuclear Regulatory Commission |
| Document | Personnel Certification Records | the file proving each technician is currently certified for the work they are doing |
| Owner | the QA manager | The signature an auditor traces back |
| Where it is checked | Followup, including reaudit of deficient areas where indicated, then placement on the licensee's Approved Suppliers List for the. | Usually against a sampled job, not in isolation |
| Common failure | QA manual written to the eighteen criteria in the abstract with no procedure translating Criterion IX into control of NDE special processes at the working level | The gap between the manual and the job file |
What must a personnel certification records contain under 10 CFR 50 Appendix B?
It has to satisfy 10 CFR 50 Appendix B as U.S. Nuclear Regulatory Commission enforces it: the file proving each technician is currently certified for the work they are doing. The test is not completeness on paper but traceability — an auditor picks a finished job and works backwards to this document, so anything it claims must be demonstrable on that job.
Who signs the personnel certification records for 10 CFR 50 Appendix B?
The QA manager. Because this regime accepts employer-based certification, that role can be filled by a contracted Level III rather than a staff appointment, provided they are qualified in the methods they sign for.
How does a 10 CFR 50 Appendix B auditor test this document?
By sampling. They take a completed job, find the technicians and equipment used, and trace each back through this document to the evidence behind it. A document that reads well but cannot survive that trace is the most common finding across every regime, not just this one.
How long must 10 CFR 50 Appendix B records be kept?
Appendix B sets no expiry — it is a standing regulatory requirement, not a certificate. What recurs is verification. Criterion XVIII requires a comprehensive system of planned and periodic audits, and Criterion VII requires the licensee to assess the effectiveness of a supplier's quality control 'at intervals consistent with the importance, complexity, and quantity of the product or services.' For NDT service suppliers this normally lands on the joint utility audit cycle — NUPIC runs most vendors on a 33-month schedule — supplemented by annual internal audits. Retention is set by the regime and by the client contract above it, and the longer of the two governs. Firms that set one retention period for everything and document it fare better at audit than firms tracking different periods per record type and losing track.
Does a generic template satisfy 10 CFR 50 Appendix B?
No. A downloaded template describes a generic firm, and the first question an auditor asks is whether the document describes THIS firm — its methods, its equipment, its people, its actual workflow. Templates are a starting structure; the content has to be the firm's own or the trace fails immediately.
What happens if this document is missing at a 10 CFR 50 Appendix B audit?
It is a finding, and depending on the regime it can suspend the certificate rather than merely generate a corrective action. The related finding auditors record most often is: QA manual written to the eighteen criteria in the abstract with no procedure translating Criterion IX into control of NDE special processes at the working level
Where this sits in the 10 CFR 50 Appendix B evidence pack
- Quality assurance program description covering all eighteen criteria, with the organisational chart and delegated authorities required by Criterion I
- Documented instructions, procedures and drawings for activities affecting quality, with quantitative or qualitative acceptance criteria (Criterion V)
- Special process procedures for nondestructive testing, with evidence the procedures and the personnel are qualified (Criterion IX)
- Inspection program showing inspection is performed by individuals other than those who performed the work, and identifying any mandatory hold points (Criterion X)
- Procurement documents imposing the applicable regulatory, code and QA requirements on sub-tier suppliers (Criterion IV) and the supplier evaluation and assessment records required by Criterion VII
- Calibration and control records for measuring and test equipment (Criterion XII)
- Nonconformance and corrective action records, with the cause and the action to preclude repetition documented and reported to management for significant conditions adverse to quality (Criteria XV and XVI)
- Inspection and test records identifying the inspector or data recorder, the type of observation, the results, the acceptability and the action taken on deficiencies, plus qualifications of personnel, procedures and equipment (Criterion XVII)
- Internal audit plan, checklists, reports and reaudit records demonstrating a comprehensive system of planned and periodic audits (Criterion XVIII)
Personnel certification context
Appendix B is method-agnostic and names no certification scheme: Criterion IX simply requires qualified personnel and qualified procedures 'in accordance with applicable codes, standards, specifications.' The scheme therefore comes from whatever code the licensee imposes — in practice ASME Section XI with ASNT SNT-TC-1A or ANSI/ASNT CP-189, or NQA-1. That makes certification employer-based: the supplier writes and owns the written practice and signs the certificates. An outsourced Level III can author and approve the written practice and the NDE procedures and can administer examinations, but Criterion I requires that whoever performs quality assurance verification have organisational freedom and sufficient independence, and the supplier's own management retains the responsibility.
Related: the 10 CFR 50 Appendix B overview, outsourced ASNT Level III cover, written practice development, NDT procedure development, a programme gap assessment, interim Level III cover.