Lyondellbasell Commercial Grade Survey Checklist

COMMERCIAL GRADE ITEM SURVEY CHECKLIST
Revision 5
Page 1 of 11
Supplier: Equistar Chemicals, LP

Survey No.: N/A
SUMMARY SHEET
GENERAL INFORMATION
SUPPLIER INFORMATION
SUPPLIER NUMBER: N/A
SUPPLIER: Equistar Chemicals, LP
ADDRESS: Texas Highway 60; 13 miles South of Bay City
CITY: Bay City
STATE:
TX
TELEPHONE NUMBER: N/A
ZIP CODE:
77414
FAX NUMBER: N/A
PRODUCT/SERVICE: Polyethylene Resin Alathon L4904

SUPPLIER CONTACTS
COMPANY WEB ADDRESS:
SENIOR COMPANY OFFICER: Dan Hausenga
TITLE: Operations Manager
PHONE: n/a
SENIOR QA OFFICER: Everett Lewis
TITLE: QA Manager
PHONE: n/a
SURVEY INFORMATION
MEMBER SURVEY ID NO.: N/A
SURVEY DATES: 5/12/10
NUPIC SURVEY ID NO.: N/A
LEAD UTILITY: N/A
SUPPLIERS PROGRAM DOCUMENT(S):
REVISION/DATE:
SURVEY TEAM INFORMATION

SURVEY TEAM/UTILITY
NAME
PHONE
EMAIL:
CHECKLIST
SECTIONS
SURVEYED
TEAM LEADER
Daryl Montie
404-247-9588
dmontie@NQA-1.com
All
TEAM MEMBER
Dudley Burwell
dudley.burwell@isco-pipe.com
All
800-345-4726 x 6720
TEAM MEMBER
TECHNICAL SPECIALIST
(SPECIFY DISCIPLINE)
SURVEY TEAM LEADER:
Daryl Montie
DATE: 5/12/10

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Survey No.: N/A
CRITICAL CHARACTERISTICS WORKSHEET # 1

PRODUCT/ITEM (specify): Alathon L4904 Polyethylene Resin
REFERENCE
CRITICAL CHARACTERISTICS (CC) TO
SAT./
CHECKLIST
CC NO.
BE EVALUATED
ACCEPTANCE CRITERIA
UNSAT.
FIGURE
Melt Flow Rate
Melt flow between 6 and 8.5 grams per 10

minutes
SAT
B.11
Density 0.949 to 0.955
SAT
Density, g/cm3
C.2
B.11
C.2
Tensile Strength
Greater than 3500 psi
SAT
B.11
C.2
Slow Crack Growth, PENT
Minimum of 500 hours; will increase to 2000

hours
SAT
B.11
Sampling Techniques
100% of batches, Homogeneity
SAT
B.11
Traceability
Positive Material Batch Control
SAT
B.7
CONCLUSIONS
Do Commercial Grade Quality Controls adequately control all identified critical characteristics? Yes
No
(Explain any No responses)
1.Material may be accepted outside of those limits established by Case N-755.A review of the Inspection Plan Report (ZQRINSP1) determined
that batch acceptance limits do not always coincide with the acceptance limits determined by Case N-755.
Example: Density requirements from N-755 state 0.949 to 0.955, however, the acceptance requirements from Equistar specify an accept of
0.947 to 0.950. Test data from actual batch acceptance testing needs to be reviewed to ensure that the requirements of Case N-755 are met.
Alternately, Equistar may revise acceptance criteria to meet the requirements of Case N-755.
2. A change in product specification does NOT initiate a change in the product designation. The product characteristics need to be verified to
meet the critical characteristics of the product to be procured.
3. Records that verify QC data for the critical characteristics are maintained for 5 years. The records retention period does not meet
requirements.

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Survey No.: N/A
SECTION A CRITICAL CHARACTERISTICS VERIFICATION

FIGURE A 1
PRODUCT / ITEM / SERVICE:
CRITICAL
CHARACTERISTIC
(CC)
METHOD OF CC
CONTROL
AND
ASSOCIATED
CHECKLIST
ITEM(S)
ITEM REVIEWED
AND
WORK ORDER/
TRAVELER NO.
CONTROLLING
PROCEDURE
AND
REV./DATE
Melt Flow Rate
Final QC
QC Sample
C.2
Demonstration
MAT 120 Rev.

10 8/11/09 (M.
Lambert)
PERSONNEL
NAME/STAMP
ID NUMBER OF M&TE USED

CALIBRATION CURRENT
(Yes/No)
Dynisco Melt Flow Indexer #13

Velva Johnson
MATLAB 280
Cald 11/18/09 Due: 11/18/10
Thermometer
Cald 4/30/10
Due: 5/30/10
Timer
Cald 4/14/09
Due: 5/14/10
Pin Gage (go/nogo)

MATLAB 442
Cald 10/18/09 Due: 10/18/10
Density
Final QC
QC Sample
C.2
Demonstration
MAT 127 R.11

(M Lambert)
Luan Tran
Density Beads Column #3

MATLAB 285
Scientific Glass s/n 39695
ASTM 1404 cert. 9/08
SRM No cal required
Fisher Digital Thermometer
MATLAB 406
Cald 4/09/10
Due: 4/09/11
Timer
MATLAB 108
Cald 3/22/10
Due: 3/22/11
Density Press #4 Wabash MP

MATLAB 324
Temp/Timer 12849-669-I-14CU
Cald 4/21/10
Due: 4/21/11

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Tensile strength at
yield and elongation
at break

Survey No.: N/A
Final QC
QC Sample
C.2
Demonstration
MAT 266 Rev.2

3/24/08
(M Lambert)
Noel Orr
Instron Tensile Tester

MATLAB 385
Cald 4/20/10 Due: 4/20/11
Micrometer
MATAB 364
Cald 7/23/09 Due: 7/23/10
Environmental Chart Recorder
MAT 436
Cald 3/09/09 Due: 3/10/10
Temp 23.3C Humidity 44.3
DSC Thermal
Stability
Final QC
C.2
QC Sample
Demonstration
MAT 263. R.2

(M Lambert)
Cassandra
Cohea
Perkin Elmer DSC-6

Cald 4/30/10
Due: 7/30/10
Caliper, Mitutoyo 0-6

Due: 7/23/09 Due: 7/23/10
PENT
Final QC
Lot# 40050510
MAT 265
Donny Jordy
Micrometer, Starrett
C.2
Molded 5/9/10
R.2 4/7/09
MATLAB 440
(M Lambert)
Cald 7/23/09
Due: 7/23/10
Instron, Pent 12 Station

s/n PIPEQ5460
Cald 4/9/10
Due: 4/9/11
Thermometers
MATLAB 399
Cald 4/9/10
Due: 4/9/11

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Survey No.: N/A
SECTION B SUPPORTING SURVEY INFORMATION
COMMERCIAL GRADE QUALITY CONTROLS

B.1
Describe the suppliers controls which assure that items and services provided comply with the specifications set forth in the
manufacturers published product description. Identify source of pertinent published product description.
SUMMARY OF INVESTIGATION:
Alathon L4904 - Equistar provides a product data sheet for the material - High Density Polyethylene
Resin; Pipe and Sheet Grade. The data sheet provides a list of the properties that the material is
produced to meet and additional quality control activities are performed in order to verify the product
meets the specifications determined in the data sheet.
Area of Concern: Material may be accepted outside of those limits established by Case N-755.A review
of the Inspection Plan Report (ZQRINSP1) determined that batch acceptance limits do not always
coincide with the acceptance limits determined by Case N-755.
Example: Density requirements from N-755 state 0.949 to 0.955, however, the acceptance requirements
from Equistar specify an accept of 0.947 to 0.950.
Test data from actual batch acceptance testing needs to be reviewed to ensure that the requirements of
Case N-755 are met. Alternately, Equistar may revise acceptance criteria to meet the requirements of
Case N-755.

B.2
Describe the controls the supplier implements to assure that design changes, including material substitutions, are evaluated
commensurate with the original design. NA
Original design requirements are not applicable to the material being produced. This is a commercial
grade product where manufacturer specifications are provided.

B.3
Do changes in design/product parameters or component parts result in a part number change?

NOTE: If not, how can the utility obtain design change details for evaluation? NA
The manufacturer is responsible for providing the formulation and product to be procured. There may be
changes in the formulation that could result in slight changes in the products chemical characteristics.
This change is analyzed by the plant and it is ensured that the chemical characteristics are clearly
indicated as part of the new product specification.
Area of Concern: A change in product specification does NOT initiate a change in the product
designation. The product characteristics need to be verified to meet the critical characteristics of the
product to be procured.

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Survey No.: N/A

B.4
Describe any methods (e.g. CGI surveys, source verifications, material verification, receipt inspection) this supplier uses to control
critical characteristics of items, material, and/or services provided by sub-tier suppliers.
How is equipment calibrated? Equipment is calibrated according to scheduled controls for QC operations
Controls of incoming materials are acceptable. Any variations in raw materials would be addressed during
processing in order to develop the requirements and maintain the needed chemical reaction.
Materials are generally accepted based upon a review of the certificate of conformance upon receipt.
Suppliers have a history of supplying acceptable material. Alternate suppliers can be used in cases of
any problems, however, this is an infrequent occurrence.

B.5
Are there satellite manufacturing locations associated with this supplier? If yes, describe the controls this facility has over the piece/parts
that are obtained from the satellite location? (i.e., Controls through receipt inspection, testing, and/or internal audits?) NA
N/A

B.6
Are items drop shipped from satellite or sub-tier locations? If yes, explain. NA
N/A

B.7
Describe the controls the supplier implements to maintain lot/material identification throughout manufacturing operations.
Describe manufacturing process(a)
Describe how the supplier defines "lot" or "batch" control.
(b)
Identify any unique coding system or practices used by the supplier to identify lots/batches.
Plantelligence data management system is used to issue batch numbers. A 10# bag of material is
collected and used for the test sample.
This facility runs a continuous production flow. Material is collected upon final into a 400,000 lb batch
blender. There is internal agitation to ensure that batches are homogeneous. Pellets are identified by the
time of sample collection and given a control number to identify the material collection. Lot traceability is
traced to the time of railcar loading.
Identification by this number is provided and used for certification processes. Railcars are identifiable as
to the lot#, time of fill, and production final testing information.

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Survey No.: N/A

B.8
If applicable to the product, describe the cure data/shelf life control processes that affect critical characteristics.
N/A
There are no shelf life items associated with the raw materials for the product. For finished product,
polyethylene pellets have a 1 year shelf life due to discoloration, however, the material properties are
stable and would not be affected by any reasonable age limitations.

B.9
Describe the controls the supplier implements for handling, storage and shipping.
Doc # 50P-05 Hopper Car Inspection and Cleaning; Approved by Bruce Norton
Procedures are focused on the preparation of railcars for loading. This includes the cleaning of cars and
inspection to ensure that no foreign objects are present and only acceptable materials are provided to the
customer. This includes controls such as protection from debris.

B.10
Describe the manufacturing/ special processes that affect the critical characteristics. Include a description of applicable procedure,
equipment and personnel certifications.
Product formulations are defined that include process parameters for achieving the critical characteristics.
This includes the reactor recipe that provides directions for process settings such as
temperature/pressure, control limits, ratios, materials, and properties that are acceptable in resulting
product.

B.11
Describe inspections (receipt, in-process and/or final) and tests performed which verify critical characteristics. If sampling is used,
describe the sampling plan used and its technical basis.
There are defined checks, tests, inspection and other verification activities that are performed during the
production process and upon completion of materials.
These are defined in Document Number 1200, Rev 10, 02/10/10. This document provides information for
the collection frequency of samples, reactor line, samples, and retention times.
Blended lots are creating through the manufacturing output. Pellets are placed into hopper that can hold
approximately 400k lb of product (4 rail cars). Constant physical mixing of the product ensures that
pellets are homogeneously distributed throughout the batch.
Samples include requirements for obtaining samples from blended lots for testing of final product. This
includes test and results for certifying materials meet the critical requirements.

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Survey No.: N/A

B.12
Verify that the suppliers M&TE controls include provision for the following:
(a)
Labeling/identification of M&TE?
(b)
Calibration of M&TE and standards at periodic intervals?
(c)
Environmental conditions?
(d)
Adequacy of standards to assure accuracy, stability, range, and resolution required for their intended use?
(e)
Standards used traceable to recognized standards?
(f)
As Found/As Left information documented?
(g)
Evaluations of items tested/inspected by out-of-tolerance nonconforming M&TE?
A MATLAB number is used for identification of the equipment. All equipment is calibrated on a periodic
basis by an accredited source.
Reviewed measuring and test equipment used for the tests and/or inspections to be performed.
A review of this equipment is listed on pages 3 and 4 and provides identification and due dates.
Intervals are appropriate for the equipment listed. Most equipment was well maintained and in laboratory
conditions justifying a 1 year calibration interval.
The observed accuracies were appropriate for the measurements being taken.
The calibration certificates contained as-found/as-left condition of the equipment.
There were no items observed as being found out-of-tolerance. Equistar has a recall policy for material
found that does not meet requirements.
An external, A2LA accredited calibration source is being used for the calibration of equipment
Allometrics. This facility has the ability to calibrate all the observed equipment with a level of accuracy
appropriate to the measurements being taken. Allometrics maintains a scope of accreditation that
includes all the equipment that was observed as being calibrated. Reports issued by Allometrics include
all the required information and traceability to national standards.

B.13
Describe the documented quality control program (instructions, procedures, and drawings, as applicable) and the program basis? (ISO,
MIL STD, ANSI)
The quality control system is well documented. There is a quality manual that is written to consistent with
the requirements of ISO 9001. The company is certified to ISO 9001 by ABS, a recognized registrar.

B.14
Describe the suppliers controls to assure that sufficient records are available to furnish evidence of activities affecting quality.
There is a LIMS system that maintains laboratory data. Additional data is kept regarding lot traceability
and materials used.
Area of Concern: Records that verify QC data for the critical characteristics are maintained for 5 years.
The records retention period does not meet requirements.

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Survey No.: N/A

B.15
Describe the controls the supplier implements over contract review of a customers P.O./Contract.
a.
When multiple supplier manufacturing facilities are involved, are the P.O./Contract requirements being completely and correctly
transmitted?
b.
If a distributor is involved between the utility and this supplier, are the P.O./Contract requirements being completely and correctly
transmitted from the distributor to the supplier?
No special requirements are being requested from Equistar. The customer service center receives the
purchase orders from customers. Orders are entered as to the catalog number and quantity.

B.16
Describe the controls the supplier implements over the certification process (C of C and/or CMTR) for the products supplied.
NOTE: Compliance to utility P.O./Contract requirements should be documented on the certification.
Equistar issues a Certificate of Analysis with each shipment. The Certificate of Analysis contains
information regarding the batch and data for each of the critical characteristics identified.
This meets the requirements of Table IV-141(b)2. Supporting information and full test results may be
obtained if requested from Equistar.

B.17
Describe the controls the supplier implements to identify, document, disposition (accept, reject, repair or rework), and segregate
nonconforming items to prevent unauthorized use or shipment.
Control of Nonconforming Product

Material is identified after the final testing of the batch is done. Materials are graded to the appropriate
levels depending upon the quality levels established.

B.18
Review manufacturer/supplier/distributor returned goods or returned material authorization logs for significant recurring issues
requiring products to be returned for evaluation. Look for any products with a high number of returns, and/or comments indicating
generic problems or manufacturing defects. Document any such issues and the actions taken or being taken by the supplier to
address the issue(s).
NOTE: Isolated returns do not necessarily indicate that a problem exists.
Equistar has a customer service method that identifies and resolves any quality issues.
Quality complaints are logged and tracked until resolution. There have not been any occurrences of
nonconforming items being shipped to customers.

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Survey No.: N/A

B.19
Describe the suppliers indoctrination and training program for personnel performing activities affecting quality (welding, NDE, tests and
inspections, etc.).
Reviewed employee training records for process operators, inspection/test personnel, and management
positions.
Marsha Lambert, Velva Johnson, Luan Tran, Donny Jordy, Cassandra Cohea, Noel Orr
Additionally, performance of testing operations are monitored by the use of quality checks for all the
processes observed.
This generally includes the used of retained artifacts run periodically with data maintained and
statistically analyzed in order to ensure process controls are adequate in obtaining repeatable and
reproducible results.

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Survey No.: N/A
SECTION C - TECHNICAL SPECIALIST EVALUATION

C.1
Evaluate the adequacy of design/configuration controls relative to the identified critical characteristics.
Reference Checklist Items B.1 through B.3.
The system addresses all critical characteristics as defined adequately.

The material specifications provide information regarding the qualities of the materials being produced.
This material has been used for years and the processes used for producing material with these
published properties is defined with historical data on maintaining processes in a controlled manner.
The critical characteristics are all included as part of the material specifications and the material
specifications are all controlled by the inspection plan which calls out the required tests and
frequencies to be performed. (Doc 1200 Rev 10 and ZQRINSP1)

C.2
Evaluate the adequacy of inspection/testing/process controls the supplier performs during receipt, manufacturing and final product
acceptance with regard to identified critical characteristics, including the use of specified acceptance criteria.
Reference Figure A Items and Checklist Items B.10 and B.11
The is a very defined testing sequence for finished product. This is performed on a sample that has
been positively identified and placed into a railcar to avoid any possibility of misidentification. The
quality control test that are performed include those listed on figures B.10 and B.11 and address the
critical characteristics of melt flow rate, density, and tensile strength.

C.3
Evaluate the overall adequacy of the suppliers controls and acceptance criteria applicable to the identified critical characteristics.
Lead Auditor: Daryl Montie
The suppliers controls include testing of each batch for the consistency and compliance with stated
requirements for the critical characteristics identified. Controls for testing ensure accurate and suitable
testing is performed.
Date: 6/11/10

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COMMERCIAL GRADE ITEM SURVEY CHECKLIST

Supplier: Equistar Chemicals, LP

TELEPHONE NUMBER: N/A

FAX NUMBER: N/A

PRODUCT/SERVICE: Polyethylene Resin Alathon L4904

COMPANY WEB ADDRESS:

SENIOR COMPANY OFFICER: Dan Hausenga

TITLE: Operations Manager

SENIOR QA OFFICER: Everett Lewis

SURVEY DATES: 5/12/10

NUPIC SURVEY ID NO.: N/A

LEAD UTILITY: N/A

SUPPLIERS PROGRAM DOCUMENT(S):

SURVEY TEAM INFORMATION

SURVEY TEAM LEADER:

COMMERCIAL GRADE ITEM SURVEY CHECKLIST

Supplier: Equistar Chemicals, LP

CRITICAL CHARACTERISTICS WORKSHEET # 1

Melt Flow Rate

Melt flow between 6 and 8.5 grams per 10

Density 0.949 to 0.955

Greater than 3500 psi

Slow Crack Growth, PENT

Minimum of 500 hours; will increase to 2000

100% of batches, Homogeneity

Positive Material Batch Control

(Explain any No responses)

COMMERCIAL GRADE ITEM SURVEY CHECKLIST

Supplier: Equistar Chemicals, LP

SECTION A CRITICAL CHARACTERISTICS VERIFICATION

Melt Flow Rate

MAT 120 Rev.

ID NUMBER OF M&TE USED

Dynisco Melt Flow Indexer #13

Pin Gage (go/nogo)

MAT 127 R.11

Density Beads Column #3

Density Press #4 Wabash MP

COMMERCIAL GRADE ITEM SURVEY CHECKLIST

Supplier: Equistar Chemicals, LP

MAT 266 Rev.2

Instron Tensile Tester

MAT 263. R.2

Perkin Elmer DSC-6

Caliper, Mitutoyo 0-6

Instron, Pent 12 Station

COMMERCIAL GRADE ITEM SURVEY CHECKLIST

Supplier: Equistar Chemicals, LP

SECTION B SUPPORTING SURVEY INFORMATION

COMMERCIAL GRADE QUALITY CONTROLS

COMMERCIAL GRADE QUALITY CONTROLS

COMMERCIAL GRADE QUALITY CONTROLS

Do changes in design/product parameters or component parts result in a part number change?

COMMERCIAL GRADE ITEM SURVEY CHECKLIST

Supplier: Equistar Chemicals, LP

COMMERCIAL GRADE QUALITY CONTROLS

COMMERCIAL GRADE QUALITY CONTROLS

COMMERCIAL GRADE QUALITY CONTROLS

COMMERCIAL GRADE QUALITY CONTROLS

Describe how the supplier defines "lot" or "batch" control.

COMMERCIAL GRADE ITEM SURVEY CHECKLIST

Supplier: Equistar Chemicals, LP

COMMERCIAL GRADE QUALITY CONTROLS

COMMERCIAL GRADE QUALITY CONTROLS