ASMEBOILER&PRESSUREVESSEL ACCREDITATION

A1.202/09(1/11)

GUIDE FOR ASMEREVIEWTEAMS FOR REVIEWOFAPPLICANTS FOR ASMECERTIFICATESOFAUTHORIZATION (A,M,PP,S,E,V,HV,H,HLW,H(CastIron),UD,UV,UV3,U,UM,U2,U3,RP,T,TD,TV)

TheAmericanSocietyofMechanicalEngineers ThreeParkAvenue NewYork,NY10016

INTRODUCTION
This Guide is prepared for the use of ASME Review Teams. It is not intended to replace or interpret the requirementsoftheASMEBoilerandPressureVesselCode(B&PVC). Inaddition,toassisttheASMEReviewTeam,thisGuidewillbeprovidedtoApplicantsforASMECertificates ofAuthorizationfortheiruseincrossreferencingtheparagraphsintheirQualityControl(QC)Manualwith theapplicablecontrolrequirementsoftheCode. ThisGuideisbasedonSectionI,SectionIV,SectionsVIIIDivisions1,2and3,SectionX,andSectionXIIofthe B&PVC. The Guide is subject to revision based on changes made in the aforementioned Sections in the B&PVC. A Review must cover a QC Manual and its implementation. It is recognized that the scope of work, QC Manual, and Manual implementation will vary from Applicant to Applicant. Therefore, the ASME Review TeamsareadvisedthatallaspectsofthisGuidemaynotapplyandthatthisGuidemaynotoutlineallpossible aspectsofeachReview.TheManualneednotfollowtheformatofthisGuide. Questions of possible need for Code interpretation raised by Review Teams shall be submitted to the ASME Director,AccreditationandCertification.WhenarequestforaninterpretationistobesubmittedbyanApplicant, theTeamLeadershalladvisetheApplicantthatallsuchinquiriesmustbesubmittedtotheSecretary,Boilerand PressureVesselCommittee,andthatacopyoftheinquiryandreplyshouldbeprovidedbytheinquirertothe ApplicantsAuthorizedInspectionAgencyandcognizantJurisdiction,ifappropriate. SuggestionsforrevisionsorclarificationtothisGuideshouldbedirectedtotheASMEDirector,Accreditation andCertification. A1.202/09(2/11)

REVIEWDEMONSTRATION ThepurposeoftheReviewDemonstrationistoevaluatetheApplicantsQualityControlSystem(QCS)andits implementation.ForevaluationoftheQCS,theApplicantmustdemonstratetocurrentCoderulessufficient administrative and fabrication functions of the QCS to show that they have the knowledge and ability to producetheCodeitemscoveredbytheQCS.Fabricationfunctionsmaybedemonstratedusingcurrentwork, amockup,oracombinationofthetwo. WhiletheApplicantmustaddresseachelementoftheQCSintheCode,theApplicantneedonlydemonstrate thoseelementswithintheintendedscopeofactivitiesthatapplytotheirprogram. DemonstrationItem 1 :AnApplicant 2 forasingleCodeSymbolStampmustdemonstrateonanitemthatwill befabricatedfortherequestedtypeofCodeSymbol. For Applicants requesting multiple stamps, it is not necessary to have a demonstration item with design calculationsforeachCodeSection.AnitemfabricatedtoanyoneoftherequestedCodeSymbolsmaybeused as the demonstration item. However, if the demonstration item is not to the most stringent Code requirements, the Applicant must provide additional calculations or another documentation package that contains Code calculations to the most stringent Code requirements and administrative documentation to sufficientlydemonstratecompliancewithallaspectsofthecompanysQCS. For example, an Applicant for U & U2 Code Stamps could demonstrate their QCS on a Section VIII, Div. 1 pressurevesselincludingdesign.However,duetothenatureofSectionVIII,Div.2requirements,certification ofadesignreportbyanEngineermeetingthecriteriaasdefinedinSectionVIIIDiv.2shallbeverified. If computer calculations are to beused, the Applicant shall demonstrate that thecomputer program hasthe capabilityofproducingacceptablecalculations. IfthedemonstrationitemisbaseduponcurrentworkthatisbeingfabricatedtoapreviousCodeedition,the ApplicantshalladdresschangesintheCodethatwouldrequiredifferentactionsinthedemonstrationstobein compliancewiththecurrentCode.

1 2

ThedemonstrationitemshallbebasedonthelatestCodeEdition/Addendaineffectatthetimeofthereview. ThisdoesnotapplytoanEngineeringContractorunderSectionI.ForanEngineeringContractorOrganizationunderSectionI, withoutafabricatingfacility,aphysicaldemonstrationitemisnotrequired.However,adesignspecificationmustbeprovidedas wellasadditionaladministrativefunctionstodemonstratecompliancewiththeorganizationsQCS.

A1.202/09(3/11)

QUALITYSYSTEMREVIEWCHECKLIST Item No. 1. QualityElementand Subelements GENERALQUALITYCONTROLSYSTEMREQUIREMENTS (a) QCSystemisdocumentedindetailinaQCManualthataddressesallrequirements oftheapplicableCodeSectionandincludes: (1) acoversheetthatcontainsthecompanynameandphysicaladdressasitwill appearontherequestedCertificateofAuthorization; Note:ThecoversheetmayalsocontaintheeffectivedateoftheQCManual,mailing address,phonenumberorotherinformationdesiredbytheCertificateHolderor Applicant. (2) abriefdescriptionoftheproductsbeingfabricatedand/orworkbeing accomplishedundertheCodeincludingapplicabilityofQCSystemtoshop activities,fieldactivitiesorboth; (3) controlfeaturestodemonstrateCodecompliance; (4) Manualrevisioncontrolsystem; (5) provisionforreviewandapprovalofQCManualtomaintainitcurrent; (6) provisionforsubmittalofQCManualrevisionstotheAuthorizedInspector (AI)(ASMEDesigneeforH(CastIron),TClass3,orASMEDesignated OrganizationforV,HVUD,UV,UV3,TDandTV)foracceptancepriorto implementationincludingtimelyupdatingofallcopiestoreflectaccepted revisions; (7) provisionforthecustodyandcontroloftheCodeSymbolStampstoprevent lossorunauthorizeduse;and (b) WhenthepurchaserrequestsanotherAIA(SecondaryAIA)toperforminspections onitsprojectsorCodejobs,orwhenevertheAIAofRecordcannotprovidecoverage forinspectionsataspecificfieldsite,thefollowingshallbeincludedintheQC Manual: (1) DescriptionofhowdifferentAIAswillperformactivitiesundertheir Certificate(s)ofAuthorization; (2) provisionsforassurancethattheCertificateHolderhasacontractor agreementwiththeAIAperformingtheshop/fieldactivities; (3) provisionsforevidencethatthisprogramhasbeenacceptedbytheAIAof Record. Note: TheprovisionsfortheuseofanAIAotherthantheAIAofRecordisnotintendedfor usebyashopworkingMultipleDuplicates. QCManual References

A1.202/09(4/11)

QUALITYSYSTEMREVIEWCHECKLIST Item No. 2. 3. 4. (c) QualityElementand Subelements InthecasewheretheQCManualexistsinmorethanonelanguage,atleastone versionisinEnglishandidentifiedastheauthoritativeversion. QCManual References

Note: Aglossaryoftermsisdesirablefromthestandpointofclarityifabbreviatedtitlesof personnelandcontroldocumentsareusedthroughouttheQCManual.This, however,isnotmandatory. AUTHORITYANDRESPONSIBILITY (a) TheauthorityandresponsibilityforQCbymanagementisdocumented. Note: Inpractice,aStatementofPolicyandAuthoritymustbesignedbyaseniorcompany officialresponsibleforCodeactivities(e.g.,President,VicePresident,PlantManager, etc.). (b) TheauthorityandresponsibilityofthoseinchargeoftheQCSystemareclearly establishedanddocumented. (c) PersonsperformingQCfunctionshavesufficientandwelldefinedresponsibility,the authority,andtheorganizationalfreedomtoidentifyqualitycontrolproblemsandto initiate,recommendandprovidesolutions. ORGANIZATION (a) Anorganizationchartshowingtherelationshipbetweenmanagementand engineering,purchasing,manufacturing,production,fieldassembling,field construction,inspectionandqualitycontrol,asapplicable,existsandreflectsthe actualorganization. Note: Thepurposeofthischartistoidentifyandassociatethevariousorganizationalgroups withtheparticularfunctionforwhichtheyareresponsible.TheCodedoesnotintend to encroach on the Certificate Holders right to establish and, from time to time, alter whatever form of organization the Certificate Holder considers appropriate for their Codework. DRAWING,DESIGNCALCULATIONS,ANDSPECIFICATIONCONTROL (a) Proceduresexistwhichassurethatthelatestapplicabledrawings,design calculations,specificationsandinstructions,requiredbytheCode,aswellas authorizedchanges,areusedformanufacture,assembly,examination,inspectionand testing.Proceduresincludeprovisionfor (1) reviewofcustomersupplieddocumentsforCodecompliance; (2) thepreparation,review,approvalanddistributionofdrawings,calculations, andspecifications:

A1.202/09(5/11)

QUALITYSYSTEMREVIEWCHECKLIST Item No. 5. (3) (4) QualityElementand Subelements [ApplicabletoU2andU3only] useoftheusersCertifiedDesignSpecificationincludingauthorizedchanges; [ApplicabletoU2andU3only] providingtheManufacturersCertifiedDesignReportincludingauthorized changes; [ApplicabletoU2andU3only] certificationofDesignSpecificationandDesignReportbyanengineermeeting thecriteriadefinedinSectionVIIIDiv.2orDiv.3asapplicable;and [ApplicabletoV,HV,UD,UV,UV3,TDandTVonly] newcapacitycertificationtestsareconductedwhenchangesindesignare madewhichaffectflowpath,liftorperformancecharacteristics. QCManual References

(5)

(6)

(7) [ApplicabletoTClass3only],provisionsforDesignCertifiedEngineer. MATERIALCONTROL (a) Proceduresformaterialcontrolexisttoassurethatthematerialreceivedisproperly identifiedandhasdocumentation,including,asapplicable,requiredmaterial certificationsormaterialtestreports,tosatisfyCoderequirementsasordered. (b) ThematerialcontrolsystemassuresthatonlytheintendedmaterialisusedinCode construction.ForSectionXIIonly,materialshallsatisfytheapplicablemodel appendicesrequirements. (c) Ifsubstitutionofmaterialsisallowed,theapplicableproceduresforcontrolofthis activityaredocumented,includingdesignationoftheindividualauthorizedto approvesubstitutions. (d) Thetitleoftheindividualresponsibleforidentifyingtheneedformaterialtest reportsorcertificateofcomplianceisdesignated. (e) ThetitleoftheindividualresponsibleforperformingareceivinginspectionofCode materialsisdesignated. (f) Informationtobeprovidedtothereceivinginspectorconcerningthecharacteristicsto becheckedisdocumented. (g) Aprocedureexistsforhandlingmaterialsthatarefoundtobenonconformingat receivinginspection. (h) Iffurthermaterialtestingisrequiredtobeperformedatreceivinginspectionor duringmanufacturingoperations,theapplicableproceduresforcontrolofthis activityaredocumented.

A1.202/09(6/11)

QUALITYSYSTEMREVIEWCHECKLIST Item No. 6. (i) QualityElementand Subelements Measuresareestablishedtoassurethepropermarking,handlingandstorageof materials. QCManual References

EXAMINATIONANDINSPECTIONPROGRAM (a) Fabricationoperations,includingexaminationsandburstingtestprocedures(forH CastIron)aredescribedinsufficientdetailtopermittheAI(ortheCertificateHolder inthecaseofH(CastIron),V,HVUD,UV,UV3,TDandTV)todetermineatwhat stagesspecificinspectionsaretobeperformed.Specifically: (1) Provisionsfortheuseofchecklists,processsheets,travelers,etc.,forlistingof examinationsandteststobeperformedandfordesignationofinspection points. Suchchecklists,processsheets,travelers,etc,aremadeavailabletothe Inspectorpriortothestartoffabrication. [ApplicabletoRPOnly] Abasicproductionflowdiagramexistsandincludesinplantinspectionand checkoffpointsandmeansofrecordingthesame.

(b) (c) (d) (e) (f)

(2)

(3)

Materialtestreportsorcertificatesofcompliance,examinationreports,testrecords, andotherfabricationrecordsareavailabletotheInspector. Measuresprovidefortransferringmarkingstoassuretraceabilityismaintained. (1) Ifacodedmarkingsystemisused,itisdocumentedandacceptabletothe Inspector.

MeasuresassurethattheInspectorisinformedofapproachinginspectionpoints. [NotapplicabletoH(CastIron),TClass3,V,HV,UD,UV,UV3,TDandTV] AIconcurrenceisobtainedforrepairstomaterial. [NotapplicabletoH(CastIron),TClass3,V,HV,UD,UV,UV3,TDandTV] Measuresareestablishedtoassurethatafinalinspectionisperformedtoassureall specifiedrequirementshavebeenmetpriortoobtainingAIsconcurrencefor applicationoftheCodeSymbolStamp. [NotapplicabletoV,HV,UD,UVandUV3] Measuresareestablishedtoprovideforthepreparation,certification,and distributionoftheapplicableDataReports.

(g)

A1.202/09(7/11)

QUALITYSYSTEMREVIEWCHECKLIST Item No. 7. (h) (i) QualityElementand Subelements Measuresareestablishedtocontrolfieldactivities,whenapplicable. [ForoperationsunderUG90(c)(2),HG515.4(b)orTS200.7] DocumentedproceduresexistandareacceptedbytheAuthorizedInspectionAgency (AIA),JurisdictionalAuthority,andASMEDesignee. QCManual References

Note:ProceduresshouldfullydescribeAIcoverageofASMECodeworkonallshifts.Also, percentageofAItimespentinspectingvesselsorboilersthatmaynotqualifyfor handlingunderUG90(c)(2),HG515.4(b)orTS200.7shouldbeaddressed. (j) [ApplicabletoH(CastIron)only] Examinationandinspectionofeachboilerorboilerpartshallbeincompliancewith Article2ofPartHC. (k) [ApplicabletoH(CastIron)only] HydrostatictestsareconductedasrequiredinHC410,andtherearemeansof identifyingacceptableboilersectionsorparts. (l) [ApplicabletoRPonly] (1) Resinmixingproceduresarespecified. (2) Measuresareestablishedcoveringstorage,issuance,handling,anddisposalor resins,catalysts,fillersandpigments. (m) [ApplicabletoRPonly] (1) Proceduresexistcovering (i)assemblyandfitupofthepressurevesselandparts;and (ii)adhesivebondingofcomponents. (n) [ApplicabletoV,HV,UD,UV,UV3,TDandTVonly] ProvisionsexistfortestingpressurereliefdevicesasdescribedinPG73.4,HG401.4 andUG136(d),UG137(d),KR340,TR210.4andTR310.5. CORRECTIONOFNONCONFORMITIES (a) Aprocedureexistsforthecorrectionofnonconformities.WhereAIinvolvementis requiredbytheCode,theprocedureisagreeduponwiththeAI.Theprocedure providesfor (1) identifyingthoseresponsiblefortheresolutionofnonconformities;

A1.202/09(8/11)

QUALITYSYSTEMREVIEWCHECKLIST Item No. 8. 9. QualityElementand Subelements (2) identifyingandcontrollingfurtherprocessingofnonconformingitemsuntil finaldisposition; (3) documentingthenonconformanceanditsdisposition;and (4) [NotapplicabletoH(CastIron),TClass3,V,HV,UD,UV,UV3,TDandTV] informingtheAIofnonconformingconditions. Note: Anonconformityisanyconditionwhichdoesnotcomplywiththeapplicablerulesof theCode,QCManualorotherspecifiedrequirements.Nonconformitiesmustbe correctedbeforethecompletedcomponentcanbeconsideredtocomplywiththe Code. WELDING[NotapplicabletoH(CastIron)orRP] (a) WeldingconformstorequirementsofSectionIXandotherSectionsoftheCode,as applicabletothescopeofwork. (b) ThoseresponsibleforcertifyingPQRsandWPQsareidentified. (c) WPSsareavailabletothewelderintheworkarea. (d) MeasuresassurecontinuedwelderqualificationinaccordancewithSectionIX. (e) Thoseresponsibleforassuringthatonlyqualifiedweldersareassignedtoperform Codeweldingareidentified. (f) Measuresprovideforthestorageandconditioning,asrequired,ofcovered electrodes. (g) Measuresareestablishedforthecontrol,issuanceandreturnofweldingmaterialto assurepropermaterialsareused. (h) Measuresareestablishedforremovingorinspectingtackwelds. (i) MeasuresprovidefortherightoftheAI[orASMEDesignatedOrganizationforV, HV,UD,UV,UV3,TDandTV]torequirerequalificationofawelderorprocedurefor cause. (j) Measuresprovideforasystemtoidentifyworkcompletedbyeachwelder. NONDESTRUCTIVEEXAMINATION[NotapplicabletoH(CastIron)orRP] (a) ProvisionsexistforidentifyingtheappropriateNDEproceduresapplicabletothe scopeofCodework.Theseprovisionsassurethat: QCManual References

A1.202/09(9/11)

QUALITYSYSTEMREVIEWCHECKLIST Item No. 10. 11. 12. (1) QualityElementand Subelements NDEpersonnelarequalifiedinaccordancewiththeapplicableCodeSection requirement; NDE(UT,MTandPT)examinationsareperformedinaccordancewithwritten procedureswhenrequired; theAI[orarepresentativefromanASMEDesignatedOrganizationforV,HV, UD,UV,UV3,TDandTV]canrequirerequalificationofanNDEexamination orprocedureforcause; UTreportsandRTfilms,asapplicable,areretainedinaccordancewiththe applicableCoderequirement QCManual References

(2)

(3)

(4)

(5) NDEequipmentiscalibrated. HEATTREATMENT [NotapplicabletoH(CastIron)orRP] (a) ControlsprovidedtoassurethatheattreatmentasrequiredbytheCodeforthescope ofCodeworkisapplied. (b) Measuresareestablishedtoassureproperplacementofthermocouplesanduseof charts. (c) Whenheattreatmentissubcontracted,measuresareestablishedtoassurethat proceduresarefollowedandthatheattreatmentchartsareprovided. (d) MeansareprovidedfortheAI[orarepresentativefromanASMEDesignated OrganizationforV,HV,UD,UV,UV3,TDandTV]tosatisfythemthatCodeheat treatmentrequirementsaremet,(e.g.,reviewoffurnacetimetemperaturerecordsor othermethodsasappropriate). CALIBRATIONOFMEASUREMENTANDTESTEQUIPMENT (a) Aprocedureexistsforthecalibrationofexamination,measuringandtestequipment usedinfulfillmentofapplicableCoderequirements. (b) Measuresareestablishedthatassurecalibrationrecordsaremaintainedandthat statusindicatorsareusedtoindicatethecurrentcalibrationstatusofequipment. RECORDSRETENTION (a) ProceduresexistforthemaintenanceofManufacturersDataReports,radiographs andrecordsasrequiredbytheapplicableSectionoftheCode.

A1.202/09(10/11)

QUALITYSYSTEMREVIEWCHECKLIST Item No. 13. 14. 15. QualityElementand Subelements SAMPLEFORMS (a) FormsusedtocontrolfunctionsrelativetoqualityareincludedwithintheQC ManualandtheiruseexplainedinthetextoftheQCManual. AUTHORIZEDINSPECTOR[NotapplicabletoH(CastIron),TClass3,V,HV,UD,UV, UV3,TDandTV] (a) AninspectionagreementisestablishedwithanASMEaccreditedAuthorized InspectionAgency. Note: ForSectionXIIClass2thiscouldbeaqualifiedinspector. (b) AcontrolledcopyoftheQCManualisavailabletotheAIattheplantorconstruction sitewhereCodeactivitiesarebeingcarriedout. (c) TheAIhasaccesstoalldrawings,calculations,specifications,procedures,process sheets,repairprocedures,records,testresults,andanyotherdocumentsasnecessary fortheAItoperformtheirduties. (d) ProvisionsexistforprovidingaliaisonbetweentheAIandthe Manufacturer/Installer. (e) ProvisionsexistforfreeaccessfortheAIandtheInspectionSupervisortoallareas involvingCodeactivities. (f) ProvisionsexisttoassurethatallCoderequiredinspectionsbytheAIareperformed. ASMEDESIGNEE[ApplicabletoH(CastIron),V,HV,UD,UV,UV3,TDandTVonly] (a) AcontrolledcopyoftheQCManualisavailabletotheASMEDesigneeorASME DesignatedOrganization,asapplicable. (b) TheASMEDesigneeorrepresentativefromanASMEDesignatedOrganizationhas accesstoalldrawings,calculations,specifications,procedures,processsheets,repair procedures,records,testresults,andanyotherdocumentsasnecessaryfortheASME DesigneetoperformthereviewinaccordancewiththeCode. (c) [ApplicabletoV,HV,UD,UV,UV3,TDandTVonly] ProvisionsexistfortheinspectionofpressurereliefvalvesasdescribedinPG73.3, HG401.3,UG136(c),UG137(c),KR330,TR210.3andTR310.4. QCManual References

A1.202/09(11/11)