ASMEBOILER&PRESSUREVESSEL

ACCREDITATION

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)

A1.202/09(1/11)

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.

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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.

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QUALITYSYSTEMREVIEWCHECKLIST

Item
No.

2.

3.

4.

QualityElementand
Subelements

(c)

InthecasewheretheQCManualexistsinmorethanonelanguage,atleastone
versionisinEnglishandidentifiedastheauthoritativeversion.

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:

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QUALITYSYSTEMREVIEWCHECKLIST

Item
No.

5.

QualityElementand
Subelements

(3)

[ApplicabletoU2andU3only]
useoftheusersCertifiedDesignSpecificationincludingauthorizedchanges;

(4)

[ApplicabletoU2andU3only]
providingtheManufacturersCertifiedDesignReportincludingauthorized
changes;

(5)

[ApplicabletoU2andU3only]
certificationofDesignSpecificationandDesignReportbyanengineermeeting
thecriteriadefinedinSectionVIIIDiv.2orDiv.3asapplicable;and

(6)

[ApplicabletoV,HV,UD,UV,UV3,TDandTVonly]
newcapacitycertificationtestsareconductedwhenchangesindesignare
madewhichaffectflowpath,liftorperformancecharacteristics.

(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.

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QUALITYSYSTEMREVIEWCHECKLIST

Item
No.

6.

QualityElementand
Subelements

(i)

Measuresareestablishedtoassurethepropermarking,handlingandstorageof
materials.

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.

(2)

Suchchecklists,processsheets,travelers,etc,aremadeavailabletothe
Inspectorpriortothestartoffabrication.

(3)

[ApplicabletoRPOnly]
Abasicproductionflowdiagramexistsandincludesinplantinspectionand
checkoffpointsandmeansofrecordingthesame.

(b)

(c)

(d)

(e)

(f)

(g)

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.

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QUALITYSYSTEMREVIEWCHECKLIST

Item
No.

7.

QualityElementand
Subelements

(h)

(i)

QCManual
References

Measuresareestablishedtocontrolfieldactivities,whenapplicable.
[ForoperationsunderUG90(c)(2),HG515.4(b)orTS200.7]
DocumentedproceduresexistandareacceptedbytheAuthorizedInspectionAgency
(AIA),JurisdictionalAuthority,andASMEDesignee.

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:

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QUALITYSYSTEMREVIEWCHECKLIST

Item
No.

10.

11.

12.

QualityElementand
Subelements

(1)

NDEpersonnelarequalifiedinaccordancewiththeapplicableCodeSection
requirement;

(2)

NDE(UT,MTandPT)examinationsareperformedinaccordancewithwritten
procedureswhenrequired;

(3)

theAI[orarepresentativefromanASMEDesignatedOrganizationforV,HV,
UD,UV,UV3,TDandTV]canrequirerequalificationofanNDEexamination
orprocedureforcause;

(4)

UTreportsandRTfilms,asapplicable,areretainedinaccordancewiththe
applicableCoderequirement

(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.

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QUALITYSYSTEMREVIEWCHECKLIST

Item
No.

QualityElementand
Subelements

13.

14.

15.

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.

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