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CHAPTER

5
5.1 INTRODUCTION
This chapter describes the general requirements of Section III
applicable to all Classes of construction, including steel vessels,
piping, pumps, and valves, as well as concrete structures. It iden-
tifies how to classify components and describes how the jurisdic-
tional boundaries of Section III define what is within and outside
the scope of the Code. Use of Code Editions and Addenda and
Code Cases is explained. The requirements for Design Basis,
Design and Construction Specifications, and Design Reports are
described. Furthermore, the chapter addresses the responsibilities
and Quality Assurance Program requirements of the different enti-
ties involved in constructing a nuclear power plant, from the man-
ufacturer of materials to the Owner. Requirements for ASME
accreditation, application of the ASME Code Symbol Stamp, and
use of Code Data Reports are also described.
The discussion is presented in the following sequence:
(1) Introduction
(2) Scope
(3) Exemptions
(4) Component Classification
(5) Load Combinations
(6) Responsibilities
(7) Certificate of Authorization Holders
(8) Quality System Certificate Holders
(9) Design Specifications
(10) Design Reports
(11) Quality Assurance Programs
(12) Code Symbol Stamping
(13) Data Reports
Subsection NCA provides general requirements for both
Divisions 1 and 2 of Section III.
5.2 ARTICLE NCA-1000 SCOPE
OF SECTION III
NCA-1110 Scope
This paragraph defines the scope of Section III, which at this
time includes three divisions. Division 1 includes steel items such
as vessels, storage tanks, piping systems, pumps, valves, core sup-
port structures, and supports, for use at commercial nuclear power
plants. Division 2 includes concrete containment vessels. Division 3
includes spent-fuel storage canisters and spent-fuel transportation
containment vessels and their construction. The Scope Sub- sub-
article refers the user to Section XI for inservice inspection of all
items covered by Section III, Divisions 1 and 2. At this time, there
are no inservice inspection requirements for storage or transpor-
tation canisters for spent nuclear fuel, nor is there any plan to de-
velop such requirements, as they are believed to be unnecessary.
NCA-1120 Definitions
Definitions are provided in NCA-9000 for key terms used in
Subsection NCA.
NCA-1130 Limits of These Rules
The requirements of Section III are specifically limited to new
construction. These requirements include consideration of
mechanical and thermal stresses due to both cyclical and dynamic
operation. They do not, however, provide specific requirements for
service-induced deterioration from conditions such as radiation,
corrosion, erosion, or instability of the material. Nonmandatory
Appendix W, Environmental Effects on Components, is referenced
for guidance in evaluating environmental effects on materials.
These sorts of effects are meant to be considered in the basic
design of the equipment, with a view toward creating equipment
that has an adequate life when subjected to service conditions.
Because the properties of materials may be affected by neutron
radiation, extra sample materials are normally included in the
reactor vessel to provide the capability for monitoring properties
during service. Neither Section III nor Section XI includes specific
requirements for such surveillance coupons.
The requirements of Section III, Division 2 cover new con-
struction of concrete containment vessels. These requirements
apply only to components that are intended to provide a pressure-
retaining or pressure-containing barrier. They are not applicable
to other concrete structures in the plant, such as concrete shield-
ing or structural concrete that supports piping, pumps, valves, and
vessels.
SUBSECTION NCA—
GENERAL REQUIREMENTS FOR
DIVISION 1 AND DIVISION 2
Richard W. Swayne
5-2 • Chapter 5
The scope of Section III does not include valve operators, con-
trollers, position indicators, pump impellers, pump drivers, or
other accessories and devices, unless they retain system fluid or act
as core support structures. If such items are in the load path
between the component and the building structure, the provisions
of Subsection NF apply. The requirements of Section III do not
apply to instruments nor to permanently sealed, fluid-filled tubing
systems furnished with instruments, but they may be applied to
instrument, control, and sampling piping, as delineated in the
Design Specifications.
There may be auxiliary systems that are necessary to provide
functional adequacy for concrete containments. However, the pro-
visions of Section III are not intended to be applicable to such
systems. The Design Specifications may provide specific require-
ments for such systems.
NCA-1140 Use of Code Editions,
Addenda, and Cases
The Owner’s designee is required to establish the Code Edition
and Addenda to be included in the Design Specifications. All of the
items of a nuclear power plant may be constructed to a single Code
Edition and Addenda, or each item may be constructed to individually-
specified Code Editions and Addenda. As of this printing, it is com-
mon practice to specify a single Code Edition and Addenda for
most of the components in a licensed design, in accordance with
provisions described in the next few paragraphs. Various Code
Editions and Addenda may also be applied to different items or to
different portions or aspects of construction for a single item.
For equipment to be used in the United States, the Design
Specifications may rely on no earlier Code Edition and Addenda
than the one in effect three years prior to the date on which the
nuclear power plant construction permit application was docketed
with the U.S. Nuclear Regulatory Commission (USNRC or NRC)
and no earlier than the latest edition and addenda endorsed by the
applicable regulatory authority (the USNRC in the United States),
or the Edition and Addenda endorsed in a Design Certification
Document (DCD) approved by the regulatory authority.
Code Editions and Addenda later than those established by the
Owner and specified in the Design Specifications may be used by
mutual consent of the Owner (or Owner’s designee) and the
Certificate Holder for the item. For Division 2 design and
construction, consent of the designer is also required. Specific
provisions of later Editions or Addenda may also be used, provi-
ded all related requirements are met.
The term “all related requirements” was introduced into
Section III in the early 1970s to provide a means of enabling
the Certificate Holder to use Code Editions and Addenda that
were revised to incorporate the provisions of a specific Code
Case. Although interpreted in many different ways, this term
was intended to mean that whenever any one of the require-
ments was to be used, all of the requirements of the Code Case
were to be used. The idea was to allow the Certificate Holder to
choose a specific provision out of later Editions and Addenda,
as long as all other provisions that were changed at the same
time as the desired provision were also used. The term does not
require that an entire Section or Subsection of the Code be used
out of the later Edition or Addenda, although this is permitted.
In many instances only one or several paragraphs of a later
Edition or Addenda need to be used so that all related require-
ments are met.
Code Cases are permissible for use beginning with the date of
approval by the ASME Council. This date is established as the clo-
sure date of the last ballot within the ASME Code Committee pro-
cessing system. Only Code Cases identified as being applicable to
Section III may be used for Section III construction. In addition,
the Code Cases specify the Division of Section III to which they
apply, that is, Division 1, 2, or 3. Code Cases are also required to
have the mutual consent of the Owner (or the Owner’s designee)
and the Certificate Holder responsible for construction and certifi-
cation of the component.
It should also be noted that Code Cases may be used in the United
States only when they have been accepted for such use by the U.S.
Nuclear Regulatory Commission (NRC). The NRC identifies
accepted Code Cases by listing them in Regulatory Guides.
Historically, the Regulatory Guides used for this purpose have been
1.84, Design and Fabrication Code Case Acceptability—ASME
Section III, Division 1, and 1.85, Materials Code Case
Acceptability—ASME Section III, Division 1 (see also Regulatory
Guide 1.147, Inservice Inspection Code Case Acceptability—
ASME Section XI, Division 1, for Section XI Cases). In June 2003,
the NRC merged Regulatory Guide 1.85 into Regulatory Guide
1.84. In countries other than the United States, the applicable gov-
ernment regulatory body often follows the lead of the USNRC,
allowing Code Cases to be used when they have been accepted by
the USNRC.
Provisions for using later Editions or Addenda for materials are
somewhat more specific than is typical for all other portions of
the Code. Section III specifically allows use of later Editions or
Addenda of the material specifications, as well as the examina-
tion and repair requirements of NX-2500. (The term NX is
sometimes used to denote applicability to NB, NC, ND, NE,
NF, NG, and NH.) The selected material must meet all of the
requirements of a material specification permitted by NX-2000,
with the following limitations. Any earlier or later Edition or
Addenda of the material specification may be selected. All
material must also meet the requirements of NX-2000 of the
applicable Subsection of the Section III Edition and Addenda
specified for construction of the component. The material must
have been produced under the provisions of a Quality System
Program that has been accepted by the ASME or qualified by
an N-type Certificate Holder or Quality System Certificate
Holder (see NCA-3820) in accordance with the requirements of
the latest Section III Edition and Addenda issued at the time the
material was produced.
This latter provision does not apply to material that is exempted
from portions of the provisions of NCA-3800 by NX-2610. This
exemption was added specifically to permit use of material pro-
duced in accordance with earlier Editions or Addenda of Section III
or the material specifications and the Edition and Addenda applica-
ble to the component being constructed. The aim is to allow use of
material that has been stocked for a particular Edition or Addenda
of the Code and not used completely until some later time. This is
based on the conclusion by the ASME Committees that the changes
in the Quality Assurance provisions in Subsection NCA are gener-
ally not very significant and have no direct effect on the ability of
the selected material to satisfy the applicable design requirements.
However, Section III requires that the QA Program of the
Certificate Holder furnishing material or fabrication or installing
items meet the requirements of the latest Edition and Addenda of
Section III, within 6 months of publication. Exceptions may be
granted by ASME for construction limited to earlier Editions and
Addenda. These provisions have been occasionally applied by an
organization working on construction of only a single nuclear
power plant.
COMPANION GUIDE TO THE ASME BOILER & PRESSURE VESSEL CODE • 5-3
Again, it should be noted that use of Code Editions or
Addenda other than the ones selected for construction of the
nuclear power plant or a specific component must be reviewed by
the Owner (or the Owner’s designee) for acceptability to the reg-
ulatory and enforcement authorities having jurisdiction at the
nuclear power plant site. This specifically means that the Owner
should verify that the Edition and Addenda of Section III selected
for application to a particular component has been endorsed by
the USNRC by virtue of its incorporation in 10CFR50.55a,
Codes and Standards, or that the NRC has granted specific per-
mission for use of each later Edition or Addenda in response to a
request from the Owner (known by the NRC as the licensee).
NCA-1150 Units of Measurement
These provisions describe how to choose a system of measure-
ment, including, but not limited to U.S. Customary Units or SI (or
metric) Units. These provisions were added to make it easier for
organizations outside the United States to use their common sys-
tem of measurement.
NCA-1200 General Requirements for
Items and Installation
NCA-1210 Components Each component of a nuclear power
plant is required to be furnished in accordance with the Design
Specification and must be provided with the Design Reports
and any other design documents required by NCA-3000. Data
Reports and Code Symbol stamping requirements are addressed in
NCA-8000.
NCA-1220 Materials Metallic materials are required to be
manufactured in accordance with an SA, SB, or SFA Specification
or other material specification permitted by Section III. Examples
of material include bolting, fittings, forgings, bars, castings, plate,
and pipe. Tubular products and fittings welded with filler metal are
required to bear the ASME Certification Mark with NPT Desig-
nator, but are not required to have a nameplate. Metallic materials
produced in accordance with an ASTM Material Specification may
be accepted as complying with a corresponding ASME Material
Specification, as long as the ASME Specification is designated as
being identical with the ASTM Specification for the grade, class,
or type of material. Similarly, welding materials may comply with
either the ASME SFA Specifications or the corresponding AWS
Specifications. Nonmetallic materials for Division 2 must be manu-
factured in accordance with material specifications permitted by
Division 2.
Many people have mistakenly believed that the ASME Material
Specifications differ from the corresponding ASTM Specifications
by having additional quality assurance program requirements that
are not applied to ASTM materials. However, this interpretation is
incorrect. ASME Material Specifications are applicable not only to
Section III, but are also used in B31.1 and Sections I, IV, and VIII
construction, for which the Section III quality assurance program
requirements do not apply. Whether the material was produced in
accordance with an ASTM Specification or an ASME Material
Specification, the quality assurance program requirements of
Subsection NCA must be applied if the material is to be used in
Section III applications.
This Subsubarticle now also addresses nonmetallic materials
for both Division 2 concrete containment vessels and Division 1
polyethylene compounds for fabrication of polyethylene piping.
As of this writing, polyethylene piping was recently installed in
Class 3 buried piping systems in two operating nuclear power
plants and is expected to be installed in similar systems in new
nuclear power plant construction in the near future. The provi-
sions for use of high-density polyethylene (HDPE) piping were
incorporated from Case N-755, “Use of Polyethylene (PE) Plastic
Pipe for Section III, Division 1, and Section XI.” The installations
in the two operating nuclear power plants were done using most
of the provisions of Case N-755. As of this writing, several orga-
nizations have been surveyed by ASME and have been issued
Certificates for fabrication of HDPE pipe and fittings, as well as
fabrication and installation of HDPE piping subassemblies.
NCA-1230 Parts, Piping Subassemblies,
and Supports
NCA-1231 Parts Parts of components and supports are
required to be fabricated in accordance with all applicable require-
ments of the Design Specification, the Design Report, the Load
Capacity Data Sheet, or the Design Report Summary. Data
Reports and stamping for parts are required to be in accordance
with NCA-8000. Parts are defined in NCA-9000 as items requiring
verification by an Inspector. The activity requiring verification by
an Inspector that makes an item a part is welding, including hard-
facing or cladding. Therefore, any item that is not welded is con-
sidered material. However, when an item is joined by welding—or
has hardfacing or cladding performed on it—it becomes a part.
Fabrication by mechanical means does not convert materials into
parts.
NCA-1232 Piping Subassemblies Piping subassemblies are a
subset of parts. They are required to be fabricated in accordance
with the applicable provisions of the Design Specification and the
Design Report. Data Reports and stamping for piping subassem-
blies are also in accordance with NCA-8000.
NCA-1233 Supports Supports may be fabricated in accor-
dance with the applicable requirements of the Design
Specification of the supported component or piping, or they may
be fabricated in accordance with a separate Design Specification.
Each support or group of supports is required to be furnished
with a Design Report, a Load Capacity Data Sheet, or a Design
Report Summary. Again, Data Reports and stamping are in
accordance with NCA-8000.
Nonmandatory Appendix CC contains alternative rules for
Linear Piping Supports that can be used as an alternative to the re-
quirements of Subsection NCA and Subsection NF when permitted
by the Owner’s Design Specification. These provisions generally
conform to ANSI/AISC N690-1994 (R2004), Specification for the
Design, Fabrication, and Erection of Steel Safety-Related Struc-
tures for Nuclear Facilities, with Supplementary requirements simi-
lar to those of Subsection NCA.
NCA-1260 Appurtenances Appurtenances are similar to
parts. The difference between an appurtenance and a part is that a
part is fabricated in accordance with the Design Specification for
the component, while an appurtenance may be fabricated either in
accordance with the Design Specification for the component or
in accordance with a separate Design Specification. In addition,
an appurtenance is attached to a component after stamping, whereas
a part is attached to the component prior to stamping. The appur-
tenance may be furnished with a separate Design Report or the
design of the appurtenance may be included in the Design Report
5-4 • Chapter 5
for the component to which it will be attached. The Owner is
responsible for correlation of the Design Reports for components
and attached appurtenances. Data Reports and stamping are in
accordance with NCA-8000.
NCA-1270 Miscellaneous Items Control-rod drive housings
attached to a reactor vessel may be included in the vessel Design
Specification or may be furnished in accordance with a separate
Design Specification. The portions of the housings forming the
pressure-retaining boundary must comply with the requirements
of Subsection NB. The portion of heater elements forming a pressure-
retaining boundary are required to be addressed in a Design
Specification as either parts or appurtenances. The portion of fluid
conditioners or flow-control devices—such as filters, demineral-
izers, traps, strainers, flow restrictors, venturis, or orifice plates
inflow-measuring service, eductors, and similar devices—that
forms a pressure boundary is required to be considered a material,
part, appurtenance, component, or subassembly, as applicable.
Penetration assemblies may be considered in the Design
Specification as either parts (installed before stamping of the con-
tainment vessel) or appurtenances (installed after stamping of the
containment vessel). The portion of a rupture-disk holder that
forms the pressure boundary may be considered material, part, or
appurtenance. Rupture disks themselves are not required to be
made from Code material.
NCA-1280 Installation The requirements for installation per-
taining to materials, fabrication, examination, testing, inspection,
stamping, and Data Reports are those applicable to the classifica-
tion and type of item being installed. When joining components of
different classifications, the more restrictive requirements govern,
except that connections between piping and other components,
such as valves or vessels, are considered to be part of the piping.
Therefore, the connection between a pipe and a pump, valve, or
vessel belongs to the piping and must meet the requirements applic-
able to the piping system. Data Reports and stamping requirements
are contained in NCA-8000.
Installation of supports consists of those activities required to
attach the supports to the building structure and to join parts and
materials by welding or mechanical means. The requirements per-
taining to installation governing materials, fabrication, examina-
tion, inspection, stamping, and reporting are those applicable to the
classification and type of support being installed.
Handling, rigging, setting, and temporary bolting or aligning
may be performed by organizations that do not have ASME
Certificates of Accreditation, as permitted by NCA-3125.
5.3 ARTICLE NCA-2000 CLASSIFICATION
OF COMPONENTS AND SUPPORTS
NCA-2100 General Requirements
Section III provides for several Classes of construction, as can
be seen in the following paragraphs. However, Section III does
not provide guidance for selecting specific classifications to fit a
component in a given system. This guidance is derived from
system-safety criteria for specific types of nuclear power systems,
such as Pressurized Water Reactors (PWRs), Boiling Water Reactors
(BWRs), Liquid-metal-cooled Reactors (LMRs), or High-temperature
Gas-cooled Reactors (HTGRs). The system safety criteria may be
found in NRC Regulatory Guides and “NUREGS.”
The Owner is responsible for applying the appropriate system
safety criteria for the Class of equipment in the nuclear power
plant in accordance with the requirements of Section III. The
appropriate classifications are required to be identified in the
Design Specification for the equipment.
NCA-2120 Purpose of Classifying Items
of a Nuclear Power Plant
Requirements are provided for items designated Code Class 1,
2, 3, CS, MC, or CC. These Code Classes are applicable to classi-
fication of items within the nuclear power system or a contain-
ment system. Within the systems, the Code recognizes different
levels of importance associated with the function of each item as
it relates to safe operation of the plant. The Code Classes allow a
choice of requirements that provide assurance of structural
integrity and quality commensurate with the relative importance
assigned to the individual items of the plant.
NCA-2130 Classifications and Rules
of Section III
Class 1 items are fabricated in accordance with requirements of
Subsection NB. Class 2 items are constructed in accordance with
Subsection NC, and Class 3 items are constructed in accordance
with Subsection ND. Class MC is applicable to metal containment
vessels constructed in accordance with the requirements of
Subsection NE. Class CS is for core support structures constructed
in accordance with the requirements of Subsection NG. Supports
for piping and other components are constructed in accordance
with requirements of Subsection NF. Internal structures other than
core support structures may also be constructed in accordance
with Subsection NG.
For Division 2, concrete containments are designed and con-
structed in accordance with Subsection CC.
Some components may be constructed in accordance with
multiple Code Classes. For example, a heat exchanger may have
primary-side tubing constructed in accordance with Subsection
NB, while the secondary-side shell is constructed in accordance
with Subsection NC. Any interactions between items constructed
to different Code Classes must be taken into account in the Design
Specification. Supports for components constructed to multiple
Code Classes must be constructed in accordance with the require-
ments of Subsection NF applicable to the more restrictive Class
(for example, Class 1 rather than Class 2). For instance, a support
that supports both Class 1 and 2 piping must meet the require-
ments of Subsection NF applicable to both Class 1 and 2 supports.
NCA-2134 Optional Use of Code Classes Items may be con-
structed in accordance with requirements that are more restrictive
than those specified in the Design Specification. For example,
items classified Class 2 may be constructed in accordance with
the requirements of Subsection NB. Items classified Class 3 may
be constructed in accordance with requirements of Subsection NB
or NC. Class MC containment vessels may be constructed in
accordance with Subsection NB, provided the requirements of
NE-7000 are applied for overpressure protection. When an item is
optionally classified to a higher Class, the Design Specification
must identify both Classes.
The Designer for Division 2 construction may permit use of
Division 1 parts without further stamping under Division 2, pro-
vided the stamping requirements of Division 1 are met, and the
COMPANION GUIDE TO THE ASME BOILER & PRESSURE VESSEL CODE • 5-5
Division 2 Construction Specification identifies these parts.
Division 1 Code Cases may be used for construction of these parts.
NCA-2140 Design Basis
NCA-2141 Consideration of Plant and System Operating
and Test Conditions Components and supports may be subjected
to various plant system operating and test conditions in perfor-
mance of their design functions. The temperatures, pressures, and
mechanical loads to which components and supports are subjected
in performing their design functions are referred to as Design,
Service, or Test Loadings. Section III does not define plant and
system operating and test conditions, nor does it address their signifi-
cance for the design and operability of components and supports.
Guidance for selecting appropriate operating and test conditions
may be found in applicable regulatory and enforcement require-
ment documents. In the Design Specification, the Owner identifies
loadings and load combinations and establishes appropriate De-
sign, Service, and Test Limits for each component or support for
these loading conditions.
Loadings Loadings are identified on the basis of all anticipated
operating and test conditions postulated to occur during the intended
service life of the component or support. Service Loadings are not
required to be identified for Class 2 and 3 components, Class 2 and
3 component supports, and Class MC supports, when the Design
Pressure and Design Mechanical Loads result in stresses of greater
magnitude, relative to the allowable stress or stress intensity at the
Design Temperature, than that of the Service Loadings relative to
the allowable stresses for the appropriate Service Level. For all
other components and supports, and for other loadings, Service
Loadings are required to be identified in the Design Specification.
Except as provided in any NE-3000, loadings associated with a
containment function of a Class MC containment vessel must be
identified as Design Loadings.
Limits Section III provides for different limits that may be
applied to various loads and load combinations. It does not speci-
fy which of these limits are to be applied to any specific load or
load combination. Section III requirements do not provide assur-
ance of operability of components in which mechanical motion is
required. However, Section III does require operability of pressure-
relief valves. When assurance of operability is required to satisfy
applicable regulatory criteria, it is the Owner’s responsibility to
define the appropriate design criteria to ensure operability.
Design Pressure The Design Pressure must be at least the max-
imum differential pressure between the inside and outside of an
item, or between any two chambers of a combination unit, that
may exist under the most severe loadings for which Level A
Service Limits are applicable. The Design Pressure must include
allowance for pressure surges, control-system error, and system-
configuration effects, such as static pressure heads.
Design Temperature The Design Temperature must be at least
the expected mean metal temperature in the part for which Level
A Service Limits are specified. The effect of any applied heat or
internally-generated heat must be considered in the Design
Temperature. The Design Temperature must include effects of
control-system error and system configuration.
Design Mechanical Loads The mechanical loads to be consid-
ered in the design must be those that produce the highest primary
stresses of any coincident combination of loadings for which Level
A Service Limits are designated, when combined with the effects
of the Design Pressure.
Service Loadings When Section III or the Design Specification
requires calculations demonstrating compliance with specified
Service Limits, the Design Specification must specify the applica-
ble pressure, temperature, mechanical loads, cycles, or transients.
The Design Specification must designate the appropriate Service
Limits to be satisfied for each Service Loading or combination of
Service Loadings.
Test Loadings Test Loadings include loads due to pressure test-
ing required by Section III. The Design Specification must identify
any additional tests required by the Owner.
Design Limits The limits for Design Loadings are those of the
applicable Subsection of Section III.
Test Limits The limits for Test Loadings are those of the applica-
ble Subsection of Section III. The applicable limits for any tests de-
fined by the Owner must be identified in the Design Specification.
Service Limits If the Owner wishes to allow higher limits on
allowable stresses than those provided by the applicable
Subsection of Section III, the Design Specification may designate
Level A, B, C, or D Service Limits for the applicable loads or load
combinations. These Service Limits correspond roughly to the cat-
egories “normal,” “upset,” “emergency,” and “faulted” that were
identified in the Editions and Addenda of Section III applicable to
most of the early-vintage nuclear power plants constructed in the
United States. These previous designations were identified as plant
operating conditions, whereas the Service Limits in the current
Code are component-specific limits that may not relate directly to
plant operating conditions.
• Level A Service Limits are those limits that are to be satisfied
for the loadings—identified in the Design Specification—to
which the component is subjected during normal service.
• Level B Service Limits are those that are applicable to load-
ings—identified in the Design Specification-that may exceed
normal design or service conditions, but must be with stood
without damage requiring repair.
• Level C Service Limits are identified in the Design
Specification for loadings that may produce large deformations
and areas of structural discontinuity, possibly necessitating
removal of the component or support from service for inspec-
tion or repair of damage. These limits, however, are expected to
provide for operability of the component during normal events
postulated by the design.
• Level D Service Limits permit gross general deformation, with
some consequent loss of dimensional stability, and damage
requiring repair, which may necessitate removal of the compo-
nent or support from service.
Because of the deformation and damage permitted by Level C
and D Limits, their selection and specification must be compatible
with the applicable system safety criteria designated by the regu-
latory and enforcement authorities.
Components may be designed to Service Limits that are more
restrictive than those specified in the Design Specification. For
example, Level A Service Limits may be used to encompass all
Design Loads. In this case, analyses to show compliance with
Level B, C, and D Service Limits are unnecessary.
If specific acceptance criteria are not provided by Section III
for applicable Service Loadings, the acceptance criteria must be
specified by the Owner in the Design Specification.
The Owner may specify additional requirements that are more
restrictive than those specified by Section III for the applicable
Class of an item, provided such requirements do not negate any
Section III requirements. Any such contractual requirements are
beyond the scope of Section III and are not to be treated as
Section III requirements.
5-6 • Chapter 5
5.4 ARTICLE NCA-3000
RESPONSIBILITIES AND DUTIES
NCA-3110 Responsibilities versus Legal
Liabilities
Many of the organizations involved in construction of a nuclear
power plant or items that will be used in a nuclear power plant
have specific responsibilities for complying with the requirements
of Section III. The responsibilities relating to compliance with
requirements of Section III are identified in Subsection NCA.
These responsibilities relate only to compliance with the Section
III requirements and have no implication in contractual or legal
liabilities.
NCA-3120 Certification
The ASME accredits various types of organizations to perform
different kinds of work addressed by Section III. For some of these
types of work, a Certificate is provided by the ASME. Holders of a
Certificate are known as Certificate of Authorization Holders
(Certificate Holders) or Quality System Certificate Holders (QSC
Holders).
NCA-3125 Subcontracted Services
Services required in construction of a nuclear power plant may
be subcontracted by the responsible Certificate Holder to another
organization. Services that are subcontracted may be those covered
by the requirements of Section III or services that are not subject
to the requirements of Section III. Section III does not address
requirements for subcontracting of services that are outside the
scope of Section III.
Services for which Section III provides requirements may be
those for which the ASME issues Certificates of Accreditation or
those for which no Certificates are available. When activities for
which Certificates are required are subcontracted, they may be
done so only to Certificate Holders. The function of surveying
and auditing of subcontractors and Material Organizations may be
subcontracted by a Certificate Holder to another organization.
However, the Certificate Holder retains the responsibility for these
activities and for qualifying the subcontractors and Material
Organizations that are surveyed and audited by the subcontractor.
An N Certificate Holder may subcontract stress analysis or the
complete design of all or a portion of a component. However, the
N Certificate Holder retains the responsibility for the design of
the component and for the quality and accuracy of Design Output
Documents, including the Design Report or stress analyses.
In the 2007 Addenda, provisions were added to permit use of
suppliers of calibration services that have been accredited by the
National Voluntary Laboratory Accreditation Program (NVLAP),
including the International Laboratory Accreditation Program
(ILAC) Mutual Recognition Arrangement (MRA) or the
American Association for Laboratory Accreditation (A2LA).
Accreditation of such calibration services suppliers is an alterna-
tive to survey and audit or other control of such suppliers by
Certificate Holders or Material Organizations. This method of
accreditation is already permitted in 10CFR Part 50, Appendix B
Quality Assurance Programs. This change was a step toward
globalization of the Section III administrative requirements.
NCA-3130 Welding and Subcontracting
of Welding
All shop and field welding and brazing on components subject
to the requirements of Section III must be done only by a
Certificate Holder having a Certificate appropriate to the scope of
welding to be performed. The term welding, as used herein,
includes brazing, but not repair of base material by a Material
Organization. The term also addresses joining items by applica-
tion of welding or brazing processes and application of hardfac-
ing or corrosion-resistant weld overlay cladding. Repair of base
material by a Material Organization is not a process requiring
verification by an Authorized Nuclear Inspector (ANI). It may
therefore be performed by an organization that does not have a
Certificate.
Section III refers to Section IX for requirements for qualifica-
tion of welding and brazing procedures, welders, welding opera-
tors, brazers, and brazing operators. Section IX requires that the
organization under whose program and procedures welding is
being conducted be fully responsible for the qualification and
application of such welding. NCA-3130 permits a Certificate
Holder to contract individuals for welding services, provided the
following requirements are met, for consistency with the Section
IX requirements concerning responsibility for welding.
• The subcontracted welding must be within the scope of the
Certificate of the contracting organization.
• The Certificate Holder’s Quality Assurance Program must
address how these welders will be controlled.
• The Quality Assurance Program must provide for direct
supervision and direct technical control of the welders during
these welding operations.
• These Quality Assurance Program provisions must have been
accepted by the Authorized Inspection Agency (AIA).
• The welding procedures used by the subcontracted welders
must have been qualified by the contracting Certificate Holder,
which maintains responsibility for compliance of these proce-
dures with all applicable Code requirements.
• The contracting welders must also be qualified by the
Certificate Holder responsible for the activity. Qualification
by another organization is not an acceptable substitute for this
requirement.
• The Certificate Holder must have the contractual ability to hire
and fire, or assign or remove, welders, at his discretion.
• The Certificate Holder must retain responsibility for compli-
ance of the welds and the completed item with applicable
Code requirements. This responsibility may not be assigned
or subcontracted.
Separate requirements for subcontracting of furnace brazing
operations are provided in NCA-3561(c).
Division 2 construction activities may also be subcontracted to
organizations that do not hold a Certificate of Authorization. These
activities must be within the scope of the Certificate of the
Certificate Holder responsible for the work. The description of the
subcontracted activities must be contained in the Certificate
Holder’s Quality Assurance Program. The Quality Assurance
Program must contain requirements for direct technical control of
subcontracted individuals or organizations, including performance
of all examinations, inspections, and tests required by Section III.
These provisions must be accepted by the ASME in a Survey and
by the Authorized Nuclear Inspector Supervisor (ANIS). The
Certificate Holder must provide access for the Authorized Nuclear
Inspector Concrete (ANIC) to all areas and functions required for
the Inspector to perform his or her duties, including procedure
development and qualification of procedures and personnel.
COMPANION GUIDE TO THE ASME BOILER & PRESSURE VESSEL CODE • 5-7
NCA-3200 Owner’s Responsibilities
NCA-3220 provides a list of the responsibilities of the Owner
for satisfying provisions of Section III. This list is largely a sum-
mary of the requirements of other portions of Subsection NCA.
Each of the items in the list contains a reference to the applicable
paragraph of Subsection NCA or amplifies the Subsection NCA
requirements as noted below.
NCA-3220 clarifies that the Owner is required to verify, by
review of required documentation, that the Code Editions,
Addenda, and Code Cases used for completed components, sup-
ports, and materials satisfy NCA-1140 and are acceptable to the
regulatory and enforcement authorities. The Owner is required to
verify, through review of required documentation, that the designer
has fulfilled its responsibilities for Division 2 construction. The
Owner is required to designate overpressure protection require-
ments for each component or system, including the Class of over-
pressure protection rules assigned to each component or system
and the location of the overpressure protection devices.
The activities necessary to provide compliance with the respon-
sibilities assigned to the Owner—other than obtaining a
Certificate of Authorization documenting the Owner’s Quality
Assurance Program, having an agreement with an Authorized
Inspection Agency, and certifying and filing the Owner’s Data
Report—may be subcontracted to an Owner’s designee.
However, responsibility for compliance with all of these require-
ments remains with the Owner; this responsibility may not be
assigned or subcontracted.
Table NCA-3200-1 identifies requirements for preparation,
review, certification, approval, and distribution of documents
required to be prepared for Section III, Division 2 construction.
NCA-3230 requires that, prior to beginning field installation,
an Owner obtain an Owner’s Certificate from the ASME for each
nuclear power plant unit to be constructed. A written agreement
with an Authorized Inspection Agency (AIA) is required prior to
applying for the Certificate. Currently there are no Federal
Regulations in the United States for an Owner to obtain an
Owner’s Certificate; for this reason, even though a few Owners in
the United States have obtained an Owner’s Certificate, the
Owners have not obtained a Certificate of Authorization. This
author also believes that this requirement has not been met for any
nuclear power plant units constructed outside of the United States.
NCA-3240 requires the Owner to provide adequate intervening
elements, foundations, and building structures to support the items
constructed in accordance with Section III requirements. It also
requires the Owner to define the jurisdictional boundary interfaces
between the structures and items covered by Section III require-
ments. These requirements include identification of any loads
transmitted between these supporting structures and the items that
fall within the scope of Section III.
NCA-3250 Provision of Design Specifications
NCA-3251 Provision and Correlation NCA-3250 requires the
Owner to provide Design Specifications for components, supports,
and appurtenances. The Owner is responsible for correlation of all
Design Specifications. Separate Design Specifications are not
required for parts, piping subassemblies, appurtenances, or supports
when they are included in the Design Specification for a component
of which they are or will become a part. In this case, the applicable
requirements from the Division 1 Design Specification, or the
TABLE NCA-3200-1 DOCUMENT DISTRIBUTION FOR DIVISION 2 CONSTRUCTION
5-8 • Chapter 5
Division 2 Construction Specification and Design Drawings, for the
component must be provided to the Certificate Holder in sufficient
detail to form the basis for fabrication in compliance with all
applicable Section III requirements.
NCA-3252 Contents of Design Specifications The Design
Specifications must contain sufficient detail to provide a complete
basis for construction that complies with all applicable require-
ments of Section III. These requirements must be provided in
such a manner that compliance with them will not violate any of the
requirements of Section III.
There are seven specific categories of information that must be
contained in the Design Specifications. It should be recognized that
often many other kinds of information are, but need not be, included
in the Design Specifications and could, in fact, be placed elsewhere,
such as in fabrication or procurement specifications. The information
required to be in the Design Specifications includes the following:
(1) the functions and boundaries of the items covered by the
Design Specification;
(2) the design requirements for the item, including overpressure
protection requirements;
(3) the environmental conditions to which the item will be sub-
jected during operation, including exposure to radiation;
(4) the Code Classification of the items covered by the Design
Specification;
(5) material requirements, including applicable impact-test
requirements;
(6) additional fracture mechanics data for use of Appendix G in
determining required fracture toughness;
(7) if operability of the component is a requirement, references
to any applicable documents that contain operational
requirements; and
(8) the Code Edition, Addenda, and Code Cases applicable to
construction of the item.
For concrete containment vessels constructed in accordance with
Section III, Division 2, a Design Specification is also required. A
separate Design Specification is required for each power plant unit
or power plant site. All of the requirements applicable to Division 1
components are also required for components constructed in accor-
dance with Division 2. In addition, there are seven more categories
of requirements that must be included in the Design Specification
for Division 2 items. They are as follows:
(1) design life;
(2) corrosion effects;
(3) structural acceptance testing requirements;
(4) shielding requirements;
(5) construction surveillance required by the Designer;
(6) the type of foundation and allowable loading, if applicable;
and
(7) loads from internal structures.
With the recent addition to Section III of provisions for per-
formance of preservice examination prior to Code Symbol
Stamping, the Design Specification is now also required to identify
any components or parts that require preservice examination prior
to Stamping. If preserves examination is required, the Design
Specification must identify the following:
• which examinations are to be performed;
• what Edition and Addenda of Section XI is to be used for those
examinations;
• the Section XI Examination Category and examination
method (e.g., UT, PT, MT, in accordance with Section XI,
IWA-2200);
• the requirements for qualification of personnel, procedures,
and equipment for the examinations (which must meet
Section XI, IWA-2300);
• any requirements for surface conditioning prior to examina-
tion and any identification or marking systems to be used to
identify locations of the areas examined (e.g., Section XI
Appendix VIII and IWA-2500).
NCA-3253 Classification of Components, Parts, and Appurte-
nances The Owner is required to establish the Code Classification
of items to be constructed in accordance with Section III require-
ments. The classification may be performed either by the Owner or
by a designee assigned by the Owner.
NCA-3254 Boundaries of Jurisdiction It is important to identify
the boundaries between Section III components and adjacent com-
ponents, intervening elements, and other structures. To this end, the
Design Specification must include the locations of each boundary
between such items; any forces, moments, strains, or displacements
imposed by one component on another at each such boundary; and
the structural characteristics of any attached components or struc-
tures that provide constraints to the movement of components or
appurtenances covered by Section III, whether or not the attached
components or structures are within the jurisdiction of Section III.
When the support of the foundation for a concrete reactor vessel or
concrete containment is constructed as an integral part of the vessel,
the support must be included within the jurisdiction of Section III,
Division 2 to the extent required by NCA-2132.
The 1987 Addenda provided significant clarification to the
requirements of Section III for establishing boundaries between
components. NB-1130 through NG-1130 contain descriptions of
the requirements for the location of these boundaries. Each of
these subsubarticles contain figures that show schematic diagrams
of various possible attachments or extensions to the component
boundary and, for each of these, the boundaries between the com-
ponent and adjacent components.
NCA-3255/3256 Certification and Filing of the Design
Specifications The Design Specifications are required to be certi-
fied to be correct and complete and to be in compliance with the
requirements of NCA-3250 by one or more Registered
Professional Engineers, competent in the applicable field of
design and related nuclear power plant requirements and qualified
in accordance with the requirements of Appendix XXIII of
Section III Appendices. These Registered Professional Engineers
are not required to be independent of the organization preparing
the Design Specifications. A copy of the Design Specification
must be made available to the Inspector at the manufacturing site
before fabrication begins, and a copy must be filed at the location
of the installation before components or appurtenances are placed
in service.
NCA-3260 Review of Design Report The Design Report is
provided by the Certificate Holder or the Designer for most com-
ponents constructed in accordance with Section III. The purpose of
the Design Report is to show that all of the Design and Service
Loadings specified in the Design Specification have been evaluated
in accordance with the requirements of Section III, and that all of
the acceptance criteria of Section III and the Design Specification
COMPANION GUIDE TO THE ASME BOILER & PRESSURE VESSEL CODE • 5-9
have been satisfied for those Design and Service Loadings. It is
the responsibility of the Certificate Holder or the Designer to
determine the appropriate method of analysis of these loadings
and to ensure the accuracy of the Design Report. The Owner or
his designee is responsible for reviewing the Design Report to
verify that all of these requirements have been met and that
Design Reports furnished for separate components are correlated
so that the loads transmitted between any two of these compo-
nents are considered.
Except for standard supports, the Owner or Owner’s designee is
required to provide documentation to the Certificate Holder that
the Owner’s review has been conducted. This documentation must
be attached to the copy of the Design Report that is made available
to the Authorized Nuclear Inspector by the Certificate Holder,
prior to Code Symbol Stamping, and must be attached to the copy
of the Design Report that is filed at the location of the installation
of the component.
For standard supports, the Certified Design Report Summary
may be furnished in lieu of the Design Report. In this case, the
Owner must review the Certified Design Report Summary.
Documentation of the Owner’s review of the Certified Design
Report Summary is the same as for the Design Report.
NCA-3270 Overpressure Protection Report The Owner is
required to provide, or cause to be provided, an Overpressure
Protection Report. This report is provided, certified, and filed in
accordance with the provisions of NB/NC/ND/NE-7200.
NCA-3280 Owner’s Data Report and Filing The Owner is
required to complete Form N-3, the Owner’s Data Report, for
a nuclear power plant. As mentioned earlier (see NCA-3200),
there have been only a few Owners in the United States that have
obtained an Owner’s Certificate from the ASME. Therefore, there
has been little opportunity for an Owner to complete a Form N-3.
It is this author’s belief that not more than one or two N-3 Forms
have ever been filed in United States.
NCA-3290 Owner’s Responsibility for Records The Owner
is responsible for designating records to be maintained. These
records may be either temporary or permanent, that is, for the life-
time of the nuclear power plant. The Owner is also responsible for
continued maintenance of these records, as required by Sections III
and XI. It is the responsibility and option of the Owner to deter-
mine the locations at which these records will be stored. The
Owner must advise the applicable enforcement authority in writ-
ing regarding the location of this record storage.
NCA-3300 Responsibilities
of a Designer—Division 2
NCA-3320 Categories of the Designer’s Responsibility
NCA-3320 provides a list of the responsibilities of the Designer
for satisfying provisions of Section III. This list is largely a sum-
mary of the requirements of other portions of Subsection NCA.
Each of the items in the list contains a reference to the applicable
paragraph of Subsection NCA.
The Designer is responsible for the structural design of the com-
ponent, preparation and maintenance of Design Drawings and
Construction Specifications, preparation of Design Reports, sur-
veillance of construction, review of construction documents, main-
tenance of a Quality Assurance Program, and certification of the
Construction Report.
NCA-3340 Design Drawings and Construction Specification
The Design Drawings are required to contain the following informa-
tion: concrete and steel liner thickness, size and location of reinforc-
ing steel, size and location of prestressing tendons, size and location
of penetrations, and any other details necessary to construct the item
in accordance with the requirements of the Design Specification, the
Construction Specification, and Section III, Division 2.
The Construction Specification is required to contain the
following information: material specifications; material handling
and storage requirements; inspection requirements, applicable ref-
erences to Section III, Division 2 requirements; personnel and
equipment qualification requirements; examination and testing
requirements; concrete mixing, placement, and curing require-
ments; reinforcement and embedment fabrication and installation
requirements; Code Symbol Stamping requirements; design-life
requirements; construction surveillance requirements for the
Designer; and requirements for review and approval of construc-
tion documents by the Designer.
NCA-3350 Design Report The Designer is required to prepare a
Design Report to show compliance with the applicable stress limita-
tions under all loading conditions specified in the Design
Specification and in Section III, Division 2. The Design Report is
required to be certified by the Designer and approved by the Owner.
NCA-3360 Certification of the Construction Specification,
Design Drawings, and Design Report The Construction
Specification, Design Drawings, and Design Report are required to
be certified by a Registered Professional Engineer who is compe-
tent in the field of design of concrete components and qualified in
accordance with the requirements of Section III, Appendix XXIII.
The requirements of Appendix XXIII were taken from
ANSI/ASME N626.3, Qualification of Registered Professional
Engineers. Adopted in the 1970s to provide consistency among
organizations required by Section III to qualify and certify their
Registered Professional Engineers, these requirements provide a
structure for documenting and maintaining qualification of
Registered Professional Engineers required for certifying Section III
Design Documents. All of these documents, as well as the Design
Specification, are required to be certified by a Registered
Professional Engineer prior to use. In addition, changes to any of
these documents must be reviewed and certified in accordance
with the requirements for the original document.
NCA-3380 Certification of Construction Report The Designer
is required to evaluate the Construction Report and certify that it
conforms with the requirements of Section III, Division 2, and the
Design Specification. To complete this certification, the Designer is
required to review as-built, design, shop, and field drawings to verify
that they are consistent with the drawings referenced in the
Construction Report and with the drawings provided for the records
to be maintained by the Owner.
NCA-3400 Responsibilities of an
N Certificate Holder — Division 2
NCA-3420 Categories of the N Certificate Holder’s
Responsibility NCA-3420 provides a list of the responsibilities of the
Division 2 N Certificate Holder for satisfying provisions of Sec-
tion III. This list is largely a summary of the requirements of other
portions of Subsection NCA. Each of the items in the list contains a
reference to the applicable paragraph of Subsection NCA.
5-10 • Chapter 5
The N Certificate Holder is responsible for compliance of con-
struction of components and parts with the Design drawings, the
Construction Specification, and Section III, Division 2; qualification
of Material Organizations (manufacturers and suppliers); maintain-
ing a Quality Assurance Program; preparing construction procedures,
shop and field drawings, and the Construction Report; structural
integrity testing; preparation, accumulation, control, and protection of
required records; reviewing and approving of material used; making
applicable documents available to the Authorized Nuclear Inspector
(ANI); and completing applicable Code Data Reports.
NCA-3430 Obtaining a Certificate An N Certificate must be
obtained for construction of any concrete containment intended to
be in compliance with requirements of Section III, Division 2, and
stamped with the ASME Certification Mark with the N
Designator. It is the belief of this author that no concrete contain-
ment has ever been constructed and stamped in accordance with
this requirement. Although the concrete containment vessels that
have been built and are in operation in the United States, as well
as in other countries, were constructed largely in accordance with
these requirements, none have been constructed entirely in accor-
dance with these requirements, and therefore none haveever been
stamped with the ASME Certification Mark (previously the N
Code Symbol).
NCA-3440 Compliance with this Section The N Certificate
Holder is responsible for constructing the concrete containment in
accordance with the Design Drawings, Construction Specification,
and Section III, Division 2. However, for Division 2 construction,
the N Certificate Holder’s responsibilities do not include design of
the component.
NCA-3450 Construction Documents The N Certificate
Holder must prepare construction procedures, including test pro-
cedures, in a manner that provides sufficiently-detailed informa-
tion about the methods of construction and fabrication to permit
reviewers to determine that the requirements of the Design
Specification, the Construction Specification, and the Design
Drawings will be satisfied. The N Certificate Holder must prepare
shop and field drawings and must assemble records to verify that
materials comply with Section III, Division 2 and the Construc-
tion Specification. The N Certificate Holder must provide a
Construction Report that includes the following: a summary of
construction progress, showing key dates of major construction
activities; a complete and detailed record of all reactor vessel or
containment acceptance testing; a summary of quality control
records for components and parts; a list of as-built, design, field,
and shop drawings used for construction, showing the latest revi-
sion and date; a summary of deviations (nonconformances), giv-
ing a brief description of their nature, corrective actions taken,
and date; and the distribution and approvals shown in Table NCA-
3200-1. The N Certificate Holder must complete a C-1 Data
Report, attesting that all details of materials, construction, and
workmanship of the components conform to the requirements of
Section III, Division 2 and the Construction Specification.
NCA-3460 Responsibility for Quality Assurance The N
Certificate Holder must survey, qualify, and audit suppliers of
subcontracted services (NCA-3125), including nondestructive-
examination contractors and Material Organizations (previously
known as Material Manufacturers and Material Suppliers).
Material Organizations holding a Quality System Certificate
(Materials) and Certificate Holders whose scope includes supply,
or manufacture and supply, of material need not be surveyed nor
audited for work or material covered by the scope of their
Certificate. Subcontractors holding an appropriate Certificate need
not be surveyed nor audited for work within the scope of the sub-
contractor’s Certificate. An N Certificate Holder may qualify ven-
dors of subcontracted services other than those requiring a
Certificate of Authorization, such as Material Organizations, for
another Certificate Holder doing work for that N Certificate Holder.
The qualification documentation must be supplied to the other
Certificate Holder prior to its use of the subcontracted service or
Material Organization.
It is important to note that the foregoing requirements address
the Quality Assurance Program requirements only of ASME
Section III. In addition to these requirements, the USNRC (as
well as the regulatory or enforcement agencies of some other
countries’ governments) requires compliance with 10CFR50
Appendix B, Quality Assurance Criteria for Nuclear Power Plants
and Fuel Reprocessing Plants. Therefore, audits may be required
to verify compliance with those provisions of 10CFR50 Appendix B
that are not addressed by Section III and the applicable ASME
Surveys. Examples include measures to ensure compliance with
10CFR21, Reporting of Defects and Noncompliance, and meas-
ures to ensure appropriate quality of items that are exempted by
Section III from ASME Quality Assurance Program requirements.
The N Certificate Holder must file a copy of its Quality
Assurance Manual with the Authorized Inspection Agency (AIA)
and with the Authorized Nuclear Inspector (ANI).
NCA-3500 Responsibilities of
an N Certificate Holder—Division 1
NCA-3520 Categories of the N Certificate Holder’s
Responsibility NCA-3520 provides a list of the responsibili-
ties of the Division 1 N Certificate Holder for satisfying provi-
sions of Section III. This list is largely a summary of the
requirements of other portions of Subsection NCA. Most of the
items in the list contain a reference to the applicable paragraph
of Subsection NCA.
The N Certificate Holder is responsible for ensuring compli-
ance with the applicable requirements of Section III, Division 1;
achievement of structural integrity; provision of any required
Design Report, including stress analysis of parts and appurte-
nances, reconciliation of Design Drawing changes with the
Design Report, certification and availability of the Design
Report, and provision of the Design Report to the Owner and
verifying documentation of the Owner’s review; qualification of
Material Organizations and suppliers of subcontracted services;
establishing, maintaining, and documenting a Quality Assurance
Program; filing the Quality Assurance Manual; obtaining an agree-
ment with an Authorized Inspection Agency; making applicable
documents available to the Inspector; review and documentation
of approval of Certified Material Test Reports and Certificates of
Compliance for materials; preparation, accumulation, control, and
protection of required records; subcontracting for materials, design,
fabrication, installation, examination, testing, and inspection; and
preparation of the required Data Reports.
NCA-3530 Obtaining a Certificate An N Certificate must be
obtained for construction of any item intended to be in compliance
with requirements of Section III, Division 1, and stamped with the
COMPANION GUIDE TO THE ASME BOILER & PRESSURE VESSEL CODE • 5-11
N Code Symbol. An N Certificate Holder may do all of the work
of an NPT or NA Certificate Holder at the location shown on the
Certificate of Authorization, as long as the scope of work is
included in the Certificate.
NCA-3540 Compliance with Section III The N Certificate
Holder is responsible for structural integrity, using the Design
Specification as a basis of design, complying with Section III,
Division 1, and furnishing a Design Report, if required.
NCA-3550 Requirements for Design Output Documents
The drawings used for construction must be in compliance with
the Design Specifications and must be in agreement with and
identified in the Design Report.
Except for standard supports that are furnished with the Load
Capacity Data Sheet or certified Design Report Summary, the N
Certificate Holder responsible for the component or support is
required to furnish a Design Report for each such item. Non-
mandatory Appendix C provides guidance in preparing a Design
Report. Design Reports for Class 1 components and supports,
Class CS core support structures, Class MC vessels and supports,
Class 2 vessels designed to NC-3200, or Class 2 or 3 components
designed to Service Loadings greater than Design Loadings are
required to be certified by a Registered Professional Engineer
(RPE). The RPE must be competent in the applicable field of
design and must be qualified in accordance with requirements of
Appendix XXIII. For Class 1 piping NPS 1 or smaller, designed
in accordance with the requirements of Subsection NC, a Class 2
Design Report is required.
The Design Report may not be certified until after all of the design
requirements of Section III, Division 1 have been met. The
Registered Professional Engineer certifying the Design Report may
not be the same Registered Professional Engineer certifying the
Design Specification. However, both Registered Professional
Engineers may belong to the same organization, and both may
belong to the organization holding the N Certificate of Authorization.
For Class 1 standard supports, a Load Capacity Data Sheet may
be provided in lieu of the Design Report. Load Capacity Data
Sheets for supports of Class 1 components, Class MC vessels, and
Class 2 vessels designed to NC-3200 must be certified by a
Registered Professional Engineer qualified in accordance with
Appendix XXIII. The Load Capacity Data Sheet must identify the
organization responsible for retaining the data substantiating the
stated load capacity.
For standard supports designed by analysis, a certified Design
Report Summary may be provided in lieu of the Design Report.
This Design Report Summary must also be certified by a Reg-
istered Professional Engineer qualified in accordance with re-
quirements of Appendix XXIII. This Design Report Summary
must identify the support by a manufacturer’s catalog item number
or identification number; provide a summary of allowable loads,
temperatures, and Service Level Limits that may be used in the
design; and identify the applicable Design Specification and
Design Report, the Code Classification of the support, the applica-
ble Code Edition and Addenda, and the date of certification.
When an N Certificate Holder purchases parts from an NPT
Certificate Holder, the N Certificate Holder is responsible for
obtaining or providing stress calculations for the parts and incor-
porating them into the N Certificate Holder’s Design Output
Documents for the component into which they are incorporated.
Design Output Documents for appurtenances provided by an N
Certificate Holder must be provided by the N Certificate Holder or
incorporated into the Design Output Documents for the component
to which the appurtenance is to be attached.
The differences between a part and an appurtenance are as fol-
lows: A part is incorporated into a component prior to Code
Symbol stamping, while an appurtenance is added to a component
after Code Symbol Stamping of the component. A part is provi-
ded in accordance with the Design Specification for the compo-
nent or in accordance with a specification prepared by extracting
from the component Design Specification those provisions rele-
vant to the part. An appurtenance may be fabricated in accordance
with the Design Specification for the component to which it will
be attached (or an extract thereof ) or in accordance with a sepa-
rate Design Specification.
The N Certificate Holder must submit to the Owner a copy of
the completed Design Report for all components and supports. The
Owner is required to review the completed Design Reports, coor-
dinate them with regard to loads transmitted between components,
and notify the N Certificate Holder of approval of the Design
Report. The N Certificate Holder must provide the Authorized
Nuclear Inspector (ANI) with copies of completed Design
Reports, Load Capacity Data Sheets, Certified Design Report
Summaries, drawings used for construction, and documentation of
the Owner’s approval of the Design Report.
NCA-3560 Responsibility for Quality Assurance N Certificate
Holders are responsible for the quality of all products they supply.
This responsibility includes surveying, qualifying, and auditing
suppliers of subcontracted services, including nondestructive
examination contractors and Material Organizations (previously
known as Material Manufacturers and Material Suppliers). Material
Organizations holding Quality System Certificates (Materials) and
Certificate Holders whose scope includes supply or manufacture
and supply of materials are not required to be surveyed nor audited
for work or material covered by the scope of their Certificate.
Subcontractors holding appropriate Certificates need not be sur-
veyed nor audited for work within the scope of the subcontractor’s
Certificate. N or NV Certificate Holders may supply replacement
material without material supply in the scope of their Certificate, as
long as supply of replacement material is included in their Quality
Assurance Program and the replacement material is intended exclu-
sively for incorporation into items originally manufactured or fabri-
cated and furnished by that organization under its Certificate.
An N Certificate Holder may qualify vendors of subcontracted
services other than those requiring a Certificate of Authorization,
such as Material Organizations, for another Certificate Holder
doing work for that N Certificate Holder. The qualification docu-
mentation must be supplied to any such other Certificate Holders
prior to their use of the subcontracted service or Material
Organization.
It is important to note that the foregoing requirements address
the Quality Assurance Program requirements only of ASME
Section III. In addition to these requirements, the USNRC (as well
as the regulatory or enforcement agencies of some other countries’
governments) requires compliance with 10CFR50 Appendix B,
Quality Assurance Criteria for Nuclear Power Plants and Fuel
Reprocessing Plants. Therefore, audits may be required to verify
compliance with those provisions of 10CFR50 Appendix B that are
not addressed by Section III and the applicable ASME Surveys.
Examples include measures to ensure compliance with 10CFR21,
Reporting of Defects and Noncompliance, and measures to ensure
appropriate quality of items that are exempted by Section III from
the ASME Quality Assurance Program requirements.
5-12 • Chapter 5
An N Certificate Holder may subcontract furnace brazing opera-
tions to an organization not holding a Certificate, provided the
work performed is within the scope of the N Certificate Holder’s
Certificate; the activities are covered by the N Certificate Holder’s
Quality Assurance Program, including Authorized Inspection;
these provisions are acceptable to the Authorized Inspection
Agency (AIA) and provide for surveillance by the N Certificate
Holder during brazing operations; the N Certificate Holder surveys
and accepts the Quality System Programs of the subcontractor; the
N Certificate Holder ensures that the brazing procedures and opera-
tors are qualified as required by Section III; and the N Certificate
Holder controls the quality of the work and ensures that all items
conform to all applicable requirements of Section III, Division 1.
The N Certificate Holder must document its Quality Assurance
Program, file it with the Authorized Inspection Agency (AIA),
and keep a copy on file available to the Authorized Nuclear
Inspector (ANI) .
NCA-3570 Data Report The N Certificate Holder must certify
compliance with Section III, Division 1 by signing the appropriate
Data Report Form and applying the applicable ASME
Certification Mark (Code Symbol Stamp) to the component.
NCA-3600 Responsibilities
of an NPT Certificate Holder
NCA-3620 Categories of the NPT Certificate Holder’s
Responsibility NCA-3620 provides a list of the responsibilities of
the NPT Certificate Holder for satisfying provisions of Section III.
This list is largely a summary of the requirements of other portions
of Subsection NCA. Most of the items in the list contain a refer-
ence to the applicable paragraph of Subsection NCA.
The NPT Certificate Holder is responsible for complying with the
applicable requirements of Section III, Division 1; contributing infor-
mation needed for preparation of the Construction Report and distrib-
uting documents for Division 2 construction; fabricating assigned
parts in accordance with the applicable Design Drawings, Con-
struction Specification, and Section III, Division 1; qualifying
Material Organizations and suppliers of subcontracted services;
establishing, maintaining, and documenting a Quality Assurance
Program; filing the Quality Assurance Manual; obtaining an agree-
ment with an Authorized Inspection Agency (AIA); making applica-
ble documents available to the Inspector; reviewing and documenting
the approval of Certified Material Test Reports and Certificates of
Compliance for materials; preparing, accumulating, controlling, and
protecting required records; and preparing the required Data Reports.
NCA-3630 Obtaining a Certificate An NPT Certificate is
required for construction of any item intended to be in compliance
with requirements of Section III, Division 1, and intended to be
stamped with ASME Certification Mark with NPT Designator.
NCA-3640 Compliance with Section III Using the Design
Specification as a basis of design, the N Certificate Holder is
responsible for structural integrity that complies with Section III,
Division 1, and for furnishing a Design Report, if required.
NCA-3650 Design Documents for Appurtenances The NPT
Certificate Holder that furnishes appurtenances for attachment to
completed components is required to provide the Design
Documents for those appurtenances unless they are included in
the Design Documents for the component.
NCA-3660 Responsibility for Quality Assurance NPT
Certificate Holders are responsible for the quality of all products
they supply. This responsibility includes surveying, qualifying,
and auditing suppliers of subcontracted services, including nonde-
structive examination contractors and Material Organizations.
Material Organizations holding Quality System Certificates
(Materials) and Certificate Holders whose scope includes supply
or manufacture and supply of materials are not required to be sur-
veyed nor audited for work or material covered by the scope of
their Certificate. Subcontractors holding appropriate Certificates
of Authorization need not be surveyed nor audited for work within
the scope of the subcontractor’s Certificate.
It is important to note that the foregoing requirements address
the Quality Assurance Program requirements only of ASME
Section III. In addition to these requirements, the USNRC (as well
as the regulatory or enforcement agencies of some other countries’
governments) requires compliance with 10CFR50 Appendix B,
Quality Assurance Criteria for Nuclear Power Plants and Fuel
Reprocessing Plants. Therefore, audits may be required to verify
compliance with those provisions of 10CFR50 Appendix B that
are not addressed by Section III and the applicable ASME
Surveys. Examples include measures to ensure compliance with
10CFR21, Reporting of Defects and Noncompliance, and mea-
sures to ensure appropriate quality of items that are exempted by
Section III from ASME Quality Assurance Program requirements.
An NPT Certificate Holder may subcontract furnace brazing
operations to an organization not holding a Certificate, provided
the work performed is within the scope of the NPT Certificate
Holder’s Certificate; the activities are covered by the NPT Cer-
tificate Holder’s Quality Assurance Program, including Author-
ized Inspection by an ANI; these provisions are acceptable to the
Authorized Inspection Agency (AIA) and provide for surveillance
by the N Certificate Holder during brazing operations; the NPT
Certificate Holder surveys and accepts the Quality System Pro-
gram of the subcontractor; the NPT Certificate Holder ensures
that the brazing procedures and operators are qualified as required
by Section III; and the NPT Certificate Holder controls the quality
of the work and ensures that all items conform to all applicable
requirements of Section III, Division 1.
The NPT Certificate Holder must document its Quality Assurance
Program, file it with the Authorized Inspection Agency (AIA), and
keep a copy on file available to the Authorized Nuclear Inspector
(ANI).
NCA-3670 Data Report The NPT Certificate Holder must cer-
tify compliance with Section III, Division 1 by signing the appro-
priate Data Report Form and applying the ASME Certification
Mark with NPT Designator to the component.
NCA-3680 Responsibilities of an NS Certificate Holder In
the 1999 Addenda, provisions were added for manufacturers of
nonwelded supports to obtain Certificates from ASME. With the
new certification system, the support manufacturers now have a
means, within the certification system, of furnishing Design
Reports along with the supports they manufacture. The revision
replaced the NPT Certificate for welded supports with the NS
Certificate. This change eliminated the requirement for the fabri-
cator of welded supports to have an Authorized Nuclear Inspector
(ANI) in the shop. Further, the NF-1 Data Report was replaced
with an NS-1 Certificate of Conformance, which doesn’t require
the signature of an ANI. However, the NS Certificate Holder must
have a contract with an Authorized Inspection Agency (AIA),
COMPANION GUIDE TO THE ASME BOILER & PRESSURE VESSEL CODE • 5-13
which will perform annual reviews of the QA Program for ASME.
The 2004 Addenda added provisions to require each welded support
to be traceable to the NS-1 Certificate of Conformance, using a
marking method not detrimental to the support being supplied.
Under the requirements prior to 1999, when providing welded sup-
ports, an NF-1 Data Report was provided and a unique serial num-
ber was identified. The 2004 Addenda also added a requirement
that the number and revision level of the Design Report for non-
welded supports be identified on the Certificate of Compliance,
when the Certificate Holder has design responsibility.
NCA-3700 Responsibilities
of an NA Certificate Holder
NCA-3720 Categories of the NA Certificate Holder’s
Responsibility NCA-3720 provides a list of the responsibilities of
the NA Certificate Holder for satisfying provisions of Section III.
This list is largely a summary of the requirements of other portions
of Subsection NCA. Most of the items in the list contain a refer-
ence to the applicable paragraph of Subsection NCA.
The NA Certificate Holder is responsible for complying with the
applicable requirements of Section III, Division 1; qualifying
Material Organizations and suppliers of subcontracted services;
establishing, maintaining, and documenting a Quality Assurance
Program; filing the Quality Assurance Manual; obtaining an agree-
ment with an Authorized Inspection Agency (AIA); making applica-
ble documents available to the Inspector; reviewing and documenting
approval of Certified Material Test Reports and Certificates of
Compliance for materials; preparing, accumulating, controlling, and
protecting required records; and preparing the required Data Reports.
NCA-3730 Obtaining a Certificate An NA Certificate is
required to be obtained for construction of any item intended to be
in compliance with requirements of Section III, Division 1, and
intended to be stamped with the ASME Certification Mark with
NA Designator.
NCA-3740 Compliance with Section III Using the Design
Specification as a basis of Design, the N Certificate Holder is
responsible for structural integrity that complies with Section III,
Division 1, and also for furnishing a Design Report, if required.
NCA-3750 Design Documents for Appurtenances The NA
Certificate Holder that furnishes appurtenances to be attached to
completed component is required to provide the Design
Documents for those appurtenances, unless they are already
included in the Design Documents for the component.
NCA-3760 Responsibility for Quality Assurance The NA
Certificate Holder is responsible for surveying, qualifying, and
auditing suppliers of subcontracted services, including nonde-
structive examination contractors and Material Organizations.
Material Organizations holding Quality System Certificates
(Materials) and Certificate Holders whose scope includes supply
or manufacture and supply of materials are not required to be sur-
veyed nor audited for work or material covered by the scope of
their Certificate. Subcontractors holding appropriate Certificates
of Authorization need not be surveyed nor audited for work within
the scope of the subcontractor’s Certificate.
Is important to note that the foregoing requirements address the
Quality Assurance Program requirements only of ASME Section
III. In addition to these requirements, the USNRC (as well as the
regulatory or enforcement agencies of other some countries’ gov-
ernments) requires compliance with 10CFR50 Appendix B,
Quality Assurance Criteria for Nuclear Power Plants and Fuel
Reprocessing Plants. Therefore, audits may be required to verify
compliance with those provisions of 10CFR50 Appendix B that
are not addressed by Section III and the applicable ASME
Surveys. Examples include measures to ensure compliance with
10CFR21, Reporting of Defects and Noncompliance, and mea-
sures to ensure appropriate quality of items that are exempted by
Section III from ASME Quality Assurance Program requirements.
An NA Certificate Holder may subcontract furnace brazing
operations to an organization not holding a Certificate, provided
the work performed is within the scope of the NA Certificate
Holder’s Certificate; the activities are covered by the NA
Certificate Holder’s Quality Assurance Program, including
Authorized Inspection by an ANI; these provisions are acceptable
to the Authorized Inspection Agency (AIA) and provide for sur-
veillance by the NA Certificate Holder during brazing operations;
the NA Certificate Holder surveys and accepts the Quality System
Program of the subcontractor; the NA Certificate Holder ensures
that the brazing procedures and operators are qualified as required
by Section III; and the NA Certificate Holder controls the quality
of the work and ensures that all items conform to all applicable
requirements of Section III, Division 1.
The NA Certificate Holder must document its Quality
Assurance Program, file it with the Authorized Inspection Agency
(AIA), and keep a copy on file for the Authorized Nuclear
Inspector (ANI).
NCA-3770 Data Report The NA Certificate Holder must
certify compliance with Section III, Division 1 by signing the
appropriate Data Report Form and applying the ASME Certifi-
cation Mark with NA Designator to the component.
NCA-3800 Metallic Material
Organization’s Quality System Program
Until the early 1970s, the Certificate Holder that fabricated a
component was held entirely responsible for all of the materials
incorporated into that component. In 1973, ASME published new
requirements applicable to the organizations that manufactured
and supplied material for use by the Certificate Holder. Adoption
of these requirements transferred much of the responsibility for
the quality of the materials from the Certificate Holder that fabri-
cated the component to the actual manufacturers and suppliers of
the materials.
Throughout the 1980s, there was a considerable amount of con-
fusion regarding whether certain organizations belonged in the
category of Material Manufacturer or that of Material Supplier. An
example would be an organization that makes threaded bolting
material from bar stock. The bar stock may have been manufac-
tured and supplied to the bolting material manufacturer in accor-
dance with a material specification, such as SA-193. The bolting
manufacturer would machine or roll threads on the supplied rod,
and perhaps heat treat the material to alter its mechanical proper-
ties, before supplying the bolting material to an N-type Certificate
Holder. If the bolting manufacturer performed some heat treat-
ments on the bar material, it would fit the classical description of
a Material Manufacturer, defined as an organization producing
material (from ore, scrap, etc.) or performing some operation on
the material to alter or otherwise affect its properties. A Material
Supplier, on the other hand, was ordinarily an organization that did
5-14 • Chapter 5
nothing more to the material than divide and resell it. In the late
1980s and early 1990s, Material Suppliers often performed sup-
plemental testing as well. If a manufacturer simply made threads
on the material and did not affect its mechanical properties, it
would have been considered a Material Supplier, because it did
not perform any operations that altered the mechanical properties of
the material. However, it was certifying the bolting material to the
material specification, in this example, SA-193. In this case, the
bolting material manufacturer would be considered either a
Material Manufacturer or a Material Supplier.
In the early 1990s, the provisions of NCA-3800 were revised to
combine the classifications of Material Manufacturer and Material
Supplier into a single organization, called a Material Organization.
Now it is not important to try to determine whether this bolting
manufacturer is a Material Manufacturer or a Material Supplier,
because it is simply a Material Organization.
This change required combining the responsibilities and qua-
lity assurance activities of Material Manufacturers and Material
Suppliers into a single set of criteria applicable to Material
Organizations. Now the qualifying organization (the ASME or
the N-type Certificate Holder) looks at the activities performed
by the organization and determines which requirements are
applicable. Therefore, if an organization performs activities that
alter the mechanical properties of a material, that organization
must then have Quality Assurance Program elements that address
the activities needed to perform such material property alter-
ations, as well as program elements that address the manner in
which the organization certifies the results of the activities per-
formed. If an organization simply buys and resells material, without
affecting its properties, the activities associated with alteration of
the mechanical properties and certification of the new mechani-
cal properties need not be included in the Quality Assurance
Program.
The activities that will be performed by a Material Orga-
nization within the scope of its Certificate are described in detail
in its Quality Assurance Manual and in summary in the scope of
its Certificate. A Material Organization not holding a Certificate,
but rather qualified by the Certificate Holder that purchases the
material, is limited by the scope authorized by the N-type
Certificate Holder rather than being held to activities identified in
an ASME Certificate.
NCA-3810 Exclusions NCA-3810 was added to clarify the
exemptions of NB/NC/ND/NE/NF/NG-2610 (NX-2610). The
provisions of NX-2610 state that material that is smaller than
the sizes provided therein, and material that is permitted by
Section III to be provided with a Certificate of Compliance in lieu
of a Certified Material Test Report, need not meet all of the provi-
sions of NCA-3800. NX-2610 states that this exempted material
must be certified (with a Certified Material Test Report or
Certificate of Compliance) in accordance with the provisions of
NCA-3862.1. For Class 1 applications, NB-2610 states that this
exempted material must be identified and marked in accordance
with the provisions of NCA-3856.3.
These provisions were added because there has been some dif-
ference of opinion among Code authors and users regarding
whether NX-2610 or NCA-3800 takes precedence. The provisions
of NCA-3800 are mandated by NX-2610. Therefore, NCA-3800 is
applicable because NX-2610 says so, rather than simply because
NCA-3800 exists. If one follows this line of reasoning, the provi-
sions of NX-2610 clearly state which portions of NCA-3800 are
applicable and which portions are not. If, on the other hand, one
simply enters the Code through Subsection NCA, without regard
for the provisions of NX-2000, and tries to determine which pro-
visions of NCA-3800 are applicable, one would have difficulty
discovering this logic. For this reason, NCA-3810 provides some
clarification.
NCA-3810 was also expanded to clarify that approved suppli-
ers, i.e., those that have been qualified by organizations other than
ASME, may not qualify and approve suppliers of materials or ser-
vices that affect materials. Subsection NCA grants the right to
qualify these organizations only to ASME.
NCA-3820 Certification or Qualification of Material
Organizations Material Organizations may be qualified in one of
three ways:
(1) They may be certified by the ASME and issued a Quality
System Certificate (Materials).
(2) They may be qualified by the N-type Certificate Holder of
Authorization that will use the material.
(3) They may be qualified by an accredited Material Organi-
zation whose scope includes qualification of other Material
Organizations.
The first is known as a certified Material Organization; the lat-
ter two are known as qualified Material Organizations. Each of
these methods of qualification requires an evaluation of the orga-
nization’s Quality System Program, in accordance with the
requirements of NCA-3842.
An N-type Certificate Holder may also supply material that, by
definition, does not require application of a Code Symbol Stamp,
when stated in the scope of its Certificate. For this activity, a
Quality System Certificate is not required, because the applicable
Quality System Program provisions are verified by the ASME
Survey Team.
When a Material Organization or N-type Certificate Holder is
qualified and accredited by the ASME to supply material, the orga-
nization need not be surveyed, qualified, or audited by the user of
the material in order to satisfy ASME Code requirements.
However, it is important to note that this includes only the Quality
Assurance Program requirements of Section III. In addition to
these requirements, the USNRC (as well as the regulatory or
enforcement agencies of some other countries’ governments) re-
quires compliance with 10CFR50 Appendix B, Quality Assurance
Criteria for Nuclear Power Plants and Fuel Reprocessing Plants.
Therefore, audits may be required to verify compliance with those
provisions of 10CFR50 Appendix B that are not addressed by
Section III and the applicable ASME Surveys. Examples include
measures to ensure compliance with 10CFR21, Reporting of
Defects and Noncompliance, and measures to ensure appropriate
quality of items that are exempted by Section III from ASME
Quality Assurance Program requirements.
NCA-3830 Responsibilities of Material Organizations The
Material Organization must establish, document, implement, and
maintain a Quality System Program, in accordance with the provi-
sions of NCA-3850. The program must address all activities per-
formed by the organization that are within the scope of Section III.
The Quality System Program must include measures for traceability
of material or source material while under the control of the
Material Organization.
COMPANION GUIDE TO THE ASME BOILER & PRESSURE VESSEL CODE • 5-15
NCA-3840 Evaluation of the Program
NCA-3841 Evaluation by the Society Prior to 1973, the N-type
Certificate Holder was entirely responsible for the quality of all the
materials it used. NB-2000 listed seven different activities of
Material Manufacturers that were to be audited by the N-type
Certificate Holder. These activities included traceability of materi-
als, qualification of welders and welding procedures, qualification
of NDE personnel, and calibration of measuring test equipment.
In 1973, Subarticle NA-3700 was added to Section III, Division 1
and provided, for the first time, requirements for the quality assur-
ance program of the Material Manufacturer. These requirements
were based on applicable provisions of the 18-point criteria of
10CFR50 Appendix B, Quality Assurance Criteria for Nuclear
Power Plants and Fuel Reprocessing Plants, and ANSI/ASME
N45.2, Quality Assurance Program Requirements for Nuclear
Power Plants, which was first published in 1971 and was revised in
1974. These requirements no longer contain 18 specific criteria,
because they have been reorganized to be more applicable to man-
ufacture and supply of material.
Because these new requirements mandated that Material
Manufacturers and Material Suppliers be audited and qualified by
each N-type Certificate Holder using their services, the American
Society of Mechanical Engineers, also known as the ASME or “the
Society,” soon decided to begin qualifying and accrediting these
organizations. The intent of this accreditation program was to pro-
vide uniform evaluations and qualifications of these organizations,
and to reduce the number of audits that these organizations were
required to undergo. Thus, in 1975, the ASME began qualifying
and accrediting Material Manufacturers and Material Suppliers,
now known as Material Organizations, to NA-3700. (In the
Summer 1977 Addenda, Subsection NA was combined with
Subsection CA, the General Requirements for Section III, Division 2
construction. The result was NCA-3800.)
Since that time, the Society has been surveying Material
Organizations’ Quality System Programs for the scope of activities
requested by the organization. The QA Program is evaluated on the
basis of its compliance with the applicable material requirements of
Section III (NX-2000) and the Quality Assurance Program require-
ments of NCA-3850.
The Quality System Certificate (Materials) is issued for a three-
year period. The Certificate describes and specifies the scope and
limitations of work for which the accredited Material Organization
is qualified. The Material Organization is subject to a planned audit
program by the ASME. Normally, the Material Organization’s
Quality Assurance Program is audited on an annual basis.
Six months prior to expiration of the Certificate, the organization
applies for a renewal evaluation and issuance of a new Certificate.
The Material Organization is required to file a copy of its Quality
System Manual with the ASME. The manual is the Society’s guide
for surveying and auditing the Material Organization. The manual
must include enough information to demonstrate compliance with
all applicable requirements; detailed technical procedures are not
approved by the Society. It is common for the Society to require
addition of more detailed descriptions of the Quality System
Program to the Manual to satisfy this requirement.
The Material Organization must provide a controlled copy of its
Quality System Manual to the Society’s Audit Team. The accre-
dited Material Organization must obtain the Society’s review and
acceptance of proposed revisions to its Quality System Manual,
prior to their implementation.
The Material Organization may request that the scope of its
Quality System Certificate include
(1) qualification of noncertified Material Organizations (NCA-3842);
(2) use of unqualified source material (NCA-3855.5); and/or
(3) approval and control of suppliers (NCA-3855.3).
The manner in which these activities are to be controlled must
be described in the Quality System Manual, and these controls
must be approved by the Society.
NCA-3842 Evaluation by Parties Other Than the Society
When Material Organizations are qualified by parties other than
the ASME, the qualification must be limited to furnishing material
(including source material) or subcontracted services only to the
certified Material Organization or Certificate Holder performing
the evaluation and qualifying the Material Organization, or to their
designee. This means that the Material Organization qualified by a
certified Material Organization or Certificate Holder may not fur-
nish material or subcontracted services to an unrelated organiza-
tion. An example of the exception to this requirement (to a
designee) is when an N Certificate Holder qualifies a Material
Organization and permits it to furnish material to an NPT or NA
Certificate Holder subcontracted by the N Certificate Holder [see
NCA-3561(b)].
The Material Organization’s Quality Assurance Program is sur-
veyed, accepted, and audited on the basis of its compliance with
the applicable material requirements of Section III (NX-2000) and
the Quality Assurance Program requirements of NCA-3850. The
Quality System Manual is the qualifying party’s guide for survey-
ing and auditing the Material Organization. The manual must
include enough information to demonstrate compliance with all
applicable requirements; detailed technical procedures are not
approved by the Society. The qualifying organization may require
addition of more detailed descriptions of the Quality System
Program to the Manual to satisfy this requirement.
The Material Organization is required to notify purchasers of
material, source material, or subcontracted services accepting its
program of proposed revisions to its Quality System Manual. The
party accepting the Program must evaluate and accept such revi-
sions prior to implementing revisions on purchased materials or
services. The qualifying party usually requires a controlled copy
of the Quality System Manual to ensure that this requirement is
met.
When the qualified Material Organization’s scope of activities
includes use of unqualified source material (NCA-3855.5) or
approval and control of suppliers (NCA-3855.3), the manner in
which these activities are to be controlled must be described in the
Quality System Manual, and these controls must be reviewed and
accepted by the party accepting the Program. During surveys or
audits of qualified Material Organizations, the party performing
the evaluation must review objective evidence that the qualified
Material Organization’s control of suppliers is adequate to ensure
compliance with the applicable requirements of Section III.
Qualification of noncertified Material Organizations (NCA-
3842) by a qualified (noncertified) Material Organization is no
longer permitted by NCA-3800. Material organizations may be
certified only by the Society, by the Certificate Holder using the
Material or his designee, or by a certified Material Organization.
The practice of multitier qualification of Material Manufacturers
and Suppliers is no longer permitted because the quality of such
evaluations and reviews was deemed to be highly questionable.
5-16 • Chapter 5
Parties performing evaluations of qualified Material Orga-
nizations must include the frequency of audits of Material Orga-
nizations in their Quality Assurance Manual and must perform
audits at a frequency commensurate with the schedule of produc-
tion or procurement, but at least triennially during any interval in
which materials are controlled or services are performed by the
Material Organization being evaluated.
The party performing the evaluation must also supplement tri-
ennial audits with annual audits or performance assessments doc-
umenting the effectiveness of the qualified Material Organization’s
Quality System Program. The assessments must be commensurate
with the schedule of production or procurement, and must be con-
ducted at least once annually during the interval in which materi-
als or source materials are controlled, or services are supplied, by
the Material Organization being evaluated. The assessments must
include a documented review of the qualified Material Orga-
nization’s history of conditions adverse to quality, nonconfor-
mances, and corrective actions. The assessments must include a
documented review of periodic testing performed since the last
assessment, to demonstrate conformance of sample materials to
selected requirements of the material specification. Such testing
must be conducted during the period since the last assessment by
the party performing the evaluation.
NCA-3850 Quality System Program Requirements
NCA-3851 Responsibility and Organization The Material
Organization is required to plan, document, implement, and main-
tain a Quality System Program meeting the requirements of NCA-
3850. The program must provide measures for controlling quality
during manufacture or other work that the Material Organization
proposes to perform, including traceability of material or source
material under its control. The program must provide for planning
and accomplishment of activities affecting quality. The program
must provide for any special controls, processes, test equipment,
tools, and skills needed to attain the required quality, and must pro-
vide for verification of quality. The program must include mea-
sures to comply with all applicable requirements of Section III.
The Material Organization’s Quality System Manual must
define the specific activities included in the scope of the work that
the organization proposes to perform. It must address any and all
of the following activities that are included in that scope of work:
(1) operations performed during the melting and heat analysis
affecting mechanical properties, conversion from one prod-
uct form into another, and certification to the applicable
material specification.
(2) testing, examination, repair, or treatments required by the
material specification or the specific applicable material
requirements of Section III, and certification of the results
of such tests, examinations, repairs, or treatments.
(3) receipt, identification, verification, handling, storage, and
shipment of material or source material.
(4) qualification of Material Organizations permitted by NCA-
3820(b).
(5) approval and control of suppliers of source material or sub
contracted subcontracted services (NCA-3855.3).
(6) utilization of unqualified source material (NCA-3855.5).
The organizational structure for executing the Quality System
Program is not specifically prescribed by Section III. However, the
persons and organizations assigned the Quality Assurance func-
tions must have sufficient authority and organizational freedom.
These persons or organizations must be designated in the Quality
System Manual, must be sufficiently independent from the pres-
sures of production, must have direct access to responsible man-
agement at the level where appropriate action can be initiated, and
must report regularly on the effectiveness of the Program.
The Quality System Manual must document the organizational
structure, functional responsibilities, levels of authority, and lines
of communication for activities affecting quality. Persons or organi-
zations responsible for ensuring the effectiveness of the Quality
System Program must have sufficient authority, access to work
areas, and organizational freedom to identify quality problems;
initiate, recommend, or provide solutions to quality problems
through designated channels; verify implementation of solutions;
and ensure that further processing, delivery, or use is controlled
until proper disposition of a nonconformance, deficiency, or unsat-
isfactory condition has occurred. People assigned the responsibility
of checking, auditing, or otherwise verifying that production and
quality control activities have been correctly performed must be
independent of the individual or group directly responsible for
performing the specific activity. These people may not report
directly to the supervisor with immediate responsibility for the
work being verified. In addition, management is required to regu-
larly (generally at least annually) review the status and adequacy
of the program.
This management review, in the past, has often been performed
by the Quality Assurance Department or by individuals not directly
associated with the activities performed by the Material
Organization. In recent times, this requirement has been interpreted
to mean that each manager of personnel performing activities
affecting quality must perform an internal review of his or her
department’s activities. The purpose of this review is to ensure that
each group performing activities affecting quality is assessing its
own performance, based on its own intimate knowledge of the
activities, rather than relying on the judgment of outside sources
with less knowledge of those activities.
NCA-3852 Indoctrination, Training, and Qualification of
Personnel The Quality System Program is required to have
measures to ensure that all personnel performing or managing
activities affecting quality are appropriately indoctrinated or
trained. These measures must ensure that personnel to be indoc-
trinated or trained are identified. The extent of indoctrination
and training should be commensurate with the scope, complexity,
and nature of the activity, as well as the background and educa-
tion of the person. Personnel must be indoctrinated in applicable
Codes and Standards, company procedures, Quality System
Program requirements, and the responsibilities and authority of
their function. Training should be provided, as needed, for ini-
tial proficiency, maintenance of proficiency, and changes in job
responsibilities. Records of this indoctrination and training must
be prepared and maintained.
Nondestructive examination personnel must be qualified in
accordance with NB/NC/ND/NE/NF/NG-5521, for the applicable
Class of construction.
Personnel who lead audits must be qualified on the basis of edu-
cation, experience, training, audit participation, and written exami-
nation, in accordance with the Material Organization’s Quality
System Program.
NCA-3853 Quality System Program Documentation The
Quality System Program must be described and summarized in the
COMPANION GUIDE TO THE ASME BOILER & PRESSURE VESSEL CODE • 5-17
Quality System Manual. This Manual is a major basis for demon-
strating compliance with the requirements of Section III. The
Quality System Program must be implemented by written instruc-
tions, procedures, or drawings, appropriate to the circumstances.
Such procedures or instructions may be maintained separately or
in the Quality System Manual. These documents must include or
reference appropriate acceptance criteria for determining that the
prescribed activities have been satisfactorily completed.
The Program must control preparation, issuance, and change of
documents that specify quality requirements or prescribe activities
affecting quality. These controls must ensure that the correct doc-
uments are being used at the locations where the activities are
being performed. Such documents include Quality System
Program Manuals, purchase specifications, instructions, proce-
dures, and drawings. These documents must be reviewed for ade-
quacy and must be approved for release by authorized personnel.
Detailed technical procedures and processes are not considered
part of the Manual; however, the administrative controls applicable
to these procedures and processes must be described in the Manual.
Records that furnish documentary evidence of quality must be
prepared, controlled, and maintained. These records must be legi-
ble, identifiable, and retrievable. They must also be protected
against damage, deterioration, or loss. The Manual must identify
requirements and responsibilities for these activities.
All characteristics required to be reported by the material speci-
fication or by Section III must be verified by the Material
Organization, and the results must be recorded. The records of
these examinations and tests must be traceable to the document
and revision of the instruction or procedure to which the inspec-
tion, examination, or test was performed.
NCA-3855 Control of Purchased Materials, Source Materials,
and Services The Quality System Program must include measures
to ensure that all purchased material and source material, including
welding material used for base metal repair, and sub-contracted ser-
vices conform to all applicable Section III requirements. The aim of
these measures is to prevent use of incorrect or defective material or
material that has not received the required examinations or tests.
Material must be furnished by a Material Organization or a
Certificate Holder. Services required by the material specification
or Section III must be furnished by a Material Organization, an
approved supplier, or a Certificate Holder. They, in turn, are re-
sponsible for approval and control of activities performed by sup-
pliers of source materials and suppliers of subcontracted services.
This control must provide for source evaluation, surveys, audits,
objective evidence of quality, and receipt inspection.
Procurement documents must contain sufficient requirements to
ensure that all applicable Section III requirements will be met.
Except as permitted for unqualified source material by NCA-3855.5,
the procurement documents must require that material, source
material, or subcontracted services be furnished in accordance
with NCA-3800 requirements. These procurement documents
must require the supplier to certify compliance with the accepted
Quality System or controls. Procurement documents that specify
quality requirements or prescribe activities affecting quality must
be reviewed and approved by authorized personnel.
Under certain conditions, material furnished by an organization
that is not a Material Organization, approved supplier, or
Certificate Holder may be used. This material is called “unquali-
fied source material.” Prior to the 1994 Addenda, this material
was known as “stock material,” but in the 1994 Addenda, the
name was changed, to provide a more accurate description of the
nature of this material. The term “unqualified source material” is
intended to indicate that the material is received from an unquali-
fied source, not that the material is inadequate in any way. It does
indicate, however, that the quality of the material is indeterminate,
as received, and must be verified by the receiving organization.
By the very nature of material manufacture, some of the proper-
ties of this indeterminate material may be verified, while others are
impossible to verify without destroying the material. The Material
Organization receiving unqualified source material is permitted to
accept certification of the requirements of the material specifica-
tion that must be performed during the melting, heat analysis, and
heat treatment of the material. The organization must, however, do
the following:
(1) verify that no welding with filler metal has been performed
on the unqualified source material;
(2) perform or subcontract a product analysis on the material to
verify the chemical composition of each piece of the
unqualified source material; and
(3) perform or subcontract all other requirements of the material
specification on each piece of unqualified source material.
Alternatively, for material for which a Certificate of Compliance
is acceptable in lieu of a Certified Material Test Report [NCA-
3862.(g)], testing of each piece is not required. For this material,
the Material Organization may perform or subcontract all other
requirements of the material specification on each heat or heat-
treatment lot of the unqualified source material. This alternative
may be applied only under the following conditions:
(1) A Certified Material Test Report must be provided with the
unqualified source material, even when one is not otherwise
required.
(2) The unqualified source material must be traceable to the
Certified Material Test Report.
(3) The procurement documents for this material must require
that the supplier of the material establish written procedures
for identifying source materials in a manner that provides
traceability to the Certified Material Test Report.
(4) The recipient of the material must review and accept the
supplier’s identification and traceability procedures and ver-
ify compliance with the procedures at a frequency commen-
surate with the schedule of production or procurement, and
at least once triennially.
(5) Upon receipt, the recipient shall verify, by review of objec-
tive evidence, that the requirements of the procurement doc-
ument have been met.
This process of converting unqualified source material into
acceptable material is known as “conversion” of unqualified
source material; it was previously known as “conversion” or
“upgrading” of stock material.
NCA-3856 Identification, Marking, and Material Control
The Quality System Program must have controls to ensure that
material or source material is identified in a manner that permits
only correct and accepted material to be used. These measures
must ensure that the material is controlled throughout the manu-
facturing process during performance of tests, examinations,
repairs, and treatments, and also during receipt, storage, handling,
and shipment. The identification marking must be transferred to all
pieces when material or source material is divided. Marking meth-
ods are not prescribed, but the method must not result in harmful
5-18 • Chapter 5
contamination or sharp discontinuities. The marking requirements
of the material specification must be met.
Completed material is required to be marked with the applicable
specification and grade of the material, the heat number or heat
code of the material, and any additional marking required by
Section III, to facilitate traceability of the material to reports of the
results of all test examinations performed on the material. (When
a Certificate of Compliance is allowed, in lieu of a Certified
Material Test Report, heat-number identification is not mandatory.)
Some nonferrous material specifications do not require traceability
of the material to a mill heat or heat-treatment lot. For these mate-
rials, except when a Certificate of Compliance is permitted in lieu
of a Certified Material Test Report, the material must be marked
with a symbol or code that identifies the lot of material traceable to
the Certified Material Test Report.
All requirements of the material specification must be met,
except as specifically exempted by Section III. In case of any con-
flict between Section III and the material specification, the provi-
sions of Section III govern. The material specification and grade
number are to be followed with an asterisk (*) to indicate that
exceptions to the material specification have been taken as shown
on the material certification. One example of such a conflict existed
in the late 1970s and early 1980s, when A/SA-564 required
impact testing of all sizes of material, and Section III, Division 1
permitted an exemption from impact testing for material
5
⁄8 in. and
less in thickness. This material could be furnished in compliance
with Section III requirements without meeting the material speci-
fication impact-testing requirements.
Except as required by the material specification, bolts and nuts
1 in. in nominal diameter and smaller, as well as other products
on which the largest space available for marking is less than 1 in. in
any one direction, need not be individually marked. However,
when not individually marked, they must be packed in containers
that are clearly identified by legible marking, to ensure positive
identification of the material. The marking on the containers must
identify the material with the Certificate of Compliance [NCA-
3862.1(g)] or must be traceable to the Certified Material Test
Report (NCA-3862.1), as applicable.
Welding and brazing materials are to be clearly identified by
legible marking on the package or container to ensure positive
identification of the material. The marking must include the heat
or lot number, as applicable, the code that provides traceability of
the material to the Certified Material Test Report (NCA-3862.1),
and any other information needed to facilitate traceability to the
Certified Material Test Report.
NCA-3857 Process Control Processes—including welding, heat
treating, and nondestructive examination—affecting quality of
materials, source materials, or services are required to be controlled
and must be performed by qualified personnel using qualified pro-
cedures in accordance with specified requirements. Operations
must be performed under a system that provides process controls to
meet all material-specification and Section III requirements.
Welding must be performed in accordance with procedures and by
welders or welding operators qualified in accordance with Sections III
and IX. Procedure and performance qualifications must be docu-
mented. The Quality System Program must provide instructions for
handling, storage, shipping, and preservation of material or source
material to prevent damage or deterioration.
NCA-3858 Control of Examinations, Tests, and Noncon-
forming Material Inspections, examinations, and tests must be
specified and performed as necessary to ensure conformance
with requirements of Section III and the material specification.
Characteristics to be inspected, examined, or tested and the
methods to be used for inspection, examination, or testing must be
specified. Inspection, examination, and test results must be docu-
mented, and their conformance with the specified acceptance cri-
teria must be evaluated.
Tools, gauges, instruments, and other measuring and testing
devices used to verify compliance with Section III and the materi-
al specification must be calibrated and properly adjusted at speci-
fied periods or use intervals to maintain accuracy within necessary
limits. More loosely controlled periodic checking may be per-
formed between calibrations to ensure that calibration is main-
tained. Calibration must be against certified equipment having
known valid relationships and documented traceability to nation-
ally recognized standards, when possible. In other cases, the basis
for calibration must be documented. Control measures must
include provisions for determining calibration status by equipment
marking or on records traceable to the equipment.
When discrepancies in excess of tolerances for measuring or test
equipment are found at calibration, appropriate corrective action
must be taken. Material measured or tested since the previous cali-
bration must be reviewed and evaluated to determine whether all
applicable requirements are being met. When periodic checking is
used to verify maintenance of calibration, potential discrepancies
identified by the periodic check may be resolved only to the previ-
ous check.
The Quality System Program must contain provisions to ensure
that the status and results of any required inspections, examina-
tions, or tests can be determined at any time. The authority for
application and removal of status indicators must be specified.
The QC Program must include measures to prevent use of non-
conforming material. Nonconforming material must be identified,
segregated when practical, and reviewed for acceptance, rejection, or
repair, in accordance with documented procedures. Responsibilities
and authority for disposition of nonconforming materials must be
identified. Pending disposition, further processing of nonconforming
or defective material must be limited by these controls.
NCA-3859 Audits and Corrective Action Material Organizations
must perform audits of suppliers of material and of subcontracted
services, as well as internal audits to determine the effectiveness of
all aspects of its Quality System Program. These audits must be per-
formed in accordance with written procedures and checklists, by
personnel not having direct responsibility in the areas being audited.
The audit results must be reviewed by management responsible for
the area being audited and corrective action must be documented.
Follow-up action, including verification audits, must be taken to
verify implementation of such corrective actions.
The Quality System Program must include measures to ensure
that conditions adverse to quality are promptly identified and
reported to appropriate levels of management. These measures
must ensure that the cause of the adverse condition is determined
and corrected. Significant conditions adverse to quality must be
reported to appropriate levels of management where corrective
actions can be assured.
NCA-3860 Certification Requirements
NCA-3861 Certification Requirements for Material
Organizations The Material Organization must provide a
Certified Material Test Report or Certificate of Compliance, as
COMPANION GUIDE TO THE ASME BOILER & PRESSURE VESSEL CODE • 5-19
applicable (NCA-3862), for the material. The certification affirms
that the contents of the report are correct and accurate and that all
test results and operations performed by the Material Organization
or its subcontractors are in compliance with Section III and the
material specification. Any analyses, tests, examinations, and
treatments required by the material specification that were not per-
formed must be listed on the certification or an attachment.
When the Material Organization’s scope of activities includes
conversion of the product’s form, the certification must state that
the material also conforms to the applicable dimensional require-
ments. The Material Organization must transmit all certifications
received from other material organizations or approved suppliers
to the purchaser at the time of shipment.
The Certificate Holder responsible for fabrication of the com-
ponent must complete all operations not completed by the Material
Organization and must provide a Certified Material Test Report for
all operations performed by the Certificate Holder or approved
suppliers. The Certificate Holder must certify that the contents of
the report are correct and accurate and that all test results and opera-
tions are in compliance with Section III and the material specifica-
tion. Alternatively, the Certificate Holder may provide a Certified
Material Test Report for operations performed by the Certificate
Holder and Certified Material Test Reports from its suppliers for
any operations they performed.
NCA-3862 Certification of Material Certified Material Test
Reports are required for most material. The Certified Material Test
Report (also known as a CMTR) must include the actual results of
all required chemical analyses, tests, and examinations. When any of
the required analyses, heat treatments, tests, examinations, or repairs
are subcontracted, the approved supplier’s certification for the oper-
ations performed must be furnished as an attachment to the Certified
Material Test Report. The CMTR must also include a report of any
weld repairs performed on the material. If any radiographic exam-
inations are performed on the material, including repair welds, the
radiographic film must be included as a part of the Certified Material
Test Report. When the material specification requires specific times
or temperatures for heat treatment, they must be reported.
Otherwise, a statement of the type of heat-treated condition must be
included on the CMTR. For austenitic stainless steels and high-nickel
alloys, a statement of the minimum solution annealing temperature
is sufficient. When weld repairs are performed, the times and tem-
peratures of any postweld heat treatments must be reported.
Reporting of dimensional inspection by visual examination results is
not required. Notarization is also not required.
For material in. nominal pipe size (NPS ) and smaller (pipe,
fittings, flanges, materials for valves, and tubes, except exchanger
tubes) and for bolting 1 in. and smaller, the Certificate of
Compliance with the material specification, grade, class, and
heat-treated condition, as applicable, may be provided in lieu of a
Certified Material Test Report. Material identification markings
must be described in the Certified Material Test Report or
Certificate of Compliance, as applicable. For material requiring a
Certified Material Test Report, the report must identify the mate-
rial marking and must provide traceability of the material to the
certification for each heat or heat-treatment lot. For material for
which a Certificate of Compliance is permitted, traceability to a
heat or heat-treatment lot is not required.
When the Material Organization holds a Quality System
Certificate (a certified Material Organization), the Certificate
Number and expiration date must be shown on the Certified
Material Test Report or Certificate of Compliance, as applica-
3
4
3
4
ble, or on a certification included with the documentation that
accompanies the material. When the Material Organization has
been qualified by a party other than the ASME (that is, a quali-
fied Material Organization), the revision and date of the applica-
ble Quality System Program must be shown on the Certified
Material Test Report or Certificate of Compliance, as applica-
ble, or on a certification included with the documentation that
accompanies the material. The inclusion of the Quality System
Certificate Number and expiration date, or reference to the revi-
sion and date of the applicable written Quality System Program,
is considered the Material Organization’s certification that all
activities have been performed in accordance with the applica-
ble requirements of Section III and the applicable material
specification.
For many years, these requirements have often been misapplied.
It has been the practice of many Material Organizations (previously
known as Material Suppliers) to buy material certified by the man-
ufacturer (previously the Material Manufacturer) and recertify that
material to a different Edition or Addenda of the Code, and occa-
sionally to a different material specification. This practice is pro-
hibited by Section III. The Material Organization is permitted to
certify the results of tests and examinations that it performs, but it
is not permitted to certify that the tests and examinations per-
formed by the manufacturer or supplier of the material meet a dif-
ferent Edition, Addenda, or specification than the one to which the
material was certified by the material manufacturer. For example,
the Material Organization may not buy a material certified to the
1989 Edition of Section III and a particular material specification,
and recertify that same material to the Winter 1975 Addenda of
Section III and the material specification, without performing or
supervising all of the tests required by the Winter 1975 Addenda
of Section III and the material specification. There are at least
seven ASME Interpretations, covering a wide range of Editions
and Addenda, that support this conclusion. The latest of these
Interpretations, covering Material Organizations, is III-1-95-34.
Earlier Interpretations, addressing Material Suppliers, include
III-80-115, III-1-79-205, III-1-79-46, III-1-78-143, III-1-78-134,
and III-1-78-32. The latest of these, Interpretation III-1-95-34,
states
Question (1): Is it permissible for a Material Organization
that purchases and resells material, without performing or
contracting performance of any of the testing, examination,
repair, or treatment required by the material specification, to
issue a letter stating that the material he has supplied meets
the requirements of the material specification and Section III,
if the material was produced by another organization in
accordance with NCA-3800, and maintained by the Material
Organization in question in accordance with NCA-3800?
Reply (1): A Material Organization may only certify oper-
ations performed by him as permitted by NCA-3861. NCA-
3861 permits certification by the Material Organization of
test results and operations performed by him or his sub-
contractors, of compliance with the specific material spec-
ification and the applicable material requirements of
Section III.
Question (2): For Section III construction, may a Material
Organization, by reviewing the ASME Boiler and Pressure
Vessel Code Addenda, determine that material meets or exceeds
the requirements of a different Addenda than that shown on the
5-20 • Chapter 5
CMTR furnished by the Material Organization that produced
and certified the material to the material specification, and state
this determination in a letter to his customer?
Reply (2): Section III does not prohibit a Material
Organization that purchases and resells material, without per-
forming or contracting performance of any of the testing,
examination, repair, or treatment required by the material
specification, from providing its customers with a letter stating
the Material Organization’s opinion of material properties as
shown on a CMTR and their conformance to the requirements
of the Code. However, a Material Organization may certify or
recertify to results of tests, examinations, repairs, or treatments
performed only by him as permitted by NCA-3861.
Question (3): Is it permissible for a Material Organization to
take the certification of a material supplied by another
Material Organization, verify that the information on the cer-
tification meets the customer’s requirements, and reissue this
certificate under their own letterhead?
Reply (3): Certified Material Test Reports are required for the
test results and operations performed by the Material
Organization and shall not be modified by another Material
Organization.
NCA-3900 Nonmetallic Material
Manufacturer’s and Constituent
Supplier’s Quality System Program
NCA-3920 Quality System Certificate (Nonmetallic Materials)
Nonmetallic material manufacturers may be qualified in one of
two ways:
• They may be accredited by the ASME and be issued a Quality
System Certificate (Materials).
• They may be qualified by the constructor or fabricator of the
concrete component.
The first is known as an accredited Material Organization. The
latter is known as a qualified Material Organization. Each of these
methods of qualification requires an evaluation of the organiza-
tion’s Quality System Program, in accordance with the require-
ments of NCA-3962.
A nonmetallic material constituent supplier may obtain a
Quality System Certificate (Materials) issued by the ASME, veri-
fying the adequacy of the nonmetallic material constituent
supplier’s identification and verification program. Alternatively,
the nonmetallic material manufacturer may be responsible for
ensuring that the constituents supplied meet the requirements of
NCA-3950(b) and (c).
NCA-3923 Evaluation for Quality System Certificates The
nonmetallic material manufacturer’s Quality Assurance Program
is evaluated on the basis of its compliance with the applicable
material requirements of Section III (CC-2000) and the Quality
Assurance Program requirements of NCA-4000, except for NCA-
4134.2(d) and NCA-4134.3. The Quality System Certificate
(Materials) is issued for a three-year period. The Certificate
describes and specifies the scope and limitations of work for
which the accredited nonmetallic material manufacturer is quali-
fied. The nonmetallic material manufacturer is subject to a
planned audit program by the Society. Six months prior to expira-
tion of the Certificate, the nonmetallic material manufacturer may
apply for a renewal evaluation and issuance of a new Certificate.
The nonmetallic material constituent supplier’s identification
and verification program is evaluated on the basis of its compli-
ance with the applicable requirements of Section III. A non-
metallic material constituent supplier must meet all requirements
of CC-2100 and CC-2200. The Quality System Certificate
(Materials) is issued for a three-year period. The Certificate
describes and specifies the scope and limitations of work for
which the accredited nonmetallic material manufacturer is quali-
fied. The nonmetallic material manufacturer is subject to a
planned audit program by the Society. Six months prior to expira-
tion of the Certificate, the nonmetallic material manufacturer may
apply for a renewal evaluation and issuance of a new Certificate.
NCA-3950 Quality Program Requirements The requirements
for ice and water are limited to those tests required by CC-5225.
NCA-3960 Responsibility
NCA-3961 Constructor or Fabricator The constructor or
fabricator responsible for placement of plastic concrete must
ensure that the plastic concrete meets the requirements of the
Construction Specification and that the tests performed by the
manufacturer and supplier of the nonmetallic materials and con-
stituents meet the requirements of Section III, Division 2.
The constructor or fabricator must survey and qualify the
Quality Assurance Program of the nonmetallic material manufac-
turer, if the latter does not have a Quality System Certificate. The
constructor or fabricator must perform any of the functions
required by NCA-4000 that are not performed by the manufac-
turer of plastic concrete and may optionally perform any other
functions that are normally the responsibility of the manufacturer
of plastic concrete. The constructor or fabricator must provide
access for the Authorized Inspector (ANI or ANIC) to perform his
or her duties. The functions performed by the constructor or fabri-
cator must be clearly defined in its Quality Assurance Program.
The nonmetallic material manufacturer must ensure that nonmetal-
lic material constituent suppliers meet all requirements of CC-
2100 and CC-2200.
NCA-3962 Nonmetallic Material Manufacturer The
Nonmetallic Material Manufacturer responsible for manufactur-
ing nonmetallic materials for concrete containment vessels must
have its Quality System Program surveyed and qualified by the
Constructor or Fabricator if it does not obtain a Quality System
Certificate. The Nonmetallic Material Manufacturer using the
constituents must survey and qualify the Quality System
Programs of Nonmetallic Material Constituent Suppliers if they
do not obtain a Quality System Certificate (NCA-3923).
NCA-3963 Nonmetallic Material Manufacturer The Nonme-
tallic Material Constituent Supplier must have its Quality System
Program surveyed and qualified by the Nonmetallic Material
Manufacturer if it does not obtain a Quality System Certificate.
NCA-3970 Polyethylene Material Organization’s Quality
System Program The requirements of NCA-3970 provide for
various entities known as Certificate Holders and Polyethylene
Material Organizations. Performance of operations, processes,
COMPANION GUIDE TO THE ASME BOILER & PRESSURE VESSEL CODE • 5-21
and services related to procurement, manufacturing, and supply of
polyethylene source material and polyethylene material is limited
to these entities.
The Polyethylene Material Organization must obtain a Quality
System Certificate issued by the Society, have their Quality
System Program surveyed and qualified by the holder of an
ASME Certificate of Authorization, or have its Quality System
Program surveyed and qualified by the Polyethylene Source
Material Manufacturer or Polyethylene Material Manufacturer
using the services of the Polyethylene Service Supplier.
These provisions were added in the 2010 Edition, along with
the provisions for manufacturing polyethylene pipe in Class 3
piping systems in nuclear power plants. Because homogeneity in
polyethylene material must be provided from the point of manu-
facturing the resins from which the pipe is manufactured, these
quality assurance provisions apply to manufacturers of the source
materials from which the polyethylene pipe is made.
The evaluation provisions are similar to those of NCA-3840.
They include evaluation by the Society, evaluation by ASME
Certificate Holders that fabricate polyethylene pipe, Evaluation of
Polyethylene Service Suppliers by the Polyethylene Source
Material Manufacturer or Polyethylene Material Manufacturer,
and Evaluation of Polyethylene Service Suppliers Providing
Calibration Services by Other Polyethylene Service Suppliers.
5.5 ARTICLE NCA-4000 QUALITY
ASSURANCE
NCA-4110 Scope and Applicability
NCA-4000 provides requirements for planning, managing, and
conducting Quality Assurance Programs for controlling the quality
of activities performed in accordance with Section III, and pro-
vides requirements governing evaluation of such programs prior to
issuance of Certificates of Accreditation for construction, fabrica-
tion, manufacture, and installation of Section III items.
Is important to note that there may be additional Quality
Assurance Program requirements mandated by applicable jurisdic-
tional or regulatory authorities, such as the USNRC’s 10CFR21,
Reporting of Defects and Noncompliance, and 10CFR50 Appen-
dix B, Quality Assurance Criteria for Nuclear Power Plants and
Fuel Reprocessing Plants. These regulations might mandate addi-
tional provisions that are not specifically addressed in NCA-4000
and might impose additional requirements on items that are not
within the jurisdiction of NCA-4000.
NCA-4120 Definitions
Definitions for many of the terms used in NCA-4000 are provided
in the NCA-9000 Glossary. Additional definitions are provided in
NQA-1, Quality Assurance Program Requirements for Nuclear
Facilities, Supplement S-1. For the following terms, the definitions
in NCA-9000 take precedence over those in NQA-1: item, Owner,
quality assurance, repair, rework, service, and use-as-is. The defini-
tions in NCA-9000 require that the final disposition of items
ensures compliance with Section III requirements.
NCA-4130 Establishment and
Implementation
NCA-4134 N, NV, NPT, and NA Certificate Holders for
Class 1, 2, 3, MC, CS, and CC Construction The Quality
Assurance Program requirements for Certificate Holders rely
heavily on the provisions of the 2009 Addenda of NQA-1, Qual-
ity Assurance Requirements for Nuclear Facility Applications.
The following section contains a brief synopsis of the applicable
provisions of that document.
NCA-4134.1 Organization The provisions of NQA-1,
Requirement 1 apply. The Quality Assurance Program of the
Certificate Holder must define responsibilities for establishment
and implementation of the Program. The organizational struc-
ture must be documented, including functional responsibilities,
levels of authority, and lines of communication for activities
affecting quality. Senior management is accountable for obtain-
ing the required level of quality. Quality achievements must be
verified by those not directly responsible for performing the
work, and the personnel must have sufficient authority, access
to management, and organizational freedom to perform their
functions. These functions include identifying quality problems;
initiating, recommending, or providing solutions to quality pro-
blems; verifying implementation of solutions; ensuring that fur-
ther processing, delivery, installation, or use is controlled until
proper disposition of the nonconformance, deficiency, or unsat-
isfactory condition. External interfaces between organizations,
and internal interfaces between organizational units, shall be
documented.
NCA-4134.2 Quality Assurance Program The provisions of
NQA-1, Requirement 2 apply, except for the provisions of para.
301. The Quality Assurance Program must be planned, imple-
mented, maintained, and documented. It must identify the activi-
ties and items to which it applies. It must provide control over
activities affecting quality to the extent consistent with their
importance. The QA Program must include processes to detect
and correct quality problems. The QA Program must provide
assurance of senior-management support.
The QA Program must provide for indoctrination, training, and
qualification, as necessary, of personnel performing or managing
activities affecting quality. The responsible organization must des-
ignate activities requiring personnel qualification and minimum
qualification requirements. Personnel must be indoctrinated in
applicable Codes and Standards, regulatory commitments, com-
pany procedures, and Quality Assurance Program requirements.
Personnel are to be trained, as necessary, for their job responsibil-
ities. Nondestructive examination personnel are required to be
qualified in accordance with NX-5520.
Specific requirements are provided for Quality Assurance audit
personnel. The following is a brief summary. Audits are conducted
under the auspices of an audit team leader, known as a Lead
Auditor. The Lead Auditor is qualified by demonstrating commu-
nication skills; training, knowledge, and understanding of NQA-1,
other nuclear-related Codes and Standards, Quality Assurance
Programs, and auditing techniques; audit participation; and written
examination.
The Certificate Holder must make the Quality Assurance
Manual available to the Authorized Nuclear Inspector. The
Certificate Holder must also notify the Authorized Inspection
Agency of any significant changes to the Manual and must obtain
the acceptance of the Authorized Nuclear Inspector Supervisor
before implementing those changes.
Management must regularly assess and ensure the adequacy and
effective implementation of that part of the Quality Assurance
Program for which it is responsible. This is usually interpreted to
5-22 • Chapter 5
mean self-assessment, as opposed to relying on an independent
assessment from outside the group or organization.
NCA-4134.3 Design Control The provisions of NQA-1,
Requirement 3 apply, except for the provisions of para. 601.
Component design must be controlled and verified. Applicable
design inputs, including appropriate quality standards, must be
identified and documented in a timely manner, reviewed and
approved by the responsible design organization, and correctly
translated into design documents. Applicable requirements of the
Design Specification and of Section III must be correctly translated
into specifications, drawings, procedures, and instructions. The
final design must relate to the design input by means of sufficiently
detailed documentation to permit design verification.
Design interfaces must be identified and controlled. Design
analyses must be performed in a planned, controlled, and docu-
mented manner. They must be sufficiently detailed as to purpose,
method, assumptions, design input, references, and units, so that a
person technically qualified in the subject can review and under-
stand the analyses and verify the adequacy of the results without
recourse to the originator.
Design adequacy is required to be verified by persons other than
those who designed the item. Design control measures are to be
applied to verify the adequacy of the design, such as by design
review, alternate calculations, or qualification testing. Verification
of computer programs must include appropriate testing. Design
verification may be performed by any competent individuals or
groups other than those who generated the original design,
although they may be from the same organization. This verifica-
tion may be performed by the originator’s supervisor, provided the
supervisor did not specify the design methodology. The extent of
the design verification required is a function of the importance of
safety, complexity, and degree of standardization of the design.
Design documents must be verified for adequacy and compliance
with the Design Specification and with Section III.
Design changes, including field changes, must be governed by
control measures commensurate with those applied to the original
design. Changes must be approved by the same affected groups or
organizations that reviewed and approved the original design
documents.
Design interfaces must be identified and controlled, including
assignment of responsibility and establishment of procedures
among participating design organizations for review, approval, dis-
tribution, and revision of documents involving design interfaces.
Design information transmitted across interfaces must be docu-
mented and controlled.
NCA-4134.4 Procurement Document Control The provi-
sions of NQA-1, Requirement 4 apply, except that procurement
documents must require suppliers to provide a Quality
Assurance Program consistent with the applicable requirements
of Section III, Subsection NCA. Applicable design bases, techni-
cal requirements, and other requirements necessary to ensure
adequate quality must be included or referenced in documents
for procurement of items and services. Procurement documents
must require suppliers to have a Quality Assurance Program
consistent with the applicable requirements of Section III,
including applicable portions of NCA-3800, NCA-3900, or
NCA-4000, as applicable, and must require the supplier to incor-
porate appropriate Quality Assurance Program requirements in
subtier procurement documents. The extent of the QA Program
required is dependent on the type and use of the item or service
being procured. The procurement documents must identify the
documentation required to be submitted for information, review,
or approval by the purchaser. The Quality Assurance Program
must provide for the review of procurement documents and
changes thereto to assure that they include appropriate provi-
sions for ensuring that items or services meet the specified
requirements. These reviews must be performed by personnel
who have access to pertinent information and who have an ade-
quate understanding of the requirements and intent of the pro-
curement documents.
NCA-4134.5 Instructions, Procedures, and Drawings The
provisions of NQA-1, Requirement 5 apply. Activities affecting
quality must be prescribed by and performed in accordance with
documented instructions, procedures, or drawings, of a type
appropriate to the circumstances. These documents must include
or reference appropriate quantitative or qualitative acceptance cri-
teria for determining that prescribed activities have been satisfac-
torily accomplished.
NCA-4134.6 Document Control The provisions of NQA-1,
Requirement 6 apply. Preparation, issuance, and changes to docu-
ments—such as instructions, procedures, and drawings—that
specify quality requirements or prescribe activities affecting qual-
ity must be controlled to ensure that correct documents are being
used. Such documents, including changes thereto, must be
reviewed for adequacy and approved for release by authorized
personnel. The control system must identify the following:
• Documents to be controlled and their specified distribution.
• Assignment of responsibility for the preparation, review, ap-
proval, and issuance of those documents.
• Review of the documents for adequacy, completeness, and cor-
rectness prior to their approval and issuance.
Major changes to these documents must be reviewed and
approved by the same organizations that perform the original
review and approval, unless other organizations are specifically
designated. Minor changes, such as inconsequential editorial cor-
rections, need not be subjected to the same review and approval
process. To avoid a possible omission of a required review, the
types of minor changes that are exempted, and the assigned
responsibility for this determination, must be clearly identified.
NCA-4134.7 Control of Purchased Items and Services The
provisions of NQA-1, Requirement 7 apply, except that para. 507
does not apply to Authorized Inspection Services, the Certificate
Holder need not perform bid evaluations in accordance with para.
300, the changes and nonconformances described in para. 503
must be resolved in a manner that ensures conformance with the
requirements of Section III. Procurement of items and services
must be controlled to ensure that they conform to specified
requirements. The programmatic controls must provide for source
evaluation and selection, evaluation of objective evidence of quality
furnished by the supplier, source inspection, audit, and examina-
tion of items or services upon delivery or completion, as appropri-
ate for the type of product or service furnished. All procurement
activities must be planned and documented to ensure a systematic
approach to the procurement process. Suppliers are to be selected
based on an evaluation of their capability to provide items or ser-
vices in accordance with the requirements of the procurement
documents.
COMPANION GUIDE TO THE ASME BOILER & PRESSURE VESSEL CODE • 5-23
Measures for evaluating and selecting of procurement sources,
and the results therefrom, must include at least one of the follow-
ing: an evaluation of the supplier’s history of providing identical or
similar products, the supplier’s current quality records, or the sup-
plier’s technical and quality capability, as determined by direct
evaluation of its facilities and personnel and implementation of its
Quality Assurance Program.
The Quality Assurance Program must include measures to veri-
fy the supplier’s performance, as deemed necessary by the pur-
chaser. The measures shall include establishing an understanding
between the purchaser and the supplier of the provisions and speci-
fications of the procurement documents; requiring the supplier to
identify planning techniques and processes to be used; reviewing
supplier documents generated while fulfilling the procurement re-
quirements; identifying and processing necessary change informa-
tion; establishing methods of information exchange between the
purchaser and the supplier; and establishing the extent of source
surveillance and inspection activities.
The QA Program must also include provisions for control, han-
dling, and approval of supplier-generated documents. These mea-
sures must provide for acquisition, processing, and recording of the
evaluation of technical, inspection, and test data against specified
acceptance criteria.
Methods must be established for accepting procured items or ser-
vices. The supplier must first verify that the item or service being
furnished complies with the procurement requirements. Methods
that may be used for the purchaser to accept an item or service from
the supplier are the following: a certificate of conformance to the
procurement requirements, source verification, receiving inspec-
tion, and postinstallation testing, or a combination thereof.
When only services are procured—such as engineering and con-
sulting services or installation, repair, or maintenance work—the
purchaser shall accept the service by technical verification of data
produced, surveillance and/or audit of the activity, review of objec-
tive evidence for conformance to the procurement document
requirements (such as certifications or stress reports), or a combi-
nation of these methods. Exempt from this requirement is procure-
ment of Authorized Inspection Agency services.
The purchaser and the supplier must establish and document
methods for disposition of items and services that do not meet the
requirements of procurement documents. These methods must
contain provisions for the following:
(1) evaluating nonconforming items;
(2) notifying the purchaser of the condition;
(3) purchaser disposition;
(4) purchaser verifying the implementation of the disposition;
and
(5) documenting these activities.
Purchaser approval of the recommended disposition of non-
conformances to the procurement requirements or to purchaser-
approved documents is required under the following circumstances:
(1) when a technical or material requirement is violated;
(2) when a requirement in the purchaser-approved supplier doc-
uments is violated;
(3) when the nonconformance cannot be corrected by continu-
ation of the original manufacturing process or by rework; or
(4) when the item does not conform to the original requirement,
even though the item can be restored to a condition of unim-
paired functional capability.
In all cases, resolution of nonconformances must be in confor-
mance with all applicable requirements of Section III. Documented
evidence that items conform to the requirements of Section III must
be available at the construction or installation site before use or in-
stallation. Requirements for documentary evidence for material are
satisfied when the applicable requirements of NCA-3800 and
NCA-3900 for material certification (Certified Material Test
Reports or Certificates of Compliance) are met. For stamped items,
requirements are satisfied by a Data Report (see NCA-8400).
NCA-4134.8 Identification and Control of Items The provi-
sions of NQA-1, Requirement 8 apply. The Quality Assurance
Program must provide for identification and control of items to
ensure that only correct and accepted items are used or installed.
The identification must be maintained on the items or in docu-
ments traceable to the items, or in a manner that ensures that iden-
tification is established and maintained until installation or use.
Welding and brazing materials for all Classes of construction
must be controlled.
Items must be identified from receipt and fabrication through
installation and use, relating the item to applicable design or other
pertinent specifying documents. Physical identification is to be
used to the maximum extent possible, but when that is not possi-
ble, physical separation, procedural control, or other appropriate
means may be used. Any markings must be transferred to each part
of an identified item when subdivided. Markings may not be oblit-
erated or hidden by surface treatment or coatings unless other
means of identification are substituted.
All characteristics required to be reported by the material specifi-
cation and by Section III must appear on checklists, each of which
must be examined by accepted procedures from which the results
must be recorded. Characteristics included on Certified Material
Test Reports or Certificates of Compliance need not be duplicated
in the checklists, for the checklists provide a record that the
Certified Material Test Reports and Certificates of Compliance have
been reviewed and found acceptable. The checklists must include
spaces for identifying the following:
(1) procedure and revision governing the examination or tests;
(2) examiner, tester, or reviewer, and the date of the examina-
tion or test; and
(3) documentation, including date, of the Authorized Nuclear
Inspector’s (ANI’s) review.
NCA-4134.9 Control of Processes The provisions of NQA-1,
Requirement 9 apply. Processes affecting the quality of items or ser-
vices must be controlled. Special processes that control or verify qual-
ity, such as those used in welding, heat treating, and nondestructive
examination, must be performed by qualified personnel using quali-
fied procedures in accordance with specified requirements.
The Certificate Holder must prepare instructions, procedures,
drawings, checklists, travelers, or other appropriate documents that
ensure that process parameters are controlled and that specified
environmental conditions are maintained. These documents must
provide space for reporting the results of completion of specific
operations at specified checkpoints of fabrication, manufacture, or
installation. The documents must include space for identifying the
Certificate Holder’s representative and the date he or she per-
formed the required functions, as well as documentation, including
date, of the Authorized Nuclear Inspector’s review.
Each special process must be performed in accordance with
appropriate instructions that include or reference procedure,
5-24 • Chapter 5
personnel, and equipment qualification requirements. Qualification of
welders and nondestructive examination personnel must be in accor-
dance with Section III requirements. Conditions necessary for accom-
plishment of the processes, including proper equipment, controlled
parameters, and calibration requirements, must be included in the pro-
cedures or instructions.
The requirements of applicable Codes and Standards, including
acceptance criteria for the process, must be specified or refer-
enced in the procedures or instructions.
NCA-4134.10 Inspection The provisions of NQA-1, Require-
ment 10 apply, except for para. 700. The Quality Assurance
Program must include provisions for planning and execution of
inspections to verify conformance of an item or activity to specified
requirements. Characteristics to be inspected and inspection methods
to be used must be specified. The Certificate Holder must prepare
process sheets, travelers, or checklists that specify the document
numbers and revision to which an examination or test is to be per-
formed, with space provided for recording the results. Along with
the results of the examinations and tests, these documents must
provide space for reporting the identity of the Certificate Holder’s
representative and the date the tests were performed, as well as docu-
mentation, including date, of the Authorized Nuclear Inspector’s
review.
Personnel who verify conformance of work activities for accep-
tance must be qualified to perform the assigned inspection task.
Acceptance of an item or service must be documented and
approved by authorized personnel.
Mandatory hold points at which witnessing is required by the
Certificate Holder’s representative or the Authorized Nuclear
Inspector must be indicated on the controlling documents (NCA-
4134.9). Work may not proceed beyond mandatory hold points
without the consent of the Certificate Holder’s representative or
the Authorized Nuclear Inspector, as applicable.
Inspection for acceptance is to be performed by persons other
than those who performed or directly supervised the work being
inspected. Until the late 1990s, NQA-1 did not permit inspection
personnel to report directly to the immediate supervisors of per-
sonnel who performed the work being inspected. NCA-4134.10
was revised in the 1995 Edition to take exception to this restric-
tion, because it was deemed unnecessary for Section III work.
NQA-1 was now also revised to permit inspection personnel to
report to the supervisor of the person performing the work.
However, in 10CFR50.55a, Codes and Standards, the USNRC
attempted to prohibit this reporting relationship for Section III
work for application in the United States, by taking exception to
all of NQA-1, Requirement 10. However, this author does not
believe that the NRC objective was achieved, because the NRC
does not mandate application of any requirement that invokes
implementation of the separation that was once required by NQA-
1, Supplement 10S-1, para. 3.1, Reporting Independence. There is
no such requirement in 10CFR50, Appendix B.
NCA-4134.11 Test Control The provisions of NQA-1,
Requirement 11 apply. The QA Program must provide for plan-
ning and execution of tests required to verify conformance of an
item to specified requirements and to demonstrate satisfactory
performance for service. Characteristics to be tested and test meth-
ods to be used must be specified, and should be provided or
approved by the organization responsible for the design of the item.
Test requirements and acceptance criteria are to be based on
requirements specified in applicable design or other pertinent tech-
nical documents. Test procedures must include or reference test
objectives and provisions for ensuring that prerequisites for the
given tests have been met, adequate instrumentation is available
and used, the necessary monitoring is performed, and suitable envi-
ronmental conditions are maintained. Prerequisites may include
such factors as calibrated instrumentation, appropriate equipment,
trained personnel, and suitable environmental conditions. Test
results must be documented and must be evaluated by a responsible
authority to ensure that the test requirements have been satisfied.
NCA-4134.12 Control of Measuring Test Equipment The
provisions of NQA-1, Requirement 12 apply. Tools, gauges,
instruments, and other measuring and test equipment used for
activities affecting quality must be controlled to ensure that such
items are of proper type, range, accuracy, and tolerance to accom-
plish the function of determining conformance to specified
requirements. Measuring and test equipment must be calibrated,
adjusted, and maintained at prescribed intervals or, prior to use,
against certified equipment having known valid relationships to
nationally recognized standards, when such standards exist, to
maintain accuracy within necessary limits.
The method and interval of calibration for each item are to be
defined by the Certificate Holder and are based on the type of
equipment, stability characteristics, required accuracy, intended
use, and other conditions affecting measurement control. When
measuring and test equipment is found to be out of calibration, an
evaluation is to be made and documented of the validity of previ-
ous inspection or test results and of the acceptability of items pre-
viously inspected and tested.
The Certificate Holder may perform periodic checks on equip-
ment to determine that calibration is maintained. When periodic
checking is used, discrepancies need only be resolved to the prior
periodic check, provided the discrepancy is discovered by the peri-
odic check. The methods and frequency of periodic checking must
be included in the Certificate Holder’s Quality Assurance Program.
Periodic checking is a good method by which inspectors can verify
the accuracy of their equipment on a frequent basis, such as every
day, without subjecting the equipment to unnecessarily frequent
formal calibrations.
Calibration and control measures may not be required for
rulers, tape measures, levels, and other such devices if normal
commercial equipment provides adequate accuracy. Although
perhaps not necessarily indicative of common practice, there have
been reported cases of calibrated rulers being used to make
measurements not required to be more precise than the accuracy
of commercially available equipment. This practice is completely
unnecessary.
NCA-4134.13 Handling, Storage, and Shipping The provisions
of NQA-1, Requirement 13 apply. Handling, storage, cleaning,
packaging, shipping, and preservation of items is to be conducted
in accordance with established work and inspection instructions,
drawings, specifications, or procedures to prevent damage or loss
and also to minimize deterioration.
NCA-4134.14 Inspection and Test Status The provisions of
NQA-1, Requirement 14 apply for inspections and tests, but not
for operating status. The status of inspection and test activities
must be identified either on the items or in documents traceable to
the items, to ensure that required inspections and tests are per-
COMPANION GUIDE TO THE ASME BOILER & PRESSURE VESSEL CODE • 5-25
formed and to ensure that items that have not passed the required
inspections and tests are not inadvertently installed or used. Status
is to be maintained through indicators, such as physical location,
tags, markings, shop travelers, stamps, or inspection records. The
QA Program must identify the authority and responsibility for
application and removal of status indicators.
NCA-4134.15 Control of Nonconforming Items The provi-
sions of NQA-1, Requirement 15 apply, except that the definition
of repair in NCA-9000 applies in lieu of the definitions of both
repair and rework in NQA-1. Items that do not conform to specified
requirements must be controlled to prevent inadvertent installa-
tion or use. Control shall provide for identification, documenta-
tion, evaluation, segregation when practical, and disposition of
nonconforming items, and shall provide for notification to affect-
ed organizations.
Identification of nonconforming items must be by marking, tag-
ging, or other legible and easily recognizable methods that will not
adversely affect the end use of the item. When segregation is imprac-
tical or impossible due to physical conditions, other precautions must
be used to preclude inadvertent use of nonconforming items.
The Quality Assurance Program must include procedures for
reviewing and dispositioning nonconforming items. Further pro-
cessing, delivery, installation, or use of nonconforming items is to
be controlled, pending an evaluation and an approved disposition
by authorized personnel. The QA Program must identify the
responsibility and authority for evaluating and dispositioning non-
conforming items. Personnel performing these evaluations must
have demonstrated competence in the area they are evaluating and
also have an adequate understanding of the requirements.
Technical justification for the acceptability of nonconforming
items dispositioned repair or use-as-is must be documented. Non-
conformances to design requirements that are to be accepted must
be subjected to design-control measures commensurate with those
applied to the original design. As-built records must reflect the
accepted deviation. Repaired or reworked items must be reexamined
in accordance with applicable procedures and must meet the accep-
tance criteria of Section III. Items to be repaired, reworked, or used
as-is must be brought into compliance with all applicable Section III
requirements.
NCA-4134.16 Corrective Action The provisions of NQA-1,
Requirement 16 apply. Conditions adverse to quality must be iden-
tified promptly and corrected as soon as practical. For significant
conditions adverse to quality, the cause must be determined and
corrective action must be taken to preclude recurrence. For signifi-
cant conditions adverse to quality, the identification, cause, and
corrective action are to be documented and reported to appropriate
levels of management; follow-up action must be taken to verify
implementation of corrective action. These requirements must also
be extended to performance of any subcontractor’s corrective
action measures.
NCA-4134.17 Quality Assurance Records The provisions of
NQA-1, Requirement 17 apply, except that the requirements of
para. 400, para. 500, and para. 600, for classification of records,
are not applicable. Such records must be classified and main-
tained as required by Section III, NCA-1434.17. The Quality
Assurance Program must provide for a defined record system,
implemented in accordance with written procedures. These pro-
cedures must specify the records to be generated, supplied, or
maintained by or for the Owner. Records that furnish documen-
tary evidence of quality must be specified, prepared, and main-
tained. These records must be identifiable and retrievable.
The records must be stored in predetermined locations and pro-
tected against damage, deterioration, or loss. The QA Program
must contain measures to preclude entry of unauthorized person-
nel into the defined storage area. These measures are to protect
against larceny, vandalism, natural disasters, adverse environmen-
tal conditions (e.g., moisture, temperature, and pressure), and
infestation from insects, mold, or rodents. Records may be stored
in a single facility meeting specific requirements for protection
from fire, moisture, and other environmental deterioration; alter-
natively, they may be duplicated and stored separately in facilities
sufficiently remote from each other to eliminate the chance of
exposure to a simultaneous hazard.
Radiographs may be reproduced if the reproduction process is
approved by the Owner. The accuracy of the reproduction process
is monitored to ensure that the reproduced image will provide the
same information retrieval capability as the original radiograph. In
addition, written procedures address measures to protect the abi-
lity to distinguish film artifacts from material discontinuities in
the reproduced image.
Requirements and responsibilities for record transmittal, distri-
bution, retention, maintenance, and disposition must be estab-
lished and documented. Documents that are designated to become
records must be legible, accurate, completed, and appropriate to
the work accomplished. Documents may be considered valid
records only if they are authenticated by authorized personnel.
The records must be indexed. The records and their indices must
be accessible to the Owner, the Owner’s designee, and the
Authorized Nuclear Inspector.
For Classes 1, 2, CS, MC, and CC, the following records must
be classified as lifetime records:
(1) Index to lifetime records (NCA-4134.17)
(2) Code Data Reports (NCA-8400)
(3) Design Specification (NCA-3250) [Note (2)]
(4) Design Output Documents, Division 1 (NCA-3350 and
NCA-3550) [Note (2)]
(5) Design Report, Division 2
(6) Overpressure Protection Report (NB/NC/ND/NH-7200)
(7) Construction Specification (NCA-3340)
(8) As-built drawings (NCA-3454)
(9) Certified Material Test Reports (CMTRs) and documenta-
tion providing traceability to location used, if required
(NX-4122)
(10) Records of posttensioning sequence, procedure, and loads
(Division 2)
(11) Heat-treatment records [Note (1)]
(12) Qualification test reports, such as for concrete design mixes
(CC-2460) and safety valves (NB-7700)
(13) Structural-integrity test reports (CC-6260)
(14) Final hydrostatic and pneumatic test results (NCA-5280)
(15) Final nondestructive examination reports; final radiographs,
as specified by the Owner for Section XI applications
(16) Repair records, when required by Code (NX-4130)
(17) Weld procedures
(18) Construction Report (NCA-3454)
(19) NS-1 Certificate of Conformance (NCA-8440)
(20) Certificate of Analysis (NCA-3974.1) and Certified Poly-
ethylene Test Report (NCA-3974.2)
5-26 • Chapter 5
Notes:
(1) Either heat-treatment charts or certified summaries of time
and temperature-data may be provided. These data may be
included as part of the CMTR.
(2) For supports designed by load rating, the Load Capacity
Data Sheet is the design output document to be maintained
as a lifetime quality assurance record. For standard supports
designed by analysis and supplied with a Certified Design
Report Summary, the Certified Design Report Summary is
the design output document to be maintained as a lifetime
quality assurance record.
For Class 3, only records 1, 2, 3, 4, 8, 9, 15, and 16 of the pre-
ceding list must be classified lifetime records. The Certificate
Holder is responsible for retention and maintenance of all the
above 18 types of records until they are transferred to the nuclear
power plant Owner.
For Classes 1, 2, CS, MC, and CC, the following records must
be nonpermanent records:
(1) QA Program Manual:
3 years after being superseded or invalidated
(2) Design, procurement, and QA procedures (NCA-4134.5):
3 years after being superseded or invalidated
(3) Installation and NDE procedures (NX-5112):
10 years after being superseded or invalidated
(4) Personnel qualification records (NX-5520 and NX-4322):
3 years after being superseded or invalidated
(5) Purchase orders:
10 years after being superseded or invalidated
(6) Audit and survey reports (NCA-4121 and NCA-4134.18):
3 years after being superseded or invalidated
(7) Final radiographs not covered in record 15 of the preced-
ing list:
10 years after completion
(8) Calibration records (NCA-4134.12):
Until recalibrated
(9) Process sheets, travelers, or checklists (NCA-4134.10):
10 years after completion
(10) Rebar splice test reports (CC-4330):
10 years after completion of report
(11) Joint-welder or identification records, when such
records are used in lieu of physical marking of welds
NX-4322:
10 years after completion of report
Note: Nonconformance reports that affect those records listed
above must be incorporated into the record and be retained for the
retention period applicable to the affected record.
For Class 3, only records 3, 7, and 8 of the preceding list must
be nonpermanent records. The Certificate Holder is responsible
for retention and maintenance of all of the above 11 types of
records for the period specified in the preceding list or 10 years
following completion of the applicable Code Data Report,
whichever is less.
NCA-4134.18 Audits The provisions of NQA-1, Requirement
18 apply. Planned and scheduled audits must be performed to ver-
ify compliance with all aspects of the Quality Assurance Program
and to determine its effectiveness. Audits must be scheduled in a
manner that provides coverage of and coordination with ongoing
quality-related activities. Their frequency must be specified in the
Certificate Holder’s Quality Assurance Manual and be commen-
surate with the Certificate Holder’s schedule of activities, but with
each ongoing Code activity being audited at least once annually.
The auditing organization must develop and document an audit
plan for each audit. The plan needs to identify the audit scope,
requirements, and personnel, as well as activities to be audited, orga-
nizations to be notified, applicable documents and schedules, and
written procedures or checklists.
The auditing organization must select auditors who are inde-
pendent of any direct responsibility for performance of the
activities they will audit. Personnel having direct responsibility
for performing the activities being audited may not be involved in
selection of the audit team. The Audit Team Leader, who must be
a qualified Lead Auditor, organizes and directs the audit, coordi-
nates preparation and issuance of the audit report, evaluates
responses, and prepares the audit team prior to the audit.
Audits must be performed in accordance with written proce-
dures or checklists. Objective evidence is to be examined to the
depth necessary to determine if the program elements being audited
are implemented effectively. Audit results must be documented by
the auditing personnel and be reviewed by management having
responsibility for the area audited. Conditions requiring prompt
corrective action must be reported immediately to the management
of the audited organization.
The Audit Team Leader must issue an audit report, describing
the audit scope, that identifies the auditors and persons contacted
during audit activities; summarizes the audit results, including a
statement on the effectiveness of the Quality Assurance Program
elements that were audited; and describes each adverse audit find-
ing in sufficient detail to enable corrective action to be taken by
the audited organization. Results of audits shall be made available
to the Authorized Nuclear Inspector.
Management of the audited organization must investigate adverse
audit findings; schedule corrective action, including measures to pre-
vent a recurrence; and notify the appropriate organization in writing
of action taken or planned. The adequacy of audit responses is to be
evaluated by or for the auditing organization. Follow-up action must
be taken to verify that corrective action is accomplished as scheduled.
5.6 ARTICLE NCA-5000 AUTHORIZED
INSPECTION
NCA-5100 Introduction
NCA-5000 provides requirements for inspection of Section III
items by the Authorized Inspection Agency, a third-party organi-
zation that performs inspection services to verify compliance of
Section III items with all applicable Section III requirements.
When preservice examinations are performed prior to Code
Symbol Stamping, inspection of the preservice examinations by
the Authorized Inspection Agency must be in accordance with
Section XI, IWA-2100.
NCA-5120 Performance of Inspection An Authorized
Inspection Agency is an organization designated by or acceptable
to the appropriate enforcement authority of a state of the United
States or province of Canada. The Agency and its staff of
Authorized Nuclear Inspectors and Authorized Nuclear Inspector
Supervisors must be accredited by the ASME in accordance with
the latest edition of ASME QAI-1, Qualification for Authorized
Inspection. The Authorized Inspection Agency must notify the
COMPANION GUIDE TO THE ASME BOILER & PRESSURE VESSEL CODE • 5-27
ASME and the applicable enforcement authority when it enters
into an agreement with an Owner or Certificate Holder or when
an existing agreement is terminated. The inspections required by
Section III may be performed only by an Authorized Nuclear
Inspector. Any reference to “Inspector” throughout Section III is to
be interpreted to mean the Authorized Nuclear Inspector.
The Inspector and the Supervisor participate in the ASME’s
review of the applicant’s Quality Assurance Program (NCA-8160).
The Supervisor must review and accept any proposed modifica-
tions to Quality Assurance Manuals of accredited organizations
before they are put into effect. The Supervisor must audit the
ANI’s performance at least semiannually. The portion of the
Certificate Holder’s Quality Assurance Program that involves sup-
ply or manufacture and supply of materials [NCA-3820(e)] must
be audited by the Supervisor at least annually.
NCA-5130 Access for Inspection Agency Personnel The
Certificate Holder or Owner, as applicable, must arrange for the
Inspection Agency personnel to have free access at all times to
those locations where Code activities are being performed, when
so requested. The Certificate Holder must keep the Inspector
informed of the progress of the work and must notify him or her
reasonably well in advance when the item will be ready for the
required tests or inspections. The Certificate Holder must provide
personnel to accompany the Supervisor during his or her required
audits.
NCA-5200 Duties of Inspector
NCA-5210 General Duties The Inspector is required to wit-
ness or otherwise verify all examinations and make all inspections
required by Section III. He or she must also make any other
inspections and witness or verify any other examinations and addi-
tional investigations that - in his or her judgment - are necessary to
ascertain whether the item being inspected has been constructed in
compliance with Section III requirements. The duties of the
Inspector are not to be interpreted to extend to any construction
requirements beyond those of Section III that may be set forth in
the Design Specification (NCA-3251) or in Design Drawings and
Construction Specifications (NCA-3340). However, such require-
ments may not result in construction that fails to conform to
requirements of Section III (NCA-3252).
NCA-5220 Categories of Inspector’s Duties NCA-5220 pro-
vides a summary list of the duties of the Inspector. Most of these
duties are contained in other paragraphs of Subsection NCA that
are referenced within NCA-5220. In addition, it references the
duties specified by ASME QAI-1, Qualification for Authorized
Inspection. (Section III, as well as other sections of the ASME
Boiler and Pressure Vessel Code, are currently being revised to
reference the latest edition of QAI-1.)
NCA-5230 Scope of Work, Design Specifications, and Design
Reports The ANI is responsible for verifying that the work to be per-
formed is included in the scope stated in the applicable Certificate of
Authorization. The Inspector verifies that the Design Specification,
Design Drawings, Construction Specifications, Construction Reports,
Design Reports, Load Capacity Data Sheets, and Certified Design
Report Summaries, when required (NCA-3256 and NCA-3550), are
on file and have been properly certified in accordance with NCA-
3255, NCA-3260, NCA-3360, NCA-3380, and NCA-3555, as
applicable. The ANI is not responsible for the scope, adequacy, com-
pleteness, or accuracy of any of these documents, nor is he or she
responsible for the qualifications of Registered Professional
Engineers certifying any of these documents.
NCA-5240 Quality Assurance Programs Prior to the
issuance of process sheets or controls required by NCA-4134.9,
the Certificate Holder must review them and the applicable draw-
ings with the Inspector, who will then identify the inspections he
or she intends to make to verify compliance of construction with
Section III requirements. Following completion of the specified
activities, the Inspector indicates on the Certificate Holder’s
process sheets or checklists his or her concurrence of compliance
with the applicable requirements (NCA-5241).
The ANI monitors the performance of the Certificate Holder
against the requirements of its Quality Assurance Programs. He or
she verifies that all changes to the QA Manual have been accepted
by the Inspection Agency before they are implemented and ensures
that production of concrete is in accordance with the Division 2
Construction Specification. When applicable, the Inspector moni-
tors the Owner’s progress in compiling data needed to complete the
N-3 Data Report.
NCA-5250 Qualification Records The Inspector assures that
the welding, examination, and testing procedures, welder or welding
operator performance, and qualification of examination and test per-
sonnel are all in accordance with the provisions of Section III. When
there is a specific reason to question the procedure or personnel
qualification, the ANI may require requalification as a requirement
for the procedure or personnel to be used on work subject to his
inspection.
NCA-5260 Materials, Parts, and Heat Treatment The
Inspector assures that all materials used comply with the applica-
ble requirements of Section III by reviewing the certified reports
of the results of all tests performed in accordance with the material
specifications and the requirements in the applicable material arti-
cles of Section III (e.g., NX-2000), including certified reports of
the results of all required tests and examinations performed. The
ANI satisfies him- or herself that the item is constructed within the
configuration, thickness, and tolerances required by the applicable
Design Documents and that heat-treatment operations required by
Section III are correctly performed.
NCA-5270 Examinations and Tests The ANI must witness
nondestructive examinations and destructive tests, when feasible;
otherwise, he or she must verify, by review of examination and test
records, that the examination and test results are acceptable.
NCA-5280 Final Tests The ANI must witness final hydrostatic,
pneumatic, or structural integrity tests—and examinations per-
formed during such tests—for Class 1, 2, 3, MC, and CC compo-
nents and appurtenances.
NCA-5290 Data Reports and Construction Reports After
the appropriate Data Report is prepared and certified by the
Certificate Holder (and by the Designer, for Division 2 construc-
tion), and after the ANI has satisfied him- or herself that all appli-
cable requirements of Section III have been met and that each Data
Report is correct, the ANI signs the Data Report.
For Division 2 Construction, the Inspector must review and sep-
arately verify that the information contained in the Construction
Report is valid and shows compliance with requirements of
Section III, Division 2.
5-28 • Chapter 5
The ANI signs the N-3 Data Report Form (NCA-3220) only
after the Owner has certified it; the Inspector has verified that the
Data Reports referenced on the N-3 Form are on file and document
compliance of all components, parts, appurtenances, supports, and
core support structures in any systems covered by the N-3 Form;
and the Inspector has verified that the appropriate Overpressure
Protection Reports have been properly prepared and filed.
NCA-5300 Responsibilities of the
Authorized Inspection Agency
NCA-5300 provides a summary list of the duties of the
Authorized Inspection Agency. Most of these duties are contained in
other paragraphs of Subsection NCA that are referenced within
NCA-5300. In addition, it references the duties specified by ASME
QAI-1, Qualification for Authorized Inspection. (Section III, as well
as other sections of the ASME Boiler and Pressure Vessel Code,
have been revised to reference the latest edition of QAI-1.)
5.7 ARTICLE NCA-8000 CERTIFICATES,
NAMEPLATES, CODE SYMBOL
STAMPING, AND DATA REPORTS
NCA-8100 Authorization to Perform
Code Activities
NCA-8110 General Authorization to use the official Code
Symbol Stamps or to certify work by other means provided in
Section III, including certification of the N-3 Owner’s Data Report,
as shown in Table NCA-8100-1, is granted by the ASME for a
three-year period, in accordance with requirements of NCA-8100.
NCA-8120 Scope of Certificates The Certificate (NCA-3120)
identifies the scope of activities for which authorization to apply a
Code Symbol Stamp or complete a Data Report is granted and the
location of the facilities in which the work is permitted to be per-
formed. The scope of the Certificate may be limited or extended to
any types or Classes of items or to specific locations at which work
may be performed.
A Certificate of Authorization is issued by the ASME to an
organization for use of Code Symbol Stamps, certification of a
Data Report, or performance of welding or joining. Installation of
items by mechanical means need not be performed by a Certificate
Holder. However, an organization that installs items only by
mechanical means may obtain a Certificate of Authorization. A
Certificate of Authorization Holder must be responsible for com-
pletion of hydrostatic or pneumatic tests; these tests must be wit-
nessed by the ANI, regardless of the method of assembly.
The ASME may issue a Certificate of Accreditation without
permission to apply a Code Symbol Stamp or complete a Data
Report (for which a Certificate of Authorization would be issued)
to an organization with an appropriate Quality Assurance
Program and the ability to implement it, even if the Program has
never been implemented.
NCA-8130 Inspection Agreement Required Prior to obtain-
ing a Certificate of Authorization, the Certificate Holder or Owner
must have agreement with an Authorized Inspection Agency to
provide inspection and audit services. Certificate Holders and
Owners must notify the ASME whenever they cancel their agree-
ments with the Authorized Inspection Agency or change to another
Authorized Inspection Agency.
NCA-8140 Quality Assurance Program Requirements The
Certificate Holder must have a Quality Assurance Program meeting
NCA-4000 that has been evaluated and accepted by the ASME.
NCA-8150 Application for Accreditation An organization
desiring a Certificate of Accreditation applies to the ASME using
ASME Forms on which the applicant describes the scope of the
Code activities to be performed. The N, NA, or NPT Certificates
may be extended to include field operations, such as installation,
completion, or repair of components, parts, or appurtenances con-
structed under that authorization. The ASME requires that an audit
acceptable to the Society be performed at each field site to ensure
that the QA Program described in the QA Manual is implemented
and enforced. Shop assembly of components to components, or of
components to appurtenances, to piping subassemblies, or to other
items may be performed by either NA or N Certificate Holders, if
such activities are included within the scope of the Certificate. Any
Code activities performed prior to issuance of a Certificate are sub-
ject to acceptance of the Inspector.
NCA-8160 Evaluation An applicant for a new or renewed
Certificate of Authorization for Class 1, 2, 3, MC, CS, or CC con-
struction must have its shop or field facilities surveyed by the ASME
to evaluate the QA Manual and implementation of the QA Program.
The extent of the survey will be determined by the ASME, based on
a review of the applicant’s intended scope of activities. Authorization
to apply a Code Symbol Stamp to an item will be granted by the
ASME only after the organization has satisfactorily demonstrated to
the Society the adequacy and implementation of the QA Program.
After having the construction permit docketed, an Owner may
obtain an Owner’s Certificate (NCA-3230) from the ASME. The
Certificate is applicable to all nuclear power plant units docketed
concurrently for each site. In lieu of a survey, the Owner’s person-
nel are interviewed to verify their understanding of Code respon-
sibilities (NCA-3220) and to obtain their agreement to meet the
applicable requirements.
NCA-8170 Issuance Each Certificate Holder must agree that
each Certificate and any Code Symbol Stamps are at all times the
property of the ASME, that they will be used according to Section III
requirements, and that they will be promptly returned to the Society
upon demand or when the Certificate Holder discontinues the activi-
ties covered by the Certificate. The Certificate Holder may not permit
any other party to use the Certificate or Code Symbol Stamp.
NCA-8180 Renewal A Certificate Holder desiring renewal of
a Certificate must apply to the ASME at least six months prior to
the date of expiration of the Certificate. A Certificate issued for a
specific field site, or a Certificate that has been extended to a spe-
cific field site activity, is valid for the duration of the contract at the
specified site or for three years, whichever is shorter. The Owner’s
Certificate expires when all N-3 Data Reports for the units listed
on the Certificate have been completed. The ASME will review the
status of construction of those units on a triennial basis and will
determine whether the Owner’s Certificate will be renewed.
NCA-8200 Nameplates and Stamping
NCA-8210 General Requirements Each item and installation
to which an ASME Certification Mark is applied must have a
name plate, except as otherwise permitted by NCA-8200. The
marking on the nameplate must include the applicable ASME
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COMPANION GUIDE TO THE ASME BOILER & PRESSURE VESSEL CODE • 5-31
5-32 • Chapter 5
Certification Mark, as shown in Table NCA-8100-1; the
Construction Class; the statement “Certified by”; the Certificate
Holder’s name; a serial number assigned by the Certificate Holder;
and any registration number required by a state, province, or coun-
try. The nameplate for line valves must also include the ANSI
pressure class rating.
The ASME Certification Mark must be stamped on a nameplate
attached to an item, except as otherwise permitted by NCA-8200.
Marking is as shown in Fig. NCA-8212-1, using characters not
less than
3
͞
32
in. (2.4 mm) high. When applied directly to the item,
the marking must be done with blunt-nose-continuous or blunt-
nose–interrupted-dot die stamps to not cause any harmful contam-
ination or sharp discontinuities.
The nameplate must be attached by a method that does not affect
the structural integrity of the item. For Division 2 items, the
method must be acceptable to the Designer. If the nameplate is
marked before is it is attached to the item, the Certificate Holder
must ensure that the nameplate with the correct marking has been
attached. The ANI verifies that the nameplate has been correctly
attached to the proper item. When nameplates are attached with
pressure-sensitive acrylic-adhesive systems, in addition to meeting
the requirements of NCA-8000, the Certificate Holder must meet
the requirements of Appendix XXI.
NCA-8220 Nameplate for Components The markings
required by NCA-8210 must be applied to a separate nameplate
attached to the component. For core support structures, the mark-
ing is applied directly to the support. If, because of size or other
considerations, the nameplate cannot be directly attached to the
component, the Certificate Holder may secure the nameplate to the
component in another manner acceptable to the Authorized In-
spection Agency (AIA). In this case, the Certificate Holder must
apply a unique identification marked to the component that will
serve to provide traceability of the component to the appropriate
Data Report. The method of marking must be described in the
Certificate Holder’s QA Program or applicable procedure and
must be accepted by the Authorized Inspection Agency (AIA),
prior to implementation by the Certificate Holder.
NCA-8230 Nameplate for Certification Mark with NPT
Designator Items Parts, appurtenances, piping subassemblies,
and supports assembled by welding are required to have a name-
plate equivalent to that required for completed components. When
the size and use of the item will not accommodate such a name-
plate, the marking consists of suitable identification of the item
until it has been incorporated into the finish component or other
item stamped with an ASME Certification Mark with the NPT
Designator. This alternative method of marking must be accepted
by the Authorized Inspection Agency, before being used by the
Certificate Holder.
When supports assembled by welding are furnished by an NPT
Certificate Holder to an NA Certificate Holder that is a different
organization, but not furnished integrally with the component, the
ASME Certification Mark must be that shown in Table NCA-
8100-1 for supports. When the NPT and NA Certificate Holder
are the same organization, the ASME Certification Mark with
NPT Designator need not be applied, provided the ASME
Certification Mark shown in Table NCA-8100-1 for installation of
supports is applied to the installation.
For tubular products welded with filler metal, nameplates are
not required. The required markings must be applied directly to
the material by etching or stamping.
NCA-8240 Removed Nameplates When a Certificate
Holder responsible for completion of an N-5 Data Report for a
piping system installs an item from which the nameplate
required by NCA-8200 has been removed, the Certificate
Holder must verify and document that the required nameplate
had been attached to the item. The Certificate Holder’s QA
Program or applicable procedure must contain provisions for
positive identification and traceability of the item to a specific
location and applicable Data Report. This alternative must be
accepted by the Authorized Inspection Agency (AIA) prior to
being used by the Certificate Holder.
NCA-8300 Code Symbol Stamps
NCA-8310 General Requirements The Code Symbol Stamp
may be applied by the Certificate Holder only when authorized
by the ANI and only after completion of all required examination
and testing. The Stamp to be applied must be in accordance with
the requirements of Table NCA-8100-1. The Construction Class
is indicated by the applicable number 1, 2, or 3, or by the letters
MC, CS, or CC, stamped below and outside the official ASME
Certification Mark. The completed Code Data Report indicates
that the ANI has inspected the item and authorized application of
the ASME Certification Mark. The sequence for stamping and
completion of the Code Data Report is determined by agreement
between the ANI and the Certificate Holder. This agreement is
usually documented in the Certificate Holder’s QA Manual.
NCA-8320 Application of the Certification Mark with N
Designator The ASME Certification Mark with N Designator
may be applied only with the authorization of the ANI and after
the hydrostatic, pneumatic, or structural integrity tests require-
ments (except for core support structures) have been satisfied and
all other examinations, tests, and inspections (for all components)
have been completed.
Under the following conditions, the N Certificate Holder may
apply the ASME Certification Mark with N Designator to the com-
ponent in the field without having the N Certificate of
Authorization extended to the field site.
(1) If the system pressure test is substituted for the component
pressure test [NB/NC/ND-6221(a)], the test must be con-
ducted under the responsibility of an N or NA Certificate of
Authorization issued for that field site, and must be wit-
nessed and accepted by the N Certificate Holder responsible
for the component.
(2) If the N Certificate Holder subcontracts performance of the
component pressure test, the N Certificate Holder must
supervise, witness, and accept the pressure test and must
ensure that the test is controlled in accordance with the
approved QA Program of the subcontractor.
(3) If the N Certificate Holder performs the component pres-
sure test at a field site or other location, the test must be con-
trolled in accordance with the N Certificate Holder’s QA
Program.
The completed shop-fabrication portion of the Data Report,
together with the ANI’s inspections of the component, provides
the authority for the field ANI to witness the test and authorize
stamping of the completed component.
NCA-8330 Parts and Piping Subassemblies Furnished
Without Stamping with Certification Mark An organization
COMPANION GUIDE TO THE ASME BOILER & PRESSURE VESSEL CODE • 5-33
with separate or extended Certificates may manufacture and ship
items, such as parts and piping subassemblies, without the ASME
Certification Mark with NPT Designator for use at another of its
own facilities, provided the QA Manual includes the following
provisions:
(1) Provisions for legible and specific identification of each
item that is both on the item and not detrimental to the item.
(2) Provisions for preparation of a transmittal form to accom-
pany the shipment of the item. The form must indicate that
the item does not contain the ASME Certification Mark with
NPT Designator, and must be signed by both the Certificate
Holder and the ANI, prior to shipment.
(3) Provisions for receipt of items shipped without an ASME
Certification Mark with NPT Designator, including inspec-
tion upon receipt and maintenance and retention of trans-
mittal forms.
In this context, the organization may be the same company at a
single site, a multiplant company with separate Certificates
(regardless of type), or a multiplant corporation with extended
Corporate Certificates. An example from the author’s experience
is a valve company that manufactured valve disks at one facility and
furnished them to another division at another facility of the same
organization for installation in a completed valve. The two divi-
sions had separate Quality Assurance Programs and different
Authorized Inspection Agencies. Both organizations included pro-
visions in their QA Manuals to describe the applicable controls for
transfer of these parts from one location to the other.
The ASME Certification Mark with NPT Designator, name-
plate, Code Data Report, and transmittal form are required for
items manufactured and installed at the same facility by the
same Certificate Holder if the Certificate Holder’s QA Program
provides for control of these items through completion of
installation.
NCA-8400 Data Reports
NCA-8410 General Requirements The appropriate Data Re-
port, as specified in Table NCA-8100-1, must be filled out by the
Certificate Holder or Owner and the ANI for each item (except as
provided by NCA-8000) to be marked with the ASME Certifi-
cation Mark.
Data Reports used as the basis for approval of the C-1, N-3, and
N-5 Data Reports may be compiled by any one of the following
methods:
(1) By attaching each Data Report for items that make up the
piping system, concrete containment, or nuclear power sys-
tem to the respective C-1, N-3, or N-5 Data Report.
(2) By assigning each Data Report for items that make up the
piping system, concrete containment, or nuclear power sys-
tem a unique identifying number that is to be listed on the
respective C-1, N-3, or N-5 Data Report.
(3) By attaching a drawing that uniquely identifies each item
that makes up the piping system, concrete containment, or
nuclear power system to its respective C-1, N-3, or N-5 Data
Report.
All Data Reports and referenced supporting material must be
made available by the Owner or Certificate Holder, as applicable,
to the ANI, and to the enforcement authority having jurisdiction
at the location of the nuclear power plant site.
NCA-8420 Owner’s Data Report An Owner that has obtained
an Owner’s Certificate may complete one or more N-3 Data
Reports. By signing the N-3 Form, the Owner certifies that each
Certificate Holder was the holder of the appropriate Certificate and
that components and installation comply with the applicable
requirements of Section III.
NCA-8430 Data Reports for Tubular Products, and Fittings
Welded with Filler Metal Each piece of tubular product or fitting
fabricated with filler metal must be listed on an NM-1 Data Report,
which must be completed by the Certificate Holder and the ANI.
Multiple items may be listed on a single NM-1 Data Report, provided
they are from the same heat and heat-treatment lot of material.
When fittings are manufactured from tubular products welded
with filler metal, all fittings made from the same NPT-stamped
tubular product may be identified on one CMTR or NM-1 Form, as
applicable, prepared by the fitting manufacturer. The fitting manu-
facturer must provide a copy of his CMTR or NM-1 Form, as
applicable, and a copy of the CMTR and NM-1 Data Reports that
were supplied with the tubular product.
NCA-8440 Data Reports for Supports Supports assembled
by welding by an NPT Certificate Holder are listed in the NF-1
Data Report, except when the NPT and NA Certificate Holder are
the same, in which case the supports may be listed on the N-5 Data
Report. Material supplied for supports under the provisions of
NF-2130 and NF-2150 must be listed on the N-5 Data Report by
the NA Certificate Holder.
5.8 ARTICLE NCA-9000 GLOSSARY
NCA-9000 defines selected terms used in Section III. The defi-
nitions in NCA-9000 are intended to prevail when a conflict
exists with definitions found elsewhere in Section III or with
other documents referenced by Section III. The definitions pro-
vided are usually for words or terms with usage in Section III
that is somewhat different from the way they are used for appli-
cations other than nuclear power plant construction, such as in
ordinary conversation. NCA-9000 should be consulted for these
terms, for they are too lengthy to include herein.