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ASME Audit PDF
ASME Audit PDF
Introduction
This document has been prepared by ASME Subcommittee IX to provide guidance to Jurisdiction,
ASME and National Board auditors when conducting surveys in evaluating welding as a controlled
manufacturing process. This document is divided into two parts:
Part 1 discusses what has to be on a WPS and a PQR relative to the requirements of Section IX.
Specific examples and suggestions are provided.
Part 2 was written to help auditors understand what Subcommittee IX thinks manufacturers and
contractors should have under control when using welding as a manufacturing process. A method
of demonstrating that WPSs have been properly implemented is provided as well as specific suggestions regarding technical aspects of welding that could be examined to establish the level of
competence of the manufacturer or contractor. It should be recognized that Part 2 is simply suggestions to auditors regarding what to look for, not requirements for him to follow nor requirements
for the manufacturer or contractor, except for the discussion of welder qualifications. Phrases
such as It is suggested that. . . . or similar wording are used extensively to emphasize that what
is in Part 2 are suggestions of what to look for when evaluating a welding program, not specific
requirements. Auditors are cautioned not to consider these suggestions as anything more than
indicators that the manufacturer or contractor is either competent or that the auditor needs to look
more closely.
This revised document is based on the 2010 Edition, 2011 addenda of ASME Section IX and may
not be accurate at later dates as the result of changes that may be made in subsequent editions of
Section IX. This is particularly true of examples.
Background
Section IX changed to its current format in the 1974 Edition. At that time, the concept of essential,
supplementary essential and nonessential variables was introduced. In that Edition and in the
1977 Edition, QW-201.1 said that the WPS had to list in detail the base metals, filler metals, preheat, PWHT and other variables described for each welding process as essential or nonessential. The 1977 Edition also said that the PQR form had to document the essential variables of
the specific welding process. . .
These words were apparently not clear enough, since, in the late 1970s, there were several inquiries related to what was required to be on the WPS and on the PQR relative to the essential and
Updated July 30 2012, Page 1 of 19
Present Requirements
It should be noted that the current Edition says the following:
QW-200.1(b) Contents of the WPS: The completed WPS shall describe all of the
essential, nonessential and, when required, supplementary essential variables for
each welding process used in the WPS. These variables are listed in QW-250
through QW-280 and are defined in Article IV, Welding Data.
and:
QW-200.1(d) The information required to be in the WPS may be in any format . . .
as long as every essential, nonessential and, when required, supplementary essential variable . . . is included or referenced.
These words are reinforced by Interpretation IX-89-03, which clearly says that even variables
which do not appear to be applicable in a particular shop must be addressed. See the Examples
section for more discussion of this requirement.
The above requirement can be reduced to two functional concepts:
1) if Section IX lists a variable as essential, what was done relative to that variable on the test
coupon has to be documented on the PQR. Variables recorded should be the actual values, not
the limits specified on the WPS that was followed during welding of the test coupon.
2) if Section IX lists a variable as essential or nonessential, the WPS has to say something about
that variable (with, of course, the essential variables consistent with the data recorded on the supporting PQRs and the rules of Section IX relative to that variable).
3) if the construction code requires the WPS to be qualified with impact testing, any variable listed
as a supplementary essential variable has to be documented on the PQR and addressed on the
WPS as an essential variable as described in in 1) and 2 above.
Various organizations have prepared checklists of the variables for each welding process. Such
checklists can be used during audits to make it simple to review WPSs, PQRs and Welder Performance Qualification Records (WPQRs). The use of such checklists by auditors to determine
that every essential and nonessential variable has been addressed by the auditee is highly enUpdated July 30 2012, Page 2 of 19
Examples
The following shows some typical samples of how to address typical variables; it should be recognized that these examples show some acceptable ways in which variables may be addressed -not the only acceptable way to address the variables, nor does it show all of the acceptable ways.
The auditor should keep an open mind to the creative ways that manufacturers and contractors
may acceptably address the variables in the Code, always keeping in mind that the objective is to
provide direction to the welder (i.e., tell him what to do . . . )
The requirement to address each essential and nonessential variable occasionally leads to some
curious situations for the welding engineer when he writes the WPS. For example, when using
GMAW or SAW, Section IX requires that the use of supplemental filler metal (QW-404.24) be addressed in the WPS. The shop may not have equipment for adding supplemental filler metal.
However, supplemental filler metal has to be addressed on the WPS and whether it was used or
not used on the test coupon must be documented on the PQR because -- it is a essential variable.
It can easily be addressed in a shop which has no equipment for adding supplemental filler metal
by saying something such as: Supplemental Filler Metal: Not Permitted on the WPS and Supplemental Filler Metal: Not Used on the PQR.
Another example of curious is the requirement to address pulsed power source (QW-409.3) when
using GTAW in a shop that has no pulsed power source. This nonessential variable can be easily
addressed by saying something such as: Pulsed Power Source: Not Permitted, or similar phrase
- even though the shop has no pulsed power source. However, in a shop that has one, being required to address pulsed power sources should tweak the welding engineer to ask himself if the
welder has adequate training or direction to use such a power source.
Blanks on Forms
It should be noted that Interpretation IX-83-03 says that omission of an essential or nonessential
variable from a WPS (for example, by leaving a space on a form blank or simply not addressing
the variable) does not meet the Section IX requirement to address the variable. For example, if a
WPS is qualified without PWHT, the organization should document on the PQR that PWHT was
not performed (e.g., PWHT: Not Performed, PWHT: None, No PWHT, etc.), and the organization
should specify on the WPS that PWHT is not permitted (e.g., PWHT: Not Permitted; PWHT: None;
PWHT: As-welded only; No PWHT; etc.). Leaving a blank or N/A on the PQR would not document whether or not PWHT had been performed on the test piece, and leaving a blank or N/A on
the WPS would not prohibit PWHT from being done. If Section IX identifies a variable as essential, nonessential or supplementary essential for a process, that variable is applicable to that process. Section IX does not specify the manner in which this is documented on the PQR or specified on the WPS. The method of recording information on the PQR and WPS may be by statement, sketch or other means as long as the essential variables are addressed (IX-10-1159).
Updated July 30 2012, Page 4 of 19
Conditional Variables
QW-410.7 says: For machine and automatic welding processes, a change of more than
10% in the width, frequency or dwell time of oscillation technique. If the WPS identifies
the welding process type as semi-automatic, oscillation does not need to be addressed directly on the WPS.
QW-405.3, addresses progression in any pass of a vertical weld; if the WPS limits welding
to the flat position, the WPS does not have to say anything about progression.
QW-406.2, deals with maintenance of preheat prior to postweld heat treatment. For a weld
that will remain in the as-welded condition, this variable is adequately addressed without
writing a word directly about maintaining preheat since PWHT is not going to be performed.
QW-408.2(c) requires that the percentage composition of a shielding gas be given for a gas
mixture; if the WPS specifies a single shielding gas, the percentage composition does not
have to be specified
QW-410.64 deals with the use of thermal process when welding on P-11A or P-11B materials. A WPS or PQR dealing only with P-1 materials does not need to say anything specifically about the use of thermal processes since recording "P-1 to P-1" on the PQR and
specifying "P-1 to P-1" on the WPS precludes the possibility that P-11A or P-11B materials
are involved.
QW-404.23 deals with filler metal product form (solid, metal cored and flux cored fillers); if
the WPS specifies ER70S-2, the S in this classification uniquely identifies the filler metal
as a solid wire, so the WPS does not have to specifically identify the filler metal as solid.
QW-404.34 which deals with flux type (neutral or active) when welding P-1 metals using
SAW; if the WPS is for welding P-5A, the flux type does not have to be specifically addressed.
These variables can be considered conditional variables or intrinsically described by the other
welding variables specified in the WPS or recorded on the PQR and, therefore, are adequately
addressed even though there is no specific, individual mention of them on the WPS or PQR. This
list should not be considered all-inclusive there are obviously other variables which can be conditional or intrinsically by others.
A variable which requires careful consideration but is not so straightforward is backing (see QW402.2, QW-402.4 and QW-402.5). These are nonessential variables for the common processes,
Updated July 30 2012, Page 5 of 19
Welder Qualifications
Another indicator a successful welding program is whether or not the auditee's responsible person
can properly complete a welder qualification record or explain what the data in the "Range Qualified" column of a welder qualification record permits the welder to do in production. This line of
questioning is very effective in determining what the manufacturers or contractors current personnel know about the Code with which they are working and if can apply it properly.
Each welder performance qualification essential variable applicable to those processes for which
a welder tested should be documented in the Actual Values column of the welder qualification
record, and the appropriate ranges for which the welder is qualified should be listed in the Range
Qualified column for each variable on the form. If the auditee is using his own form, it should be
checked against the applicable variables since the required variables may not be listed on the
form. See the form and instructions at the end of this document for guidance on how to record
variables. Please note that QW-301.4 only requires that ranges of qualification be provided in the
Range Qualified column for diameter and thickness.
In addition to being qualified in accordance with Section IX, welders should have the required skill
to produce welds that meet requirements of the construction code and specifications; meeting
these usually require ability and skill exceeding that needed to pass a test in a test booth; if a
manufacturer has a system in place for tracking the quality of workmanship of his welders (e.g.,
NDE reject rate, visual examination reject rates, repair rates, etc.), that is a good sign especially in
a large shop or field site where supervision may not be fully aware of welder performance.
Continuity of qualification under QW-322 (6-month rule) should be reviewed. Persons who use
the same welding process as welders (i.e., those doing manual or semi-automatic welding) and as
welding operators (i.e. those using machine or automatic welding equipment) must be qualified
separately and their continuity must be maintained separately. Continuity only needs to be maintained for each process, not for each WPS, electrode type, base metal, or any other variable. In
all cases, the manufacturer or contractor should be able to show when the last date was that a
welder or operator use a process, and that date should not be more than six months previous to
the audit date if the welder or operator is currently using the process. In order to demonstrate
continuity of qualification prior to the most recent weld date, many manufacturers and contractors
have records that track back to the date of qualification without a break of more than six months;
however, this historical record is not necessary provided the manufacturer or contractor has a system which identifies when a six month period has been exceeded and the welder is automatically
moved into the inactive file for that process. Regardless of which system is used, the system
should be set up to be sure that those responsible for assigning work to the welder or operator
know what a welder is qualified to do and that his qualifications are current.
Summary of Part 2
Part 2 of this document lists what auditors should look at when reviewing the welding aspects of a
shop for a Code stamp. Reviewing the competence of a shop's welding practices in the depth described above requires a reasonable level of knowledge in welding, including reasonable understanding of what Section IX and the applicable Construction Codes require related to welding.
Test coupon
thickness (T)
1 in (25 mm)
2 in (50 mm)
10 in (250 mm)
Base Metal
Thickness Range
(T) qualified
1/16 to 3/8 in
(1.5 to 10 mm)
1/16 to 3/4 in.
(1.5 to 20 mm)
3/16 to 1.0 in (5
to 24 mm)
3/16 to 2 in. (5 to
50 mm)
3/16 to 8 in (5 to
200 mm)
3/16 to 13.3 in (5
to 333 mm)
SMAW t=3/16 in
(5 mm)
SMAW t=3/8 in.
(10 mm)
GTAW, t=1/2 in.
(12 mm)
GMAW-FC, t=1 in.
(25 mm)
SAW. t=2 in. (50
mm)
SAW, t = 10 in
(250 mm)
Maximum Weld
Deposit Thickness
(t) Qualified
3/8 in (10mm)
3/4 in. (20 mm)
1 in (24 mm)
2 in. (50 mm)
8 in (200 mm)
13.33 (333 mm)
Multiple Processes
PQR
No.
Test coupon
thickness (T)
Base Metal
Thickness Range
(T) qualified
3/8 in (9 mm)
7
8
1 in (25 mm)
10
11
2 in (50 mm)
12
10 in (250
mm)
3/16 to 13.3 in (5
to 332 mm)
1
2
4
7
Stamp No:
Test Description
Test coupon
6 Production Weld
Thickness:
Actual Values
Range Qualified
9
11
14
18
20
22
23
24
26
28
30
32
34
36
38
40
10
12
15
19
21
25
27
29
31
33
35
37
39
41
* an asterisk after the actual deposit thickness indicates that there were at least 3 layers of weld metal for that process, electrode type, etc. per
QW-306
Test Results
Visual Examination of Completed Weld:
Bend Test
44
42
Date of Test:
Type
Result
47
48
Result
43
46 Side
Type
Result
61
By
62
Date:
63
Interpretation: IX-89-03
Subject: Section IX, QW:-l00.1 and QW-200.1
Question (1): Is it required that all of the essential and nonessential variables listed in QW-250
through QW.280 for each welding process be addressed in the WPS, even though some of these
variables are not applicable?
Reply (1): Yes.
Interpretation: IX-83-03
Subject: Section IX. QW-200
Question (1): Is omission of an essential, nonessential (or supplementary essential) variable
from a WPS interpreted to be a negative response for that variable? .
Reply (1): No. The Code requires that every variable for the appropriate welding processor
processes (QW-252 through QW-282) be listed on the WPS.
Interpretation: IX79108
Subject: Section IX, Identification of Essential and Nonessential Variables
Question: Is it required by Section IX that every applicable essential and nonessential variable
be identified on a single document called a WPS, or may the variables be addressed on one or
more documents identified on the WPS form for use in conjunction with the WPS?
Reply: The format of the WPS may be any which will fulfill the needs of the stamp holder: a
single document, a series of documents properly referenced together. a welding drawing. etc.
The WPS, regardless of the format selected, shall include all essential. nonessential, and, when
required, supplemental essential variables for the process or processes within the document or
documents comprising the WPS.
Interpretation: lX7975
Subject: Section IX, Regarding Clarification of QW200.1
Question: Is any further information other than that which appears on Form QW482 required
for a welding procedure specification (WPS)?
Reply: Form shown in QW-482 is a suggested format for the required information; a WPS may
be presented in any form as long as every essential and nonessential variable covered by
QW252 through QW-282 is presented. Any additional information is not required but may be
attached to the WPS at the option of the manufacturer.
Interpretation: IX-79-73
Subject: Section IX. Regarding the Preparation of a Procedure Qualification Record, QW-100
and QW-200
Question (1): Does QW-100.1 require the PQR to identify the actual amperage and voltage used
and prohibit the PQR from showing voltage and amperage ranges when voltage and amperage
are nonessential variables?
Reply (l): No. Voltage and amperage ranges may be recorded within the limits of a narrow
range, rather than the full range of the variables allowed.
Question (2): QW-200.2 states, "The PQR form shall list the actual variables used within the
limits of a narrow range rather than the full range of variables allowed. A manufacturer may
include all additional variables he may consider helpful such as the nonessential variables, but
is only required to record the essential variables used. Does this permit the manufacturer to
leave the PQR blank where nonessential variables are concerned or to fill in the nonessential
variables in any manner considered to be helpful at the manufacturer's option?
Reply (2): A manufacturer is only required to list the essential variables on the PQR; any
further information may be included at his option.
Question (3): Must every WPS supported by a given PQR be listed on that PQR?
Reply (3): No.
Interpretation: IX-80-23
Subject: Section IX. Recording of Measured Values of Variables in the PQR, QW200.2
Question: Is it required to record the actual values of nonessential variables in the Procedure
Qualification Record?
Reply: No.
Interpretation 10-16
Background: QW-404.24 and QW-404.27 are essential variables for the SAW process. A
procedure qualification test was conducted using the SAW process without the use of
supplemental filler metal.
Question: Is it required that the PQR indicate that supplemental filler metal was not used and
must the WPS prohibit its use.
Reply: Yes, however, Section IX does not specify the manner in which this is documented on the
PQR or specified on the WPS. The method of recording information on the PQR and WPS may
be by statement, sketch or other means as long as the essential variables are addressed.