National Board and ASME Joint Reviews...ASME Qualification Requirements (cont.) • Education and Experience Requirements • 2.1 – “The prospective Auditor shall have a minimum

National Board and ASME Joint Reviews

The National Board of Boiler and Pressure Vessel Inspectors

Inspection Training Center

Pressure Relief Testing Laboratory

NB Chiefs Meeting Columbus, OH October 2016

Presented by: Gary Scribner, NB Manager of Technical ServicesMatt Vasquez, ASME Conformity Assessment

Headquarters – Columbus, OH

Learning Objectives• ASME Qualification Requirements

• Standard Qualification Criteria for Accreditation and Product Certification Activities

• National Board Qualification Requirements• NB-290, Qualification of National Board Team Leaders and

National Board Representatives• ASME Review Conduct

• Conduct of ASME Surveys, Reviews, Audits, Investigations, and Interviews

• Additional Joint Review Requirements• ASME Sections I, III, IV, VIII, XII, NB-415, ASME CA-1

2The National Board of Boiler and Pressure Vessel Inspectors

ASME Qualification Requirements• ASME qualification requirements established in the

procedure Standard Qualification Criteria for Designees for Accreditation and Product Certification Activities

• Scope – “This procedure establishes the minimum requirements for all Designees who either lead or participate on conformity assessment activities (e.g. ASME Survey, Review, Audit, Investigations, or Interviews).”

• 1.1 – “This procedure governs the qualification of Auditors and Lead Auditors who act as the Designees when selected to perform accreditation activities on behalf of ASME. This procedure does not address the requirements for ISO 9000 Certification.”

ASME Qualification Requirements (cont.)

• Employment Requirements• 1.3 – “Designees can be employees of, or independent

consultants under contract with any of the following: ASME, Jurisdictional Authority, or ASME Designated Organizations. Throughout this document, the term “employer” shall refer to the organization which employs individuals or contracts independent consultants as ASME Designees.”


• Committee on Designees• 1.8 – “In general, the COD serves as an approval body

for new Designees and an advisory group to staff on matters relating to the conduct of Designees. The COD reviews the qualifications of potential Designees against the criteria in this procedure. The COD, when requested by the staff Secretary, considers allegations of misconduct of Designees and makes recommendations to ASME. The COD does not develop criteria nor does it develop Codes or Standards nor administer conformity assessment programs.”


• Education and Experience Requirements• 2.1 – “The prospective Auditor shall have a minimum of

ten credits”, accumulated under the following scoring system:• 2.1.1 – “Education (Four Credits Maximum). The prospective

Auditor shall have a high school education (or equivalent) and shall provide documentation verifying the level of education attained, thereby supporting the credits scored”

• 2.1.2 – “Experience (Nine Credits Maximum). The prospective Auditor shall have technical experience in engineering, manufacturing, construction, quality assurance, auditing, operation, maintenance, or inspection.”


• Education and Experience Requirements (cont.)

• 2.1 – “The prospective Auditor shall have a minimum of ten credits”, accumulated under the following scoring system:• 2.1.3 – “Professional Accomplishment (Two Credits

Maximum). Professional accomplishments demonstrated by experience and an examination may be considered to score one credit for each accomplishment. Such professional accomplishments may include (a) A Professional Engineers License (PE); (b) Certification by a national or professional society such as (1) A National Board Commission; (2) ASQC Certification; (3) AWS Certification.”


• Education and Experience Requirements (cont.)

• 2.1 – “The prospective Auditor shall have a minimum of ten credits”, accumulated under the following scoring system:• 2.1.4 – “Management (Two Credits Maximum). Two

credits may be granted for other performance factors applicable to auditing which may not be explicitly called out in this procedure. Examples of these factors are leadership, sound judgment, maturity, analytical ability, tenacity, etc.”“The basis for the management judgment in granting the two credits shall be documented and filed by the employer. Such records are subject to review.”


• Communication Skills• 2.2 – “The prospective Auditor is required to be able to

effectively communicate both in writing and orally. This must be documented and filed by the employer.”

• Training• 2.3 – “Prospective Auditors will have training to the

extent necessary to assure their competency in auditing skills. Training will be given based upon evaluation of the particular needs of each prospective Auditor based upon the NB-343, The National Board Body of Knowledge for ASME and National Board Review Team Leaders”


• Audit Participation• 2.4 – “The prospective Auditor shall have participated as a trainee

in a minimum of three ASME Reviews or Surveys within a period not to exceed one year prior to the date of qualification.”“The prospective Auditor shall prepare a Report (from their point of view) on each of the assigned ASME Reviews or Surveys under the direct supervision of an ASME qualified Lead Auditor. This Report shall be submitted to the assigned Lead Auditor. The assigned Lead Auditor shall review the Report and make comments as required. The Lead Auditor shall submit the prospective Auditor’s Report with their comments to the employer. Also, the assigned Lead Auditor shall provide a written evaluation of the prospective Auditor's performance to the employer.”


• Examination• 2.5.1 – “Examinations shall be developed and

conducted by either ASME, an ASME Designated Organization or an organization acceptable to ASME and shall be subject to review in accordance with ASME’s Internal Audit Program.”

• Note: Current passing grade is 70%. However, there is a current action item in the C3A2 Committee which seeks to raise the passing grade to 80%.

National Board Qualification Requirements

• NB qualification requirements established in the procedure NB-290, Qualification of National Board Team Leaders and National Board Representatives

• 1.0 – “The purpose of this document is to define requirements for the qualification of individuals who function as National Board Team Leaders.”

• 1.1 – “National Board Team Leaders are qualified to perform accreditation reviews, audits, surveys and similar activities for National Board repair programs.”

NB Qualification Requirements (cont.)

• Education and Experience Requirements• 2.1 – “The prospective National Board Team

Leader shall have a minimum of twelve credits that have been accumulated under the following system”:• 2.1.1 – Education (Four Credits Maximum) – Technical

curriculum or technical training in boiler, pressure vessel, or piping inspection

• 2.1.2 – Qualifying Work Experience (Ten Credits Maximum)• 2.1.3 – Professional Accomplishments (Two Credits Maximum)• 2.1.4 – Management Evaluation (Two Credits Maximum)

• Training Requirements• 2.2.1 – “A prospective National Board Team Leader

shall have training sufficient to develop competency in reviews, audits, surveys or similar activities in accordance with National Board policies and procedures. Prospective National Board Team Leaders shall also attend the National Board Training Program for Team Leaders.”


• Knowledge Requirements• 2.2.2.1 – “Knowledge and understanding of the

National Board Inspection Code and ASME BPV Code Sections I, II, III, IV, VIII (Divisions 1, 2 & 3) IX, X, and XII;”

• 2.2.2.2 – “Knowledge and understanding of NB-57, National Board Guide for ASME Joint Reviews. 2.2.2.3 Knowledge and understanding of ASME Conduct of ASME Surveys, Reviews, Audits, Investigations and Interviews. 2.2.2.4 Knowledge and understanding of ASME Standard Qualification for Designees for Accreditations and Product Certification.”


• Audit Participation• 2.3.1 – “The prospective National Board Team Leader

shall be assigned with a qualified National Board Team Leader to participate in a minimum of three reviews or visits of the type for which qualification is being sought within a one year period.”

• 2.3.2 – “The prospective National Board Team Leader shall complete a Qualification Review Report (QRR), or the report required for the activity being reviewed.”


• Audit Participation (cont.)

• 2.3.3 – “The qualified National Board Team Leader shall appraise the prospective National Board Team Leader’s performance, including a review of the QRR or report required for the activity being reviewed as described in paragraph 2.3.2. Additionally, the qualified National Board Team Leader shall submit a written evaluation of the prospective National Board Team Leader’s performance and communication skills to the Manager of Technical Services.”

• Examination• 2.5.1 – “The prospective National Board Team Leader, who will

conduct reviews, shall pass a written examination, with a grade of at least 80% for each area they are seeking certification.”


ASME Review Conduct• ASME conduct requirements established in the

procedure Conduct of ASME Surveys, Reviews, Audits, Investigations, and Interviews

• Scope – “These procedures establish guidance for the conduct of accreditation activities relating to ASME Survey, Review, Audit, Investigation and Interview Teams. These are the elements to carry out the ASME purpose to protect the ASME marks and acceptance of the Applicant's demonstrated conformance with ASME Codes and Standards.

ASME Review Conduct (cont.)

• Definitions• 1.1 (c) – “ASME Designated Organization refers to an

entity appointed by ASME to perform an administrative activity in accordance with an applicable Code or Standard.”

• 1.1 (d) – “ASME Designee refers to an individual authorized by ASME to perform administrative functions on its behalf. “

• 1.1 (i) – “Enforcement Authority refers to a government entity that enforces regulations or laws and which formally recognizes an ASME Code or Standard as a means of compliance with those regulations or laws.”


• Team Composition• 2.1 – “The Survey, Review, Audit and Interview

Team make-up is shown in Appendix 1.”• Appendix 1, 1. - The membership on ASME Survey,

Review, Audit and Interview Teams will be based on the procedures of the responsible Accreditation Subcommittee when included in their procedures, or as mandated in the Code or Standard, which is the basis of the program.


• Team Composition (cont.)

• 2.1 – “The Survey, Review, Audit and Interview Team make-up is shown in Appendix 1.”• Appendix 1, 2. - When not included in the Code, Standard or

applicable procedures, membership will be as follows:


• Team Assignments• 3.1 – “It is the responsibility of the ASME staff to select an

ASME Consultant as Team Leader, or where applicable, notify the Enforcement Authority or ASME Designated Organization to appoint an ASME Designee as Team Leader.”

• 3.2 – “Selection of ASME Consultants to serve as Team Leaders and Team Members for surveys, reviews and audits shall be from a list of currently qualified personnel maintained by ASME staff.”

• 3.4 – “Where an Authorized Inspection Agency is required, it is the responsibility of the Applicant to assure that the required representatives of the Authorized Inspection Agency are available for the survey, review or audit.”


• Appendix 2 Additional Requirements• Appendix 2 “establishes guidance for the conduct of

accreditation activities relating to ASME Review, and Audit Teams for Certificates of Authorization and Certificates of Acceptance administered by the Subcommittee on Boiler and Pressure Vessel Accreditation (SC-BPVA).”


• Appendix 2 Additional Requirements (cont.)

• Appendix 2, 3.2 - UG-90(c)(2); HG-515.4(b), Section X Code Case 2225 Multiple Duplicate Certificate of Authorization • 3.2.1 - “The review shall be conducted by an ASME Designee

appointed by ASME or an ASME Designated Organization.”• 3.2.2 – “The Review Team shall also include the Authorized

Inspection Agency and the Jurisdiction, where applicable.”

• Appendix 2, 3.3 - H (Cast Iron) Certificate of Authorization• 3.3.1 – “The review shall be conducted by an ASME Designee

appointed by ASME. The Designee shall provide a report to ASME verifying that the Applicant’s Quality Control System has been accepted prior to issuance of the Certificate.”


• Appendix 2 Additional Requirements (cont.)

• Appendix 2, 3.4 - V, UV, HV, UD and UV3 Certificate of Authorization • 3.4.1 – “The review shall be conducted by an ASME

Designee appointed by ASME Designated Organization in accordance with 5.1 of the procedures except that the Manual review (see 5.1.4) may be conducted following the Entrance meeting (see 5.1.5).”

Additional Review Requirements

• Section I• PG-105.4 – “Any Manufacturer or Assembler holding or

applying for a Certificate of Authorization shall demonstrate a quality program that meets the requirements of ASME CA-1 and establishes that all Code requirements including material, design, fabrication, examination (by the Manufacturer), and inspection for boilers and boiler parts (by the Authorized Inspector) will be met. The quality control system shall be in accordance with the requirements of A-301 and A-302.”

Additional Review Requirements (cont.)

• Section III – Additional requirements related to Section III can be found in the ASME Operating Procedures for the Committee on Nuclear Certification

• All Section III reviews contain one Team Leader and at least two Team Members

• Table N-1, Note 3 - “Team members shall be one ASME Team Member and one additional ASME Team Member or Enforcement Authority (may be delegated to the National Board) Member.”


• Section IV• HG-540.5 – “Before issuance or triennial renewal of a

Certificate of Authorization for use of the Certification Mark with the H, HLW, or PRT designator, the Manufacturer’s facilities and organization are subject to a joint review by his Inspection Agency and an ASME Designee who is selected by the concerned legal jurisdiction, except that for Certification Mark with H designator (cast iron) and Certification Mark with H designator (cast aluminum), the review shall be yearly by an ASME Designee selected by ASME.”


• Section VIII, Div. 1• UIG-117 (f) – “Before issuance or triennial renewal of a

Certificate of Authorization for use of the U or UM Designators, the Manufacturer’s facilities and organization are subject to joint review by a representative of his inspection agency and an individual certified as an ASME designee who is selected by the concerned legal jurisdiction. A written description or checklist of the Quality Control System which identifies what documents and what procedures the Manufacturer will use to produce a Code Item shall be available for the review.”


• Section VIII, Div. 2• 2-G.6.1 – “Before issuance or renewal of a Certificate of

Authorization for use of the Certification Mark with the U2 Designator, the Manufacturer’s facilities and organization are subject to a joint review by a representative of his inspection agency and an individual certified as an ASME designee who is selected by the concerned legal jurisdiction. For those areas where there is no jurisdiction or where a jurisdiction does not choose to select an ASME designee to review a Manufacturer’s facility, an ASME designee selected by ASME shall perform that function. Where the jurisdiction is the Manufacturer’s Inspection Agency, the jurisdiction and the ASME designee shall make the joint review and joint report.”


• Section VIII, Div. 3• KS-250 – “Before issuance or triennial renewal of a

Certificate of Authorization for use of the U3 Designator, the Manufacturer’s facilities and organization are subject to joint review by a representative of his inspection agency and an individual certified as an ASME designee who is selected by the concerned legal jurisdiction. A written description or checklist of the Quality Control System which identifies what documents and what procedures the Manufacturer will use to produce a Code Item shall be available for the review.”


• Section XII• TS-200.5 – “Before issuance or renewal of a Certificate

of Authorization, the Manufacturer’s facilities and organization are subject to joint review by a representative of his inspection entity and an individual certified as an ASME designee who is selected by the concerned competent authority. A written description or checklist of the Quality Control System which identifies what documents and what procedures the Manufacturer will use to produce a Code Item shall be available for the review.”


• NB-415• 3.2 – “The Review Team, as a minimum, shall consist

of one representative each from the Authorized Inspection Agency and the National Board member jurisdiction where the organization is located. Alternatively, if the Jurisdiction elects not to perform the review or where there is no Jurisdiction or where the Jurisdiction is the organization’s Authorized Inspection Agency, the National Board will represent the Jurisdiction. At the Jurisdiction’s discretion, the Jurisdiction may choose to be a member of the review team if the Jurisdiction chooses not to be the team leader.”


• ASME CA-1• 2.2.1 – “Any organization holding or applying for a Certificate

of Authorization shall demonstrate a quality management system that establishes that all requirements of the governing standard will be met. The quality management system shall be in accordance with the governing standard specified in Table 1. The organization shall”• (a) make available to the ASME Designees a copy of the quality

management system manual during ASME’s evaluation of the system

• (b) provide the ASME Designees with access to all documents and areas covered under the scope of the quality management system

• (c) require a controlled copy of the accepted quality management system manual to be filed with ASME when indicated in Table 1

35

Thank you!

National Board and ASME Joint Reviews...ASME Qualification Requirements (cont.) • Education and Experience Requirements • 2.1 – “The prospective Auditor shall have a minimum

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