Transcription
NuclearCertificationProgramA P P L I C A N T I N F O R M AT I O N H A N D B O O KTwo Park AvenueNew York, NY10016-5990 U.S.A.tel 1.212.591.8500fax 1.212.591.8501www.asme.orgThe American Society of Mechanical Engineers ASME REV. 2 NUC-FRM-19, 01/30/18
Table ofContents3 About ASME Nuclear Certification4 Overview of Certification Process7 General Survey Conformity Assessment Requirements for ApplicantsThe following sections are being developed: N Certificate of Authorization Demonstration Guidance NPT Certificate of Authorization Demonstration Guidance NA Certificate of Authorization Demonstration Guidance NS Certificate of Authorization Demonstration Guidance NV Certificate of Authorization Demonstration Guidance N3 Certificate of Authorization Demonstration Guidance Quality System Certificate (Metalic) Demonstration Guidance Quality System Certificate (Polyethylene) Demonstration Guidance Quality System Certificate (Non-Metallic) Demonstration Guidance2NUC-FRM-19, 1/5/2018
AboutASME NuclearCertificationThe American Societyof MechanicalEngineers (ASME)has played a vitalrole in supporting thenuclear industry sincethe first publicationof the ASME Boiler and PressureVessel Code, Section III, “Rulesfor Construction of NuclearFacility Components” in 1963. Thecommencement of the ASME NuclearCertification Program in 1968 has onlystrengthened that support.Certificates of Authorization andQuality System Certificates issuedby ASME signify that an organizationhas been through a rigorousSurvey to verify the adequacy andeffective implementation of theorganization’s quality program. TheN-type Certificates of Authorization(N, NA, NPT, NS, NV, and N3) allowCertificate Holders to certify andstamp newly constructed items withthe Certification Mark in accordancewith Section III of the ASME Boiler andPressure Vessel Code.Quality System Certificates(QSC) provide assurance thatthe organization’s operations,processes, and services related tothe procurement, manufacture, andsupply of material, source material,and unqualified source material areperformed in accordance with therequirements of the ASME Boiler andPressure Vessel Code, Section III,NCA-3800 and NCA-3900.NUC-FRM-19, 1/5/2018The Certificates authorize the followingscopes of activities:NConstruction of vessels, pumps, valves, pipingsystems, storage tanks, core support structuresand concrete containmentsNAField installation and shop assembly of all itemsNPT Fabrication of parts, appurtenances, weldedtubular products and piping subassembliesNSFabrication of supportsNVConstruction of pressure relief valvesN3Construction of transportation containmentsand storage containmentsQSC Manufacture and supply of materialFor detailed Certificate scopes and other requirementsconcerning the issuance of N-Type Certificates ofAuthorization and Quality System Certificates, pleaserefer to the Notice on Nuclear Scope Statements.3
Overview ofCertificationProcessThe Certification Process can be dividedinto four phases: preparation, application,assessment, and certification.PreparationApplicationIn preparation for obtaining ASME Certification,applicants should review all of the information relatedto the certification program including the applicableforms, checklists, and associated fees. This will ensurethat applicants have a thorough understanding of thecertification program requirements prior to submittingan application. Things to do prior to submitting anapplication for a certificate:Organizations seeking ASME Certification are requiredto submit the proper application forms and fees priorto receiving a Survey date. New applicants will need tocreate a CA Connect account. For more information onthis process, please see the CA Connect User Guide.Existing account holders should first ensure that theprimary contact for the account is correct. To changethe primary contact for your company, please referenceHow to Change Primary Contact Information. For moreinformation about the process for existing accountholders, please see the CA Connect User Guide. Review relevant information about thecertification program on ASME’s website,go.asme.org/certification Decide on scope of work that will be certified byASMEAs part of the CA Connect application, applicantsmust ensure that the following supplemental forms areuploaded: Obtain required standards Form A (for N-Type Certificate applicants) Enter into an agreement with an AuthorizedInspection Agency if required by the applicablestandard Form C (for Quality System Certificate applicants) Survey Team Size Questionnaire Prepare the quality manual, a written description ofthe quality program Accreditation/Certification Agreement Indoctrinate and train personnel who will implementthe quality programNUC-FRM-19, 1/5/20184
AssessmentThe purpose of the Survey is to evaluate the adequacy of the applicant’s qualitymanual and the effective implementation of the quality program. The extent of theSurvey will be determined by ASME based on a review of the applicant’s intendedscope of activities as described in the application.Overview ofCertificationProcess(cont.)This Survey ensures that the applicant’s quality program has been effectivelyimplemented and that it complies with the requirements of Section III of the Boilerand Pressure Vessel Code. After the Survey is completed, the Survey Team Leaderwill submit a written report to ASME.The Survey is conducted in five phases or segments as follows:1.Manual Review: Shall be performed by the Survey Team and observers authorized byASME only, on the first day of the Survey. This review will normally be held in a locationremote from the applicant’s facility. Manual Review may continue on subsequentdays at the applicant’s facility as necessary. Pre-Survey questionnaires and manualchecklists must be presented to the Survey Team at this time.The Quality Program Manual programmatic controls as mandated by NCA3800/3900/4000 means who, what, where, when, and how. The terms who, what,when, where, and how are defined as follows:What: The Manual identifies the activities which affect quality in the supply of theproduct (items/services).Who: The Manual identifies the individual by title within the organization, at any level,that is responsible for performing the activity. This includes activities which are beingdelegated; the title of the delegate is to be identified. (In-lieu of a title, providing aclear description of knowledge, experience, training, and edition requirements of theindivid- ual required to perform the activity is permissible).When: The Manual indicates the point of time the activity is required to be performed.Where: The Manual identifies the location(s) at which the activity is performed orindicates if the activity is being subcontracted to an approved supplier/vendor.When: The Manual indicates the point of time the activity is required to be performed.How: The QA Manual identifies the technique (planning & accomplishment) used toachieve quality, e.g. drawings, procedures, work instructions, forms, travelers and/ortags. A graphic representation of the typical comparison of information contained in theQuality Program Manual vs Instructions, Procedures, and Drawings is shown below.Quality Manual vsInstructions, Procedures, andDrawingsWhatWhoWhenWhereHowNUC-FRM-19, 1/5/20185
Overview ofCertificationProcess(cont.)2.Entrance Meeting / Facility Tour: Will be held onthe second day. The entrance meeting will providethe Applicant and the Survey Team an opportunityto: introduce themselves, review the Certificatesand Scopes applied for, and to establish the Surveyagenda. During the entrance meeting the applicantsshould identify the specific interfaces to fully supporta timely, effective and efficient Survey. ASME fullyencourages executive/senior management to attendthe entrance meeting. During this meeting theApplicant may, if they wish, give a presentation of thecompany, products, personnel, etc.3.Implementation: The Applicant is expected todemonstrate the implementation of the Program onCode work, demonstration item(s), or a combinationthereof. If any deficiencies are discovered duringthe Survey, they will be immediately identified to theApplicant in order to provide them an opportunity tocorrect them prior to the conclusion of the Survey.4.5.Team Closed Meeting: This meeting will be held atthe Applicant’s facilities prior to the exit meeting. Thismeeting will be attended only by the Survey Team andobservers authorized by ASME. During this meetingthe Survey Team will review the results of the Surveyand vote on the recommendation that the team willpresent to the Committee on Nuclear Certification(CNC).Exit Meeting: This meeting will be held with theApplicant’s management and will review the resultsof the Survey. ASME fully encourages executive/senior management to attend the exit meeting. Ifthere were any finding issued they will be reviewedand the Applicant will be advised of their status. TheSurvey Team’s recommendation to the Committee onNuclear Certification (CNC) will be made known. TheApplicant will be allowed to ask any questions relativeor pertinent to the Survey. At the conclusion of the exitmeeting the Survey is officially ended and there will beno more discussion of the Survey.NUC-FRM-19, 1/5/2018CertificationA Certificate will be granted by ASME only afterthe applicant successfully demonstrates theadequacy and effective implementation of theirquality program to the ASME Survey Team. Surveyreports are reviewed by the ASME Committee onNuclear Certification (CNC). The CNC is composedof subject-matter experts who are stakeholdersin the nuclear industry, including manufacturersand regulators. After the CNC reviews the reportsubmitted by the Survey Team, they will eitherauthorize the issuance of the Certificate or requestadditional action by the applicant.Certificates are valid for three years. A renewalapplication and applicable fees must be submitted atleast six months prior the certificate expiration dateto begin the certificate renewal process.6
General SurveyConformityAssessmentRequirementsfor ApplicantsApplicants applyingfor initial issueor renewal of anASME Certificateof Authorizationshould be awarethat the ASMESurvey will require that implementationof the Quality Assurance Programbe demonstrated.Applicants applying for initial issue orrenewal of an ASME Quality SystemCertificate should be aware that theASME Survey will require thatimplementation of the Quality SystemProgram be demonstrated.The extent of the Survey will bedetermined by the Society based ona review of the applicant’s intendedscope of Code activities described inthe application, including but not limitedto the specific information contained inthis handbook.The ASME Policies and OperatingProcedures require the Survey Teamto make a full review of the Applicant’sNUC-FRM-19, 1/5/2018Quality Assurance Manual/QualitySystem Manual prior to visiting theApplicant’s facilities. This review isperformed by the full Survey Teamon the first day of the Survey. Thismanual review is normally performedremote from the Applicant’s facility,usually in a hotel, but may be continuedat the Applicant’s facility. In somerare instances and under certaincircumstances it may be performedat the Applicant’s facility, and will onlybe done with the concurrence of theSurvey Team Leader.It is the responsibility of the Applicantto have sufficient copies of their Manual(Uncontrolled) and at least one (1) copyof implementing procedures for theSurvey Team’s use at the time of themanual review. The Manual must be theManual presently in use. For N-TypeCertificate Applicants, the companyapproved manual also must beaccepted by the Applicant’s AuthorizedNuclear Inspector Supervisor (ANIS). Ifthe QSC or N-Type Certificate Applicantis proposing changes to the Manual,copies of the proposed changes shallbe provided for review by the SurveyTeam. The Applicant will be expectedto demonstrate the proposed changesduring the implementation portion ofthe Survey.Any N-Type Certificate Applicant’sQuality Assurance Manual not basedsolely on NCA-4134 is acceptableonly if it also includes all the controlsnecessary to establish compliance withNCA-4134. Quality System Certificateapplicant’s program not solely basedon NCA-3800/3900 are acceptableonly if the program also includes allthe controls necessary to establishcompliance with NCA-3800/3900 asapplicable. When the quality manualaddresses multiple codes, standards,or regulatory requirements, the manualshall indicate those portions which arenot applicable for the implementationof the ASME Section III Coderequirements.For forms exhibited in the QualityAssurance Manual or QualitySystem Manual, the Survey Teamwill find it beneficial to have thecompleted example forms providedfor their review at the time of theManual Review.The Applicant will be required todemonstrate the implementation oftheir Program for each Certificateapplied for. If an Applicant is applyingfor an N, NPT, NA, NS, N3, or NVCertificate of Authorization, theunique features of each Certificatescope shall be demonstrated. It is notnecessary to repeat processes, e.g.if welding and NDE are demonstratedas part of the NPT demonstrationthere is no need to repeat it for the N,NA, or NS demonstration.When using suppliers ofsubcontracted services (NCA-3125)or approved suppliers (NCA-3855),such as NDE, design activities,auditing, etc., the supplier’squalification procedure and recordsas required by NCA-4255.5 and/orNCA-4000 shall be made availablefor review by the Survey Team atthe location of the Survey.7
All demonstrations shall be to the mostrestrictive Code Class to be includedin the scope of the Certificate andas identified in the application. Forexample, applicants applying for Class1, 2 & 3 shall provide a demonstrationto the Survey Team that is basedon Class 1 Code requirements.Demonstrations shall not be plannedto exclude any type of Code activity:1.For N-Type Certificate applicantsusing a thi
Certificate Holders to certify and stamp newly constructed items with the Certification Mark in accordance with Section III of the ASME Boiler and Pressure Vessel Code. Quality System Certificates (QSC) provide assurance that the organization’s operations, processes, and services related to the procurement, manufacture, and supply of material, source material, and unqualified source material .
