SPFA Certification Assessment Check List

*Denotes 2nd/3rd year audit check points

Major Minor Complie
s

Management Responsibility
Is there a written statement afirming
that the company policy is to direct
1. Policy
all activities in such a manner that
Statements
the fabricated product meets the
quality requirements specified in the
contract documents?
Is there a written statement afirming
that the company will provide shop
detail drawings and instructions which
adequately interpret the owners
designs and specifications and which
are approved by the owner?
Is there a written statement afirming
company policy to manufacture from
approved shop detail drawings and
procedures and ship a finished
product in accordance with contract
documents and specifications?
Is there a written statement afirming
that the company policy is to provide
the inspection and control procedures
to assure that the fabricated product
is in conformance with the contract
documents and specifications?
Does the organization identify all
2. Organization
personnel required to support the
& Personnel Quality Control System?

Observation, Objective
Evidence, or
Comment

The quality policy is

distributed in specific areas
of the plant and all
employees have a badge
with the written policy.
It stipulated in the quality
manual of North American
Pipe Fabricators.

It stipulated in the quality

manual of North American
Pipe Fabricators.

It stipulated in the quality

manual of North American
Pipe Fabricators.

It stipulated in organization

They are described in the

job description

you have trained personnel.

Do job descriptions for management

personnel adequately define their
responsibilities in support of the
Quality Control System?
Are management personnel with
responsibilities afecting Quality,
qualified to discharge the duties of
their position?
Are Supervisors qualified by
experience and/or education?

you have trained personnel.

They are described in the

job description

Do job descriptions for operations

and procurement personnel
adequately define their
responsibilities in support of the
Quality Control System?
Are employees familiar with
their job responsibilities?

It is carried out talks with all

the staf hacerca their
responsibilities.
format
(Specification Check

Is shop supervision conversant with

current workmanship provisions,
including AWS, ASME, AWWA and
customer requirements?

Page
1

List) where requirements

and client code are
described delivered.
June
2012

*Denotes 2nd/3rd year audit check points

Major Minor Complie

s

Does
the
Fabricator
maintain
suficient
data
relating
to
shop
3. Corrective
nonconformances
and
field
Action Process *
problems, to allow management to
evaluate the efectiveness of the

(No Conformance Report)

Is there evidence that management

reviews
data
related
to
shop
nonconformances and field problems
for the purpose of evaluating and
possibly revising the Quality System?

Is there a system used to

identify nonconforming
work
in aprogress?
Is there
written procedure for

controlling further processing and

correcting nonconforming material or
work in process rejected by the quality
control personnel?

Does this system assure that the

level of authority of the individual
dispositioning the nonconforming
condition is commensurate with the
magnitude of the problem?
Does this system manifest the use of
a corrective action approach, to
preclude the future recurrence of
repetitive, nonconforming conditions?
4. Quality
Manual &
Procedures *

Does plant management review

assigned work to determine quality
requirements?
Is there a written procedure for
distribution of special quality
requirements to plant departments?
Does fabricator follow its written
procedure?
Is there a written procedure for
distributing drawings, procedures and
special requirements to the shop
force?
Are distribution procedures followed?

Observation, Objective
Evidence, or
Comment
are performed
NCR Format

of has records.

is performed by system
identification (Tags)
It is being made General
Procedure to cover this
point

It will be established in
nonconforming product
procedure.

it is carried out but will be

written in the procedure.

Internal audits for review

will be established in all
areas
It is performed through the
format (Engineering
Transmital Letter)

*
*

Engineering & Drafting

For the in-house design Engineering
Department, the following questions
1. Design
are to be evaluated.

Are there personnel available, with

knowledge of applicable codes and
specifications, to provide technical
answers to other departments?

Does the fabricator have access,

internally or externally, to a water
pipe design engineer, or engineers,
qualified by experience, licensing, or
registration?

If the procedures are

followed.
the distribution is made
right through the process
(Engineering Transmital
Letter))
---------------------------------------

the company has staf with

the knowledge and training
needed to design pressure
vessels.
yes

*Denotes 2nd/3rd year audit check points

2. Drafting

If there is an organized in-house

Drafting Department, the following
questions are to be evaluated.
Is there an in-house drafting
capability with adequate
supervisory experience and/or
training
in water pipe
Do job descriptions
fordetailing?

drafting/engineering department
personnel define their
responsibilities in support of the
Quality Control System?
Are employees familiar with
their job responsibilities?

Is there adequate drafting personnel

including an experienced Foreman?

*
*
*

Major Minor Complie

s

Observation, Objective
Evidence, or
Comment

the company has staf with

the knowledge and training
needed to water pipe
detailing.
They are defined in the job

description by area
*

staf familiar with the

performance of their
staf
familiar withand
the work.
responsibilities
performance of their
responsibilities
and work.
Not Applicable

If detail drawings are sublet, the

following questions are to be
evaluated.
Are shop details sublet to a qualified
piping- drafting firm, with adequate
experience and/or training specifically in
water
pipe
detailing?
Does the
fabricator
employ a person

Not Applicable

Not Applicable

capable of supervising/evaluating and

coordinating
outside shop detail drawings?
Does this person furnish adequate
instructions to the sublet detailer, which
will assure adequate compliance with the
customers design requirements?

Not Applicable

Does this person have adequate

experience to evaluate the correctness
and completeness of the sublet drawings,
materials and technical information?

Not Applicable

Does the drafting department maintain

a current document control log of
customer- supplied specifications and
design drawings, indicating their
revision status?
Are detail drawings (including revisions)
checked and reviewed by qualified
persons, other than the one responsible
for the drawing activity?
Does the engineering/drafting
department maintain a current log of
shop detail drawings listing the latest and
all previous approval and revision dates?

Not Applicable

Is there a written procedure for

3. Project
receipt, distribution and control of
Management & design drawings, detail drawings,
Procedures
special requirements or
procedures, and revisions thereto?

Not Applicable
Not Applicable

adapt document control

procedure for all types of
products.

Is there a written procedure to assure that

the shop force and quality control have
access to the latest job specification
requirements, including provisions for
control of addendum and revisions?
Is there a written procedure to assure
that all pressure-retaining materials
within a component maintain traceability
to manufacturers test reports, including
components supplied by sub
contractors?
Are there provisions to assure that

4. Library *

Major Minor Complie

s

procedure for all types of

products.

obsolete drawings and documents are

destroyed or isolated from use
throughout the plant? (May be assured
by other departments.)

adapt document control

procedure for all types of
products.

adapt document control

procedure for all types of
products.

Are legible copies of approved drawings, and

procedures for processes such as welding,
testing, examination and inspection, furnished
to quality control and production supervisors?

latest
You do not have hard copy or
specifications subcripcion for

latest
You do edition.
not have hard copy or
specifications subcripcion for
You do not have hard copy or
latest
specifications subcripcion for

3 - AWS

latest
You do not have hard copy or

4 - SSPC

specifications subcripcion for

latest
it has what it takes for pressure
vessels.

5 - ASME

You do not have hard copy or

specifications subcripcion for

6 - NACE

latest

Materials Management
Is all information required by the
customers specification adequately
1. Purchasing * conveyed to a Bill of Materials or
Material Requisition, for use by
Purchasing?
Are Purchasing Documents for material
and services reviewed for conformance
to design drawings and specifications,
and approved before issuing purchase
order?
Are there procedures to assure all phases
of subcontract services are ordered and
furnished to contract requirements?

If an order is accepted on the basis of

requiring SPFA Certification, is subcontract
activity awarded to and accomplished by
an SPFA certified subcontractor?

--------------------------

You do not have hard copy or

specifications subcripcion for

Current reference library, including

addenda and errata, as applicable,
of the following codes and
standards organizations:
1 - AWWA
2 - ASTM

Observation, Objective
Evidence, or
Comment
adapt document
control

the information reaches the

department purchases through recap
which is reviewed by engineering and
where annotation requirements are
made, the requisition and purchase
order is filled with the information
contained in the recap.

They are reviewed by

engineering

adapt procurement process.

make list of certified

suppliers SPFA

Are customer requirements outside of

the governing AWWA standards
communicated to the subcontractor?

Are procurement sources adequately

evaluated or otherwise qualified to
insure their capability of supply?

2. Material
Receipt and
Storage*

*
*
*
*
*
*

Major Minor Complie

s

requisition and purchase

order.
adapt procurement process.

Are all purchased materials and

subcontract service items inspected,
before being placed in stock or
incorporated into the work, to confirm
compliance with the Purchasing
Do material suppliers provide
certificates of conformance to confirm
that the items supplied conform to
the Purchasing Document
requirements?
Are mill test reports or certificates
of compliance reviewed to confirm
compliance with material
specifications?
Raw material blocked off ground and
handled to prevent permanent
distortion?
Is material type, grade and
thickness verified prior to
fabrication?

They are inspected in

accordance with purchase
order and material
specifications.

Yes.

They are reviewed by the

quality control department in
accordance with applicable
stock
determines
specifications
. the type of

Is there adequate and proper storage

for lining materials?

*
*

Are controls set up to ensure

adequate identification on incoming
purchased items?

Are mill test reports or

certificates of compliance kept
on file when material
traceability is required?
Provisions for suitable loading,
blocking, and bracing for shipment?

Are records maintained and procedures

functioning to ensure traceability of grade,
and where required, heat numbers, and
material test reports for special
requirements?

*
4. Shipping*

blocked of ground can be verified

in warehouse area

They are reviewed by the

quality control department in
accordance with applicable
specifications and purchase

order.
area delimited in stock
area delimited in stock

Is there adequate storage for

coating materials?
3. ID &
Traceability

Observation, Objective
Evidence, or
Comment
They specified
in the

A travs de las etiquetas se

identifican con la anotacin de las
especificaciones de materiales.
se mantiene la trazabilidad en
cada corte de material slo para
hacer trmico inicial anotacin.

the certificate with the

annotated heat in the
piece is sought.
They are reviewed before
departure of the load.

Pipe Fabrication
1. Facilities &
Equipment

Does management have a current

inventory of fabrication equipment in
the plant?
Does the fabricator have adequate
rolls?
Does the fabricator have adequate
shears?
Does the fabricator have adequate
brakes?

*
*
*
*

controlled by the
maintenance department.

*Denotes 2nd/3rd year audit check points

2. Welding

*
*
*

*
*

Major Minor Complie

s

If fabricator manufactures straight

run pipe sections, is hydrostatic
equipment available and in use?

Does the fabricator have

adequate end- forming
equipment?
Does the fabricator have a competent
welding technician or supervisor in
house, or outside expert available on
call?
Does this person have the authority

hydrostatic testing area

*
*

to control welding procedures in the

shop?
Are welders certified per AWS, ASME
and/or customer requirements?

*
*

Does the fabricator have written

welding procedures specification
(WPS)?
Are WPS supported by a Procedure

Qualification Record (PQR) ? (not

applicable to WPS' defined as
prequalified by a governing welding
code or standard)
Does the fabricator have written
welding procedures for each
process in use (i.e., SMAW, SAW,
GMAW, manual or
semiautomatic, and automatic)
Are WPS specifications followed in
production and within the designed
parameters (i.e., voltage, amps,
travel speed and filler materials)?
Is a welder identification process
followed in the shop?

Does the fabricator have

automatic or semiautomatic
equipment
for
making
continuous welds?
Is manual welding equipment in
use, in acceptable operating
condition?
Does fabricator have burning
equipment?
Are welding consumables
purchased, stored, and used in
conformance with AWS
requirements?
Is there a maintenance schedule
established for equipment and tools,
3. Maintenance* and a maintenance log kept
showing compliance with the
schedule?
Are welding machines checked at
least annually or when problems
*
occur, to ensure correct amperage
and voltage reading?

Observation, Objective
Evidence, or
Commentand
it has equipment

it has CWI certificate No.

11121581
-------------------------------------there are records for
qualification of welders.
shown in manufacturing
area.
shown in file.

shown in manufacturing
area.

shown in manufacturing
area.

Weld map shown 525

project
Process SAW.

*
*

------------------------------------------------------------------

It is met with proper

storage for each welding
specification.

you have to test and

measurement equipment.

check sheet parameters

voltage and amperage held
every 6 months or when
required shown.

*Denotes 2nd/3rd year audit check points

4. Housekeeping*

Major Minor Complie

s

Is housekeeping adequate?

verified.

Coating & Lining

1. Clean and
Is there pre-blasting or postPaint - In-House
blasting equipment?
Applications
Are there provisions for control of
surface preparation in accordance
*
with applicable standards?

*
*
2. Cement
Coating and
Lining

Observation, Objective
Evidence, or
order andComment
cleaning plant is

--------------------------------------

anchor and cleaning

records are shown.

Is surface preparation checked prior to

lining and coating, when required, and
are records of these checks
maintained?
Are there provisions for agitation,
temperature control and methods of
lining or coating application?

anchor and cleaning

records are shown.

Are there provisions for wet and dry

film paint/epoxy measurements, and
are the results of such checks
recorded?
Are there provisions for
determining if atmospheric
conditions are suitable for
blasting and application of
coatings per manufacturers
Are atmospheric conditions at the
time of blasting/coating recorded
and maintained?
Is the lining/coating checked after
application?

it has equipment to check

environmental conditions
and agitation paint.
it has equipment to verify
dry to wet thickness and
thickness gauge.
it is show technicians sheet
by specified by the
manufacturer and customer
requirements.
records and witness anchor
thicknesses shown.
------------------------------------

records are displayed.

Is there testing equipment in use

(either by the fabricator or his
subcontractor) to test cement mortar
coatings and linings per AWWA C205?
Is there a written procedure being
utilized for cement mortar testing
outlining the necessary steps, duration
of curing, and break procedures as
prescribed by AWWA C205?
Are accurate records of these
tests being maintained?
Subcontracted Coatings and Linings
If the fabricator utilizes the services
of a subcontractor, is the
subcontractor familiar with AWWA
C205?
Does the subcontractor make and
maintain records of testing per the
above requirements for In-House
Coating/Lining operations?

adjust the procedure and

make changes to North
American pipe fabricators.
*

records are displayed.

Not Applicable
Not Applicable

Not Applicable

*Denotes 2nd/3rd year audit check points

Does the fabricator receive and

maintain records of the work
Quality subcontracted?
Control

1. QC
Inspections*

Are Quality Control hold points

established, and is workmanship
checked for conformance, before
further processing of the product
occurs?
Is there a system used to
indicate nonconforming
work
in progress?
Is there
a program for training shop

Major Minor Complie

s

Observation, Objective
Evidence, or
Comment
Not Applicable.

established through the

traveling sheet.

They are established through tags

and NON-Conformance

Format.

---------------------------------

------------------------------------

inspectors, including written minimum

qualification requirements?

*
*
*

Does the organization include a

qualified
Quality Control Supervisor?
Are there qualified shop inspectors?

Only PT and MT

Does the organization include at

least one qualified in-house Mag
Particle, Liquid Dye, Radiographic,
and Ultrasonic Inspection
Technician?
Is a qualified testing service available
and used if required?

Only PT and MT

Is there in-house physical testing

equipment and personnel?

Are contract specifications and

special provisions on file?

Is there an adequate in-process

inspection procedure, including
records of all inspections?

subcontract

Only PT
-----------------------------It is done Through formats.

Does Quality Control have authority

to stop, and responsibility to inform,
operating supervision of
nonconforming work?
Is the nonconformance control
system used in support of quality and
procedural improvement?

It has sufficient authority

and adequate
communication lines.

----------------------------

--------------------------

Does Quality Control monitor

welding in the shop to assure
proper procedures are followed?

Are final checks performed prior to

shipment to insure that all operations
were satisfactorily completed?

They are recorded in the

format of final inspection

*Denotes 2nd/3rd year audit check points

2. Facilities &
Equipment

*
*
*

Do the inspectors have the

following equipment
available?
Tape (all tapes required to do the
inspection)?
Wet and dry film liquid coating
gauges
Tag System to tag nonconforming
Is work
equipment available, when
required, for the following NDT
procedures?
Liquid Penetrant Dye
Magnetic Particle
Ultrasonic
Radiographic

3. Calibration

*
*

Major Minor Complie

s

Is there a procedure for calibration

of quality critical equipment?
Is calibrated equipment
marked with identification &
calibration
Are recordsdate?
of calibration maintained?
Does the verification process include
tapes, squares, levels, and welding
gauges to ensure that they are in
good condition?

Observation, Objective
Evidence, or
Comment

------------------------------

*
*

-------------------------------------------------------------

*
*
*
*
*

*
*

You do not have equipment.

You do not have equipment.
You do not have equipment.
It sets out in the quality
manual ASME.
exhibit 13 and 14 the
quality control manual
ASME
-------------------------------------are verified tapes, levels
and welding gauges house