the pressure equipment safety authority

Quality Management System

Requirements for
Integrity Assessment Organizations

AB-515

Edition 2, Revision 1 – Issued 2017-03-17

 Quality Management System Requirements
for Integrity Assessment Organizations

Table of Contents
FOREWORD ............................................................................................................................. II
1.0 INTRODUCTION ............................................................................................................ 1
2.0 SCOPE........................................................................................................................... 4
3.0 DEFINITIONS AND ACRYNOMS .................................................................................. 4
4.0 QUALITY MANAGEMENT SYSTEM REQUIREMENTS FOR INTEGRITY
ASSESSMENT ORGANIZATIONS (NORMATIVE)........................................................ 6
4.1 Title Page ........................................................................................................... 7
4.2 Scope and Application ........................................................................................ 7
4.3 Table of Contents................................................................................................ 9
4.4 Organization ....................................................................................................... 9
4.5 Definitions of Terms and Acronyms ...................................................................11
4.6 Control of Documents and Records ...................................................................12
4.7 Management Responsibility, Authority and Commitment ...................................14
4.7.1 Statement of Authority and Responsibility ..............................................14
4.7.2 Independence, Impartiality and Integrity .................................................15
4.7.3 Confidentiality .........................................................................................17
4.7.4 Management Review ..............................................................................17
4.7.5 Communication ......................................................................................18
4.8 Resource Management ......................................................................................19
4.8.1 Personnel ...............................................................................................19
4.8.2 Competence, Awareness and Training ...................................................21
4.8.3 Facilities and Equipment ........................................................................23
4.9 Planning and Controls for Services ....................................................................24
4.9.1 Planning .................................................................................................24
4.9.2 Contracts for Services ............................................................................25
4.9.3 Purchasing and Material Control ............................................................26
4.10 Measuring and Test Equipment .........................................................................27
4.11 Integrity Assessment Program ...........................................................................28
4.11.1 Pressure Equipment Asset and Integrity Assessment Documents/Records
...............................................................................................................28
4.11.2 Integrity Assessment Procedures ...........................................................30
4.11.3 Integrity Assessment Plans and Strategies.............................................30
4.11.4 Integrity Assessment Work Plans ...........................................................32
4.11.5 Integrity Assessment Prior to Entering Service .......................................33
4.11.6 Periodic Integrity Assessments...............................................................33
4.11.7 Reports ..................................................................................................34
4.11.8 Close-Out of Integrity Assessment Findings ...........................................34
4.11.9 Overpressure Protection and Protective Devices ....................................35
4.12 Repairs and Alterations ......................................................................................36
4.13 Audits.................................................................................................................37
4.14 Non-Destructive Examination (NDE) and Testing...............................................37
4.15 Non-Conformities and Corrective Action ............................................................39
APPENDIX A INTEGRITY ASSESSMENT ORGANIZATION CERTIFICATE OF
AUTHORIZATION PERMIT CHART..................................................................41
6.0 REVISION LOG ............................................................................................................42

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FOREWORD

As provided for under Sections 11(2) and 13(a) of the Pressure Equipment Safety
Regulation, the Administrator in the pressure equipment discipline has established that
ABSA document AB-515 specifies the types of integrity assessment activities which are
required to be carried out by an organization having Certificate of Authorization Permit,
and when such a permit is required, it provides further guidance as to the required
content of a Quality Management System (including related practices and procedures)
in order for it to be acceptable to the Administrator, as required by Section 13(a) of the
Regulation. Appendix A of this document provides the criteria for determining whether a
Certificate of Authorization Permit is required.

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1.0 INTRODUCTION

This AB-515 Quality Management System Requirements for Integrity Assessment

Organizations (AB-515) document defines quality management system normative
requirements that shall be addressed to achieve and maintain a pressure equipment
integrity assessment quality management system Certificate of Authorization Permit
(CAP). The decision chart in Section 5.0 shows when a person, or organization,
performing in-service pressure equipment integrity assessments in accordance with the
Pressure Equipment Safety Regulation (PESR) must hold a Certificate of Authorization
Permit.

This AB-515 document cancels and replaces the previous ABSA documents that were
issued to define quality management system requirements for Integrity Assessment
Organizations, formerly referred to as “Inspection Companies”.

Pressure equipment installed in Alberta is regulated by the Alberta Safety Codes Act
and pressure equipment regulations made under this Act.

The Pressure Equipment Safety Regulation has been legislated to promote pressure
equipment safety and reduce pressure equipment accidents and incidents. It
establishes the pressure equipment owner’s responsibility to ensure the safe operation
of their pressure equipment and identifies a number of specific requirements that
owners must meet to assure the safe operation of their equipment. One such provision
is that an owner must have an effective integrity management system in place to ensure
their pressure equipment is safe throughout its full lifecycle: from when it is designed,
constructed and installed, throughout its service life and when it is decommissioned.
Effective integrity assessment of in-service equipment is a key integrity management
system element to ensure that pressure equipment remains safe for operation.

Accordingly, the PESR covers some specific requirements for integrity assessment.
These include:
 The Administrator's authority to require organizations who perform the integrity
assessment to hold a quality management system Certificate of Authorization
Permit [PESR Section 11(2)],
 Items that must be covered in an integrity assessment program [PESR Section
41],
 Requirements for owners to, unless exempted by the Administrator, establish
and maintain an integrity assessment program that is acceptable to the
Administrator [PESR Section 42(1)],
 Requirements for maintenance and submission of integrity assessment records
[PESR Section 41 and 42], and
 Establishing qualification requirements and Certificates of Competency for
persons who perform integrity assessments [PESR Section 43].

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Except as indicated in the decision chart in Section 5 of this document, a Certificate of

Authorization Permit is required for a person, or an organization, who provides integrity
assessment services for in-service pressure equipment and certifies the results of the
integrity assessment and the conditions under which the individual items of equipment
may be operated. This includes inspection and certification of specified repairs within
the pressure equipment owner’s integrity management system Certificate of
Authorization Permit. Persons who perform integrity assessments and certify the
pressure equipment for use must hold the appropriate In-Service Inspector Certificate of
Competency. The requirements set by the Administrator for an In-Service Inspector’s
Certificate of Competency are defined within AB-526.

Public occupancy equipment is not covered under the scope of an integrity assessment
organization’s certificate of authorization permit as all equipment classed as public
occupancy requires inspection and certification by an ABSA Safety Codes Officer
(SCO).

Note: If integrity assessment services are limited to providing personnel to complete

integrity assessments of in-service pressure equipment and all integrity
assessment activities are directly supervised and controlled under an owner-user
Certificate of Authorization Permit, the person, or organization, does not require a
Certificate of Authorization Permit for this scope. (Refer to Section 5.0)

Integrity assessment data for items of pressure equipment designated by the

Administrator must be submitted to ABSA. The integrity assessment data may be used
as the basis for updating the pressure equipment information system that ABSA
maintains on behalf of the Government of Alberta.

Integrity assessment is defined in the PESR as “an examination of an item of pressure

equipment, related processes and documentation to determine its conformity to the
requirements established by the Safety Codes Act and the regulations”. For the purpose
of this document, “inspection” shall mean “integrity assessment of in-service equipment”
and “Integrity Assessment Organization” shall mean an organization holding a
Certificate of Authorization Permit to perform integrity assessments of in-service
pressure equipment.

The AB-515 document specifies quality management system requirements for persons,
or organizations that are required to hold a certificate of authorization permit for integrity
assessment under the PESR. Information to assist in ensuring the practical application
of these requirements is also provided.

The AB-515 document has been developed in close cooperation with providers of
pressure equipment integrity assessment services, pressure equipment owners and
other stakeholders to promote the consistent application of effective integrity
assessment services and provide assurance that the providers are competent and
provide the required integrity assessment services.

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The ISO/IEC 17020 standard is an internationally recognized standard governing

inspection bodies. It specifies general criteria for the competence of impartial bodies
performing inspection. Relevant requirements of this standard have been incorporated
in the AB-515 document, within the framework of the Safety Codes Act requirements,
Alberta industry practices and the programs that ABSA administers under this Act.

Information in the European Co-operation for Accreditation document, EAIAF/ILAC-

A4:2004 Guidance on the application of ISO/IEC 17020:1998, was considered in the
preparation of Edition 1 of AB-515 and the Australian National Association of Testing
Authorities ISO/IEC 17020 Inspection Standard Application Document (August 2015)
was also considered when preparing Edition 2 of the AB-515 document.

Pressure equipment installed in the Province of Alberta covers a broad range of

facilities from major petrochemical plants, pulp mills, and power utilities to smaller oil
and gas processing and industrial facilities. The extent of documentation that the
person, or organization completing integrity assessments needs to provide for an
effective program in accordance with this AB-515 will depend on the organization’s size
and structure, and the range and type of integrity assessment services provided.

AB-515 requirements are intended for any organization that wishes to provide integrity
assessment services under the Safety Codes Act irrespective of its size or scope of
integrity assessments. To ensure the AB-515 is current and suitable for the intended
purpose, ABSA will update this document periodically. The current version of this
document and other ABSA policy documents, which have been issued by the
Administrator to establish requirements, are posted on ABSA's website at www.absa.ca.

The policy documents referenced in AB-515 are listed below. Additionally, ABSA
publication AB-516 Pressure Equipment Safety Regulation User Guide, assists
stakeholders meet the requirements of the Pressure Equipment Safety Regulation, and
assure the safe operation of pressure equipment installed in Alberta.

Reference Publications

AB-506 Inspection & Servicing Requirements for In-Service Pressure Equipment

AB-512 owner–User Pressure Equipment Integrity Management Requirements
AB-513 Pressure Equipment Repair and Alteration Requirements
AB-515(a) Integrity Assessment Organization Authorized Scope of Activities
AB-515(b) Integrity Assessment Organization QMS Written Description Checklist
AB-516 Pressure Equipment Safety Regulation User Guide
AB-526 In-Service Pressure Equipment Inspector Certification Requirements

ISO/IEC 17020:2012 Conformity assessment – Requirements for the operation of

various types of bodies performing inspection
ISO 10013 2001 Guidelines for Quality Management System Documentation

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ISO/TS 29001: 2003 Petroleum, petrochemical and natural gas industries. Sector-
specific quality management systems. Requirements for product
and service supply organizations
EAIAF/ILAC –A: 2004 Guidance on the Application of ISO/IEC 17020:1998
NATA: ISO/IEC 17020 Inspection Standard Application Document: 2015

2.0 SCOPE

Section 4 of this document establishes the normative requirements that must be

addressed in the written description of an Integrity Assessment Organization’s Quality
Management System, when it is required to be submitted to ABSA pursuant to the Act
and Regulations. Each sub-section within section 4 of this AB-515 document covers a
fundamental quality management system element. Practical informative advice to assist
organizations to meet the requirements and implement an effective and efficient quality
management system for integrity assessment and promote consistency in evaluating
these quality management systems is provided in boxed text immediately following the
normative requirements.

3.0 DEFINITIONS AND ACRYNOMS

Refer to the Safety Codes Act and regulations for other relevant definitions.

Act and Regulations – means the Alberta Safety Codes Act and the following
regulations:
- Pressure Equipment Exemption Order (Alberta Regulation 56/2006),
- Pressure Equipment Safety Regulation (Alberta Regulation 49/2006),
- Power Engineers Regulation (Alberta Regulation 85/2003),
- Pressure Welders Regulation (Alberta Regulation 169/2002)

AB-515 – means Quality Management System Requirements for Integrity Assessment

Organizations.

ABSA – is the organization delegated by the Government of Alberta to administer the

pressure equipment safety legislation under the Safety Codes Act.

Administrator – means the Administrator in the pressure equipment discipline

appointed under the Act. [PESR, 1(1)(b)]

Assessment (of persons) – means a process for evaluating a person’s competence by

one or more means such as written, oral, practical or observation.

Chief Inspector – means a person who meets the requirements to be in charge of an

owner’s pressure equipment integrity assessment program.

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Competent – in relation to a person, means possessing the appropriate qualifications,

knowledge, skills and experience to perform the work safely and in accordance with the
Act. [PESR 1(1)(i)]

In-Service Inspector (ISI) – means a person who holds the required Alberta in-service
inspector Certificate of Competency, has the required competency, and is designated
by their employer to perform integrity assessments of pressure equipment under their
employer’s quality management system Certificate of Authorization Permit.

Inspection and certification of repairs and alterations – means to authenticate by

signature, on the applicable report, that all of the pertinent inspection and certification
requirements in AB-513 have been completed by the Inspector.

Integrity Management System (IMS) – means a system for ensuring that pressure
equipment is designed, constructed, installed, operated, maintained and
decommissioned in accordance with the Pressure Equipment Safety Regulation. [PESR
1(1)(s)]

Integrity Assessment – means an examination of an item of pressure equipment,

related processes and documentation to determine its conformity to the requirements
established by the Safety Codes Act and the regulations. [PESR 1(1)(q)]. When the
terms inspection and assessment are used in AB-515, they shall mean integrity
assessment of in-service equipment under the PESR.

Integrity Assessment Organization – means a person or an organization that

provides pressure equipment integrity assessment services to pressure equipment
owners (i.e. to meet the pressure equipment owner’s duty to have integrity assessments
completed on their pressure equipment) and holds the required Alberta quality
management system Certificate of Authorization Permit to perform integrity
assessments under the PESR. The integrity assessment organization and its staff
responsible for carrying out integrity assessments shall not be the manufacturer,
supplier, installer, purchaser, owner, user or maintainer of the items which they assess
the integrity of, nor the authorized representative of any of these parties.

Integrity Assessment Program – means a program described in Section 41 of the

PESR, with respect to pressure equipment.

Integrity Management System (IMS) – means a system for ensuring that the pressure
equipment is designed, constructed, installed, operated, maintained and
decommissioned in accordance with the Act.

ISO – International Organization for Standardization

Owner – includes a lessee; a person in charge, a person who has care and control and
a person who holds out that the person has the powers and authority of ownership or
who for the time being exercises the power and authority of ownership. [SCA 1(1)(v)]

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PESR – means Pressure Equipment Safety Regulation, Alberta Regulation 49/2006

Pressure Equipment – means a boiler, a fired-heater pressure coil, a thermal liquid

heating system and other equipment designed to contain expansible fluid under
pressure, including, but not limited to, pressure vessels, pressure piping systems and
fittings, as defined in the regulations. [SCA 1(1)(y)]

Public Occupancy – means any facility where members of the general public are likely
to be present. This would include schools, offices, shopping malls, stores, arenas,
pools, restaurants, hotels, etc.

Safe Operating Limits – means limits established for critical process parameters, such
as temperature, pressure, level, flow, or concentration, based on a combination of
equipment design limits and the dynamics of the process.

Safety Critical Equipment – means the pressure relief devices, regulating or

controlling devices and systems that are required to ensure pressure equipment is
operated within Safe Operating Limits and to prevent, mitigate, detect or respond to the
effects of loss of containment or a sudden release of energy.

4.0 QUALITY MANAGEMENT SYSTEM REQUIREMENTS FOR

INTEGRITY ASSESSMENT ORGANIZATIONS (NORMATIVE)

Requirements

The Integrity Assessment Organization shall provide a written description of the quality
management system used by the organization, in accordance with this AB-515
document, to maintain an effective quality management system. The written description
of the quality management system shall address the contents of each element within
section 4.0 of the AB-515 document.

The written description of the quality management system may be a stand-alone

manual or may be incorporated into the organization’s formal management system
documentation.

Implementation Guidance

ISO 10013:2001 Guidelines for Quality Management System Documentation, contains

guidelines to assist in providing the documentation necessary to ensure an effective
Quality Management System.

Organizations that intend to develop a quality management system in accordance with

ISO 9001:2015 standards, should also consider Technical Specification ISO/TS
29001:2010 Petroleum, petrochemical and natural gas industries. Sector-specific quality
management systems. Requirements for product and service supply organizations.

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Information covered in AB-512, owner-user Pressure Equipment Integrity Management

Requirements, may also be of benefit.

The quality management system documentation requirements in AB-515 are structured

on the ISO 9001 series quality standard format. However, compliance with ISO 9001 is
not required, and an organization may use any quality manual format that provides an
effective quality system in compliance with this document.

The implementation of a formal Quality Management System should be a strategic

business decision of the organization and assist in ensuring its successful operation.
The integrity assessment organization may, therefore, wish to include other related
services in their quality system manual. If this is the case, a suitable cross-reference is
available [i.e. AB-515(b) Integrity Assessment Organization QMS Written Description
Checklist] to identify the location of each requirement in the manual, as the scope of the
Certificate of Authorization Permit issued under the PESR is limited to pressure
equipment integrity assessment.

4.1 Title Page

If a stand-alone Quality Management System for Pressure Equipment Integrity

Assessments document (i.e. “manual”) is the means the organization uses to
provide a written description of the quality management system required by the
Pressure Equipment Safety Regulation, then the title page of the manual shall
identify the information that follows. Alternatively, if the organization has
incorporated AB-515 requirements into the organization’s formal management
system documentation, the written description of this quality management system
shall be submitted along with an AB-515(b) checklist that will identify where the
AB-515 requirements are contained, including the information to be addressed
within the title page element.

 Title of the document that describes the integrity assessment

organization’s quality management system.
 The name and corporate address of the organization.
 Identify the revision status of the document.

4.2 Scope and Application

The written description of this element shall include:

 A statement that defines the integrity assessment organization’s policy
to ensure that all services it provides are within the scope of their
certificate of authorization permit and meets the requirements defined
in the contract, Safety Codes Act and the organization’s quality system
manual.

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 An overview of the organization and the services they provide. The

scope of services should be clearly defined, and should delineate the
integrity assessment organization’s capabilities and the services
provided.
 A statement that the scope of services that the company is authorized
to provide under their certificate of authorization is defined on ABSA
Form AB-515(a).
 Include a requirement, with assigned responsibility, to ensure that the
AB-515(a) Integrity Assessment Organization Authorized Scope form
that is on file with ABSA is kept current.
 Include and confirm the limitation that the integrity assessment
organization and its staff responsible for carrying out integrity
assessments shall not be the manufacturer, supplier, installer,
purchaser, owner, user or maintainer of the items which they assess
the integrity of, nor the authorized representative of any of these
parties.
 Include a statement that any integrity assessment work that is not
within the scope listed on ABSA form AB-515(a), will not be
undertaken until a revised AB-515(a) form, which covers the new
scope of work, has been accepted by ABSA.

Implementation Guidance
The Scope and Application element provides the integrity assessment organization with
the ability to describe all the activities undertaken and the resources and services
provided to their clients.

This written description should include a policy statement that establishes the key
objectives of the manual. This statement should be included at the beginning of the
scope section to provide a focus of all integrity assessment activities. An example of the
policy statement may include:
“This manual accurately describes the Pressure Equipment Integrity
Assessment Activities implemented by (Company Name) to assure all
Pressure Equipment is assessed in a manner that is acceptable to and in
compliance with the Safety Codes Act, Regulations, ABSA Policy
Documents, Adopted Codes, and Industry Standards.”
“It is the primary goal of (Company Name) to provide a service, as
described and detailed in the AB-515(a), which allows their client to
assure Public Safety, the Safety of their Employees and Contractors and
to ensure the safe operation and reliability of the Client’s Pressure
Equipment.”
The integrity assessment organization should describe the company, and provide a
general overview of the organization and the services they provide to their clients. An
important aspect of this description should include the industry sectors where these
services are provided. It is important that each element identified on the AB-515a form
as being within the scope of the integrity assessment organization’s quality
management system, be accurately described in the written description. The integrity
assessment organization must be able to demonstrate that the necessary resources,

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including competent personnel, are available to fully implement the entire scope of the
quality management system. The scope and application description will aid the reader in
understanding the nature of the work performed by the integrity assessment
organization and the areas where their expertise is being utilized.

The integrity assessment organization should include the following information in the
description:
 Head office location and satellite office locations. A description of the activities
controlled from each location.
 The industry sectors where the integrity assessment activities are being
performed. It would certainly benefit the reader if this description included
commentary on the types of facilities and equipment being assessed (i.e.
upstream and/or midstream oil & gas processing equipment, SAGD heavy oil
recovery facilities, upgrader facilities, chemical/petro-chemical plants,
downstream refineries, power generation plants, pulp and paper mills, etc.)
 A description of any other quality management systems or manuals external to
this integrity assessment quality management system that may impact the
implementation of some of the integrity assessment activities (e.g. safety
programs, procedure manuals, etc.).
 Any subsidiary companies or contractors that may be utilized for the purpose of
completing the integrity assessment activities (e.g. Non-Destructive Examination
(NDE), Engineering, etc.)
 Any other information that may assist the reader in understanding the structure of
the organization and the scope of the activities undertaken by the integrity
assessment organization.
A copy of the AB-515(a) document, which had been submitted to ABSA and which is
signed by a company officer, is not required to be included in this section of the manual;
however, responsibility must be assigned to maintain the ongoing accuracy of the
AB-515(a) form when the scope of the program or personnel within the organization
change. There must also be a statement included that reiterates; any inspection work
that is not within the scope listed on the AB-515(a) will not be undertaken until a revised
AB-515(a) form, that covers the new scope of work, is accepted by ABSA.

4.3 Table of Contents

The written description Table of Contents shall:

 Show a Table of Contents that lists the number and title of each
section and its location within the written description of the quality
management system.

4.4 Organization

The written description of this element shall include:

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
A statement describing that the integrity assessment organization is
organized so as to enable it to maintain the capability to perform
integrity assessment services in accordance with its authorized scope.
 An explanation of how the organization defines the responsibilities and
authorities and how they are communicated within the organization.
 A current organization chart that clearly shows the overall
organizational structure of the integrity assessment organization. The
positions of the Quality Manager (however named) and Technical
Manager (however named), positions that supervise as well as
positions completing pressure equipment integrity assessments, and
other key functions and lines of authority must be clearly shown on the
chart.
 A statement that job descriptions shall be maintained as required, to
ensure that the quality management system is effective. As a
minimum, current job descriptions shall be kept for: the Quality
Manager, the Technical Manager and employees who supervise or
perform integrity assessments.
 An outline of the main responsibilities and authorities of key staff.
Note: Refer to implementation guidance for further information on the
Technical Manager and Quality Manager positions.

Implementation Guidance
While it is not mandatory that the integrity assessment organization adopt the Quality
Manager and Technical Manager titles it must be clear which positions have the
responsibilities associated with these positions. In addition, when integrity assessment
organizations use the position title “Chief Inspector” within their organization, it can
cause confusion; particularly when the integrity assessment organization’s personnel
are responsible for the integrity assessment programs within one or more owner-user
integrity management systems.

The “Chief Inspector” within an owner’s Integrity Management System (IMS) is

specifically defined as the person, within the IMS, that is designated to be responsible
for the owner’s integrity assessment program. An integrity assessment organization
could have a number of personnel who are each designated to be the “Chief Inspector”
within one or more owner’s IMSs. Therefore, to avoid the potential for confusion, it is
recommended that integrity assessment organizations consider using titles such as
“Technical Manager”, “Quality Manager” or “Integrity Coordinator” for positions, within
their AB-515 program, as opposed to the title “Chief Inspector”.

The organization structure for in-house pressure equipment integrity assessments and
sub-contract integrity assessment activities should be illustrated, if applicable.
It is anticipated that the job descriptions that are developed and maintained by the
integrity assessment organization would include the applicable responsibilities
referenced throughout the quality management system.

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4.5 Definitions of Terms and Acronyms

All terms and acronyms used in the written description of the quality
management system shall be defined.
The written description of this element shall include the following definitions:
 ABSA – is the organization delegated by the Government of Alberta to
administer the pressure equipment safety legislation under the Safety
Codes Act.
 Act and Regulations – means the Alberta Safety Codes Act and the
following regulations:
o Pressure Equipment Exemption Order (Alberta Regulation
56/2006),
o Pressure Equipment Safety Regulation (Alberta Regulation
49/2006),
o Power Engineers Regulation (Alberta Regulation 85/2003),
o Pressure Welders Regulation (Alberta Regulation 169/2002)
 Administrator – means the Administrator in the pressure equipment
discipline appointed under the Act. [PESR, 1(1)(b)]
 Assessment – (of persons) means a process for evaluating a person’s
competence by one or more means such as written, oral, practical or
observation.
 Competent – in relation to a person, means possessing the
appropriate qualifications, knowledge, skills and experience to perform
the work safely and in accordance with the Act. [PESR 1(1)(i)]
 In-Service Inspector (ISI) – means a person who holds the required
Alberta In-Service Inspector Certificate of Competency, has the
required competency, and is designated by their employer to perform
integrity assessments of pressure equipment under their employer’s
qualify management system Certificate of Authorization Permit.
 Integrity Assessment – means an examination of an item of pressure
equipment, related processes and documentation to determine its
conformity to the requirements established by the Safety Codes Act
and the regulations. [PESR 1(1)(q)]
 PESR – means Pressure Equipment Safety Regulation, Alberta
Regulation 49/2006
 AB-506 – Inspection & Servicing Requirements for In-Service Pressure
Equipment
 AB-513 – Pressure Equipment Repair and Alteration Requirements
 AB-515 – Quality Management System Requirements for Integrity
Assessment Organizations

Implementation Guidance
All terms and acronyms used within the Quality Management Systems or written quality
system manuals shall be defined.
 It is appropriate to use the applicable definitions that are provided in the Safety
Codes Act, Pressure Equipment Safety Regulation and other ABSA requirements

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documents when they apply (e.g. pressure equipment, boiler, pressure piping
system, pressure vessel, etc.).

4.6 Control of Documents and Records

Identify the following requirements within the written description and outline the
control methods used. Reference any supporting procedures or other control
documents that are used.
 A description of the document and record control methods used with
references to any supporting procedures or other control documents
that are used.
 A statement to indicate that all the documents created in the
management of the owners or clients pressure equipment are the sole
property of the pressure equipment owner and must be returned to the
owner at their request. The integrity assessment organization is the
custodian of these documents only.
 A description of the process for controlling the written description of the
quality system (e.g. quality system manual), referenced procedures,
codes and standards, records and other documents relevant to the
integrity assessment organization’s quality management system.
 Establishing that the Quality Manager is responsible for ensuring that
all documents are maintained, relevant and current in accordance with
this section of the written description.
 A statement that there are documented controls to ensure:
 The current issues of the appropriate documentation are readily
available, electronically or in hard copy, at all relevant locations
and to all relevant personnel.
 All changes of documents or amendments to documents are
covered by the correct authorization and processed in a manner
that will ensure timely availability at the appropriate location.
This shall include ensuring that current versions of the quality
system manual are provided to and accepted by ABSA.
 Superseded documents are removed from use throughout the
organization or are appropriately identified as superseded
documents.
 Other parties, as necessary, are notified of changes.
 The current revision status of documents is identified.
 Documents remain legible, readily identifiable and retrievable.
 Documents of external origin are identified and their distribution
controlled.
 The identification, storage, protection, retrieval, retention time,
and disposition of records are addressed.
 All changes to documents are handled through an appropriate
review and approval and/or change management process.
 A description of the processes the integrity assessment organization
has established to control the documents and records (e.g. equipment

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records and integrity assessment records) that are maintained on

behalf of the pressure equipment owner.
 A description of all pressure equipment record keeping processes that
are managed on behalf of the owner, by the integrity assessment
organization, as applicable.

Implementation Guidance
The maintenance of documents and records (e.g. equipment records and integrity
assessment records) shall be in accordance with the Act, PESR and the requirements
established by the Administrator. It is important to understand that as a contract Chief
Inspector or certified integrity assessment organization, the owner may be using all of or
part of the integrity assessment organization’s forms and or procedures in the
implementation of their Integrity Management System. With this in mind it is important
for the integrity assessment organization to delineate in their program which documents
are the property of the integrity assessment organization and which are included in the
owner’s Integrity Management System and are the owner’s property. There may be
some documents that have revision control under the integrity assessment
organization’s QMS.

As stated above it must also be clearly understood, and stated in the QMS written
description, that any documents created in the management of or assessment of the
Owners pressure equipment are the property of the client/owner. This would include,
but may not be limited to, all data reports, inspection reports, work plans, integrity
assessment records or drawings. Any record that is generated for the purpose of
determining the suitability of an items fitness for service or may be used in evaluating
the past service history or future suitability in a particular service, as well as determining
the next inspection or service interval, must be returned to the owner or Client upon
request.

PESR 1(1)(k) states that: “equipment record” includes design information, data reports,
inspection plans and integrity assessment, repair and alteration records. The integrity
assessment organization must accurately describe which documents or records are
controlled, who within the organization is responsible for them and where they are
located. A suggestion would be to include a “Document Control Matrix” which
establishes the name and type of document (electronic and/or hard copy) which is being
controlled, the individual responsible for approving any changes and maintaining it, the
location where this document is filed and its latest revision number.

The document control process and information flow should also be described. If a
document is processed by multiple individuals it may be beneficial to develop a work
flow process or process map to identify the flow of the document and how any changes
are authorized and controlled. The understanding of many QMS processes can be
improved significantly through process mapping.

If an integrity assessment organization uses a database to manage the records on

behalf of owners, then the database use should be explained and types of records
stored in the database management system should be defined. It is important that the

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location of all controlled documents be clearly identified.

Records may be in hard copy or electronic format. Electronic systems must be able to
readily reproduce a written copy, show the required authentication and be protected
from unauthorized alteration. The method used to protect the electronic document from
unauthorized alteration should be described (i.e. are they password protected or saved
and stored as a locked pdf) The individual responsible for the control of this system
should be identified. When documents are issued in an electronic format they must
include the provision for documenting that key personnel have read and understand the
contents of the documents issued.

It should be established that the electronic version is the controlled copy and that any
hard-copy versions are uncontrolled documents.

The reference documents, that the integrity assessment organization must have access
to, depends on the scope of integrity assessment services authorized. For example,
when the integrity assessment organization inspects equipment under the scope of the
API code (refining, oil & gas processing, chemical process equipment) they would need
to have access to API 510, API 570, and other applicable reference codes and
standards. It should be identified which of these codes and standards are managed
electronically versus hard copy and where the codes and standards are maintained.

Section 4.12, Integrity Assessment Program, lists the integrity assessment records that
must be kept and includes additional guidance information.

4.7 Management Responsibility, Authority and Commitment

The written description of this element shall confirm management’s commitment

to the IMS and describe key responsibilities pertaining to the IMS. It shall include:

4.7.1 Statement of Authority and Responsibility

 A statement that the quality system written description covers

the information specified in AB-515 and accurately describes
the quality management system used by the organization, or
person.
 A statement that the quality management system has the full
support of management who will ensure that adequate
resources, including competent personnel, are provided to
implement the program.
 A statement that management documents a quality policy and
objectives along with a commitment to quality, and shall ensure
that this policy is understood, implemented and maintained at all
levels in the organization.

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 The title of the person, designated by management, to be

responsible for the integrity assessment organization’s quality
management system (e.g. Quality Manager, however named).
An explanation that this person, irrespective of other duties, has
the defined authority and responsibility to ensure that the
processes needed for the quality management system are
established, implemented, and maintained, and that this person
shall have direct access to, and support from top management
to resolve any implementation barriers.
 The title of the person, designated by management, who is
qualified and experienced in the operation of the integrity
assessment organization and who has overall responsibility for
the integrity assessment program activities that are carried out
(e.g. Technical Manager, however named).
 Signature of senior (executive) management.

Implementation Guidance
The position/title of Technical Manager (however named) refers to the person appointed
to be responsible for all integrity assessment activities. This person must hold the
applicable Alberta In-Service Inspector Certificate of Competency and have the required
experience, qualifications and skills for the scope of the integrity assessment services
provided by the organization. Use the term that best suits the organization (e.g. Asset
Integrity Coordinator, Senior Inspector, Inspection Program Manager or Technical
Manager).

The size of the integrity assessment organization and its structure will determine who
signs the Statement of Authority. A small (one or two person) company may name the
same person as Technical Manager and Senior Management. A larger company whose
program scope is varied and more complex may have the Chief Executive Officer or
President sign the Statement of Authority and appoint a Technical Manager to oversee
activities associated with pressure equipment integrity assessment.

4.7.2 Independence, Impartiality and Integrity

Identify the following requirements within the written description and

outline the control methods used. Reference any supporting procedures or
other control documents that are used.
 Identification of the processes used to ensure independence,
impartiality and integrity, along with an outline of the control
methods used. Reference any supporting procedures or other
control documents that are used.
 Describing the controls that the integrity assessment
organization implements to enforce the impartiality of its integrity
assessment activities and to prevent commercial, financial or
other pressures to compromise impartiality. These controls shall

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focus on assuring the impartiality of pressure equipment

integrity assessments.
 The integrity assessment organization and its personnel shall
not engage in any activities that may conflict with their
independence of judgement and impartiality in relation to their
integrity assessment activities (e.g. specifying integrity
assessments or non-destructive examination activities in excess
of that required by AB-506, and of those that are necessary to
ensure the safety and fitness for service of the pressure
equipment) and shall ensure that all personnel engaged in
integrity assessment services on behalf of the integrity
assessment organization are aware of and commit to abide by
an independence of judgement and impartiality policy adopted
by the organization.
 Describe the implemented controls to ensure personnel of the
integrity assessment organization are free from any commercial,
financial and other pressures which might affect their judgment.
 Describe the implemented controls to ensure that personnel or
organizations, external to the integrity assessment organization,
cannot influence the results of inspections carried out.
 Contracts for all employees, and sub-contractors completing
pressure equipment integrity assessments, shall incorporate
measures to prevent conflict of interest and assure the
impartiality of pressure equipment integrity assessments.

Implementation Guidance
The ISO/IEC 17020:2012 Standard is a useful document that can be used to provide
implementation guidance on this element. The Integrity Assessment Organization
should clearly understand and demonstrate compliance to Section 4.1 and Annex A of
this Standard.

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4.7.3 Confidentiality

Identify the following requirements within the written description and

outline the control methods used. Reference any supporting procedures or
other control documents that are used.
 Describe the implemented controls to ensure confidentiality of
information obtained in the course of its inspection activities and
that proprietary rights are protected.
 Describe the implemented controls concerning the observance
of the confidentiality requirements of the client and any sub-
contractors engaged by the integrity assessment organization,
taking into account the legal requirements under the Safety
Codes Act and other relevant legislation.

Implementation Guidance
The integrity assessment organization is responsible for the management of all
information obtained or created during the performance of inspection and assessment
activities. Any information related to work performed for the owner or client must be kept
in strict confidence. If the information is to be placed in the public domain by the integrity
assessment organization, the client must be informed and written permission obtained.
All information related to the owner’s equipment is considered proprietary and shall be
regarded as confidential.
When the integrity assessment organization is required by law to release confidential
information, the client shall, unless prohibited by law, be notified. As well, information
about the client obtained from sources other than the client, shall also be treated as
confidential.

Standard employee contracts or confidentiality agreements, signed by all employees

and contractors, are examples of control methods.

Confidentiality requirements for the client’s information should also be covered in client
contracts.

It is important that these confidentiality clauses and the process for managing this
information be described in the integrity assessment organization’s quality management
system.

4.7.4 Management Review

 Establish that top management will review the quality

management system at appropriate intervals to ensure its
continued suitability and effectiveness, and that records of such
reviews will be maintained.

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Implementation Guidance
Management reviews should take into consideration any relevant information, such as
reports from supervisory and managerial staff, the outcome of recent internal quality
audits and external assessments, complaints from clients, nonconformance to the
quality system, changes needed in the quality system, the adequacy of current human
and equipment resources, future plans and estimates for new work and additional staff,
as well as, the need for training of both new and existing staff.
The frequency of management reviews should be determined by the integrity
assessment organization, taking into account the results from internal audits and
previous reviews and reports from an accreditation body. Once a year is normally
considered an acceptable minimum frequency.

4.7.5 Communication

Identify the following requirements within the written description and

outline the control methods used. Reference any supporting procedures or
other control documents that are used.
 Describe the communication processes that are established
within the organization to ensure compliance with the legislation
and the effectiveness of the integrity assessment organization’s
quality management system.
 Describe how communication is maintained with the clients and
ABSA to ensure effective delivery of the contracted services in
accordance with the Safety Codes Act and to ensure that the
owner is made aware of their responsibilities under the Safety
Codes Act regarding integrity assessment program
requirements, provision of reports and other relevant
requirements of the Act.
 Describe the implemented controls to ensure there are effective
communication processes in place for reporting accidents,
incidents, unsafe conditions, pressure equipment
nonconformity, and other information to the pressure equipment
owner, and ABSA when applicable.

Implementation Guidance
The integrity assessment organization is responsible for developing and maintaining
service contracts with all of their clients. These contracts should include a description of
how the lines of communication are maintained between the integrity assessment
organization’s personnel and the owner. This communication process may take on
many forms; telephone conversations, emails, project meetings and emergency
response requirements. One method of ensuring the communication is established and
maintained is to develop work flow processes which show the lines of communication
between the owner and the integrity assessment organization. These work flow
processes will assist in ensuring the owner is fully cognizant of all their responsibilities
under the Safety Codes Act.
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Suitable processes should be in place for reporting and tracking inspection findings.
Scheduling and documenting regular project review meetings may be an appropriate
method of communicating with the owner on the program status. Meeting minutes
should be maintained for all such meetings. These meetings should be detailed in the
contractual arrangement with the client.

Section 35 of the PESR establishes the owner’s responsibility to report to the

Administrator unsafe conditions, accidents or fires. It is also mandated that unsafe
conditions and Safety Codes Act nonconformance, that can impact the pressure
equipment certification conditions, be reported to ABSA. The integrity assessment
organization should ensure that the conditions and responsibility for reporting these to
ABSA are clearly defined when the contracts for services are established with the
owner.

ISO 17020 states that the inspection body is expected to participate in an exchange of
experience with other integrity assessment organizations. Stakeholder groups such as
the Contract Chief Inspectors Association provide a forum to demonstrate that this
expectation is met, and are valuable for ensuring that there is appropriate dialogue
maintained with ABSA regarding the application of requirements under the Safety
Codes Act.

Staff meetings held, emails, tool box meetings and ongoing communication with staff
are examples of internal communication processes that may be used.

The processes used for maintaining communication with the owner’s field personnel to
ensure integrity assessment program implementation should be described. Particularly
how the owner ensures that the integrity assessment organization is promptly notified of
any issues that can impact on the inspection requirements of the equipment. This
includes changes in process and equipment that is moved sold or taken out of service.

4.8 Resource Management

4.8.1 Personnel

Identify the following requirements within the written description and

outline the control methods used. Reference any supporting procedures or
other control documents that are used.
 The integrity assessment organization has a Technical Manager
(however named); who is qualified and experienced in the
operation of the integrity assessment organization and who has
overall responsibility that the inspection activities are carried out
in accordance with the Safety Codes Act. This position shall be
part of the permanent personnel within the integrity assessment
organization.

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 The integrity assessment organization provides effective

supervision by competent personnel familiar with the integrity
assessment methods and procedures, the objectives of the
integrity assessment and the assessment of the examination
results.
 The Technical Manager, persons who supervise the
organization’s staff performing integrity assessments, and
persons who certify pressure equipment shall hold the required
Alberta In-Service Inspection Certificate of Competency for the
scope of integrity assessment work and meet all the
qualification requirements established by the Administrator.
 The qualifications, training and competency level of all persons
supervising and assessing pressure equipment integrity is
defined.
 The integrity assessment organization has named individuals
who will be delegated in the absence of any manager (e.g.
Technical Manager, however named) responsible for integrity
assessment services.
 Descriptions for each position and category affecting the quality
of the integrity assessment services. These job descriptions
shall include the requirements for education, training, technical
knowledge and experience.

Implementation Guidance
The integrity assessment organization shall define the resources required to address
the scope of the program and the competency requirements for all personnel that are
needed to ensure the pressure equipment owner’s needs are addressed and dealt with
in an appropriate amount of time. It is prudent that these expectations be fully
delineated to the client in the service contract.

Permanent personnel are those who are employed by, or are under contract to the
integrity assessment organization. They may be employed either on a full-time basis or,
if insufficient integrity assessment work exists, on a part-time basis. Where it is
necessary to use personnel for temporary situations, such personnel should be formally
contracted for the period that the integrity assessment organization uses them. The
integrity assessment organization should ensure that such personnel are supervised
and competent and that they work in accordance with the integrity assessment
organization’s quality management system. Depending on the size of the organization
and its scope of work, an organization may require more than one person to fulfill the
responsibilities of the Technical Manager. Whereas for a smaller organization, it may be
appropriate for the integrity assessment organization to designate one person to be the
Technical Manager and also to be the Quality Manager with overall responsibility for the
entire quality management system and technical program delivery.

AB-526 establishes the qualification requirements, set by the administrator under the
PESR, for persons undertaking pressure equipment integrity assessments.

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The personnel resources required by the integrity assessment organization will also be
dependent upon the scope of integrity assessment activities [i.e. types of
facilities/industries specified on the AB-515(a) form].

4.8.2 Competence, Awareness and Training

Identify the following requirements within the written description and

outline the control methods used. Reference any supporting procedures or
other control documents that are used.
 The integrity assessment organization has established a
documented training and competence verification system to
ensure that the training of its personnel in the technical and
administrative aspects of the work in which they will be involved
is kept up-to-date in accordance with its policy, and that
personnel are competent for their work scope and have the
qualifications required under the PESR, including any required
Alberta In-Service Inspector Certificates of Competency. The
training required depends upon the scope of the organization’s
program and upon the ability, qualifications and experience of
persons involved. The organization shall establish the
necessary stages of training for each of its personnel. These
may include:
 An induction period,
 A supervised working period with experienced inspectors,
and
 Continuous training throughout employment to keep pace
with developing technology.
 A documented competency assessment process shall be
available for all personnel who may be involved in the
integrity assessment activities or whose activities may
impact the integrity of pressure equipment.
 Records of academic or other qualifications, training and
experience of each member of its personnel are maintained by
the organization. This shall include records relating to any
Certificates of Competency under the Safety Codes Act and
records of job functions, training and competency assessment
and reassessment.
 For all personnel who assess the integrity of in-service pressure
equipment, inspect and certify pressure equipment repairs,
inspect and certify pressure piping construction or whose work
activities may impact on the integrity of pressure equipment, the
integrity assessment organization shall implement a process for
and maintain records of assessment, reassessment as
applicable, and certification of competence for the associated
activities that is consistent with the integrity assessment
organization’s authorized scope of activities.

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 The organization has controls to ensure that contract personnel

who perform integrity assessment tasks meet the same training
and competence requirements as employees.
 The organization provides guidance for the conduct of its staff.
 The remuneration of personnel engaged in integrity assessment
activities shall not directly depend on the number of integrity
assessments carried out and, in no case, on the results of such
integrity assessments.

Implementation Guidance
The integrity assessment organization must define and document the qualifications,
training, experience and level of knowledge required for the integrity assessments to be
carried out.

A person performing in-service integrity assessments of pressure equipment must be

competent to carry out appropriate integrity assessments and report on the same. In
general terms, their area of knowledge should encompass as a minimum the following:
 An understanding of the technology and fabrication processes used to
manufacture the components inspected.
 An understanding of the pressure equipment operating processes and the
potential threats (damage mechanisms) that may be encountered.
 An understanding of the methods that may be used to mitigate any threats and/or
refurbish the equipment so as to make it fit for the service it is intended.
 Be able to communicate their integrity assessment findings in a clear and
concise manner to the pressure equipment owner.

An individual who inspects and certifies boilers and pressure vessels is required to hold
a Certificate of Competency. AB-526 establishes the requirements for certification of
in-service inspectors. The Administrator may also establish additional requirements.

The integrity assessment organization is required to communicate to each employee or

contractor their responsibilities and duties. This process should be documented.

A person with an In-Service Inspector’s Certificate of Competency may only perform

integrity assessments within the scope of an ABSA accepted quality management
system. If additional human resources are required to complete the assessment
activities, the integrity assessment organization shall identify the resources required and
have them available. These additional resources shall also be assessed and verified as
competent for the assigned activities.

A key requirement for integrity assessment organizations and owner-users is to have

suitable processes for ensuring that persons performing integrity assessments are
competent, have the necessary resources available to them to complete the work as
defined, and to perform their assigned integrity assessment activities effectively in
accordance with the Safety Codes Act and their employer’s quality management
system.

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Records of qualifications and training assist in demonstrating the competency of each

member of the staff to perform specific inspection tasks and, where relevant, to use
specific equipment. Assessments and verification of competence would be documented,
using methods such as examinations, task observations, and interviews.

Guidance regarding the conduct of staff can be in the form of a code of conduct. It may
include issues relating to work ethics, impartiality, personal safety, relationship with
customers, company rules and any other issues necessary to assure the proper
conduct of the integrity assessment organization’s staff.

4.8.3 Facilities and Equipment

Identify the following requirements within the written description and

outline the control methods used. Reference any supporting procedures or
other control documents that are used.
 The integrity assessment organization has available to it,
suitable and adequate facilities and equipment to permit all
activities associated with the integrity assessment services to be
carried out.
 Establishing clear rules for the access to, and the use of, the
owner’s and the integrity assessment organization’s facilities
and equipment.
 The integrity assessment organization ensures the continued
suitability of its facilities and the equipment for the intended use.
 The integrity assessment organization ensures that all such
equipment is properly identified and maintained, in accordance
with documented procedures and instructions.
 Describing how the integrity assessment organization deals with
defective equipment. Defective equipment shall be removed
from service by segregation, prominent labeling or marking. The
integrity assessment organization shall examine the effect of
defects on previous integrity assessments.
 Relevant information on the equipment is recorded. This will
normally include identification, calibration and maintenance.

Implementation Guidance
If the integrity assessment organization uses computers or automated equipment in
connection with inspections, it shall ensure that:
 Computer software is tested in order to confirm that it is adequate for use.
 Procedures are established and implemented for protecting the integrity of data
(e.g. electronic records backup procedures are established).
 Computers and automated equipment is maintained in order to ensure proper
functioning.
 Procedures are established and implemented for security of data (e.g.
password protection is implemented).
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 Effectiveness in restoring data from backup is verified.

 Effective virus and malware protection is established.

4.9 Planning and Controls for Services

4.9.1 Planning

Identify the following requirements within the written description and

outline the control methods used. Reference any supporting procedures or
other control documents that are used.
 The integrity assessment organization ensures it has
appropriate planning processes to assure the services provided
are effective and meet the client’s needs and the quality
management system, and outlines this planning process in the
written description of the QMS.
 The integrity assessment organization shall implement a
suitable work planning process to ensure that pressure
equipment integrity assessment activities (i.e. pressure
equipment integrity assessments and servicing of safety critical
equipment) are completed in accordance with requirements
established by the Administrator, and are appropriate to ensure
the safety and fitness for service of the pressure equipment.
 Personnel who perform integrity assessments and certify
installed pressure vessels, boilers, fired equipment and similar
equipment, and those who supervise in-service integrity
assessment staff, hold the required Alberta in-service pressure
equipment inspector certification and are certified as competent
by the integrity assessment organization to perform the specific
types of integrity assessments, and meet the requirements
established by the Administrator.

Implementation Guidance
The integrity assessment organization must plan for and have access to personnel with
qualifications established by the Administrator as well as the competencies necessary
to meet the needs of its clients.

The requirements set by the Administrator for an In-Service Inspector’s Certificate of

Competency are defined within AB-526.

AB-506, Section 8.0 also provides additional clarification regarding the qualifications of
persons performing integrity assessments.

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4.9.2 Contracts for Services

Identify the following requirements within the written description and

outline the control methods used. Reference any supporting procedures or
other control documents that are used.
 The integrity assessment organization has a written contract or
work order control system that ensures:
 Work to be undertaken is within its expertise and that the
organization has adequate resources to meet the
requirements.
 The requirements of the pressure equipment owner (i.e.
client) are adequately defined and that special conditions are
understood so that clear instructions can be issued to staff
performing the duties that are required.
 Work being undertaken is controlled by regular review and
corrective action.
 Completed work is reviewed to confirm that requirements
have been met.
 There is a written contract, between the pressure equipment
owner and the contracted integrity assessment organization,
which defines the scope of integrity assessment activities
that are to be completed by the integrity assessment
organization.
 The pressure equipment to be assessed or inspected has
received all necessary preparation, or whether the client
requires preparation to be undertaken or arranged by the
integrity assessment organization.
 All employees, and sub-contractors to the integrity assessment
organization, that complete pressure equipment integrity
assessments must have an employment agreement or contract
in place for the services they provide.

Implementation Guidance
The PESR establishes the owner’s responsibility for ensuring that there is an effective
integrity management system in place for the equipment that the owner operates, and
for maintaining an integrity assessment program unless otherwise exempted by the
Administrator.

When an integrity assessment organization performs an integrity assessment of an item

of pressure equipment, they are acting as an agent of their employer (the owner) to
meet the owner’s duty under PESR Section 41 to have integrity assessments done of its
pressure equipment. The pressure equipment owner has control over who they employ
to perform these integrity assessments, and they are responsible for the actions of their
employees, and to also ensure the employees are competent.

The integrity assessment organization should ensure that the responsibilities and scope

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of provided services are clearly defined in the contract for services with the pressure
equipment owner (i.e. their client). The contract for services also provides the integrity
assessment organization with the opportunity to address their liability with respect to
integrity assessments that are completed in good faith.

4.9.3 Purchasing and Material Control

Identify the following requirements within the written description and

outline the control methods used. Reference any supporting procedures or
other control documents that are used.
 Where relevant to the quality of integrity assessment services,
the integrity assessment organization shall have suitable
controls to ensure that purchased materials and services meet
the specified requirements. These shall cover:
 How suppliers are qualified as approved vendors, including
organizations that provide NDE and contract integrity
assessments for the integrity assessment organization.
 Issuing appropriate purchasing documents.
 Examination, identification and issue of received materials.
 Ensuring appropriate storage facilities. Where applicable, the
condition of stored items shall be assessed at appropriate
intervals to detect deterioration.

Implementation Guidance
The controls to ensure purchased materials and services (e.g. approved vendors list
with applicable documented evaluations) meet specified requirements will include:
1. NDE services that are procured on behalf of pressure equipment owners.
2. Sub-contract organizations or persons performing pressure equipment integrity
assessment or any other activities that can affect pressure equipment integrity.
3. Organizations that are contracted to calibrate measuring and test equipment
used by the integrity assessment organization for pressure equipment condition
assessment.
Where relevant to the quality of integrity assessment services, the integrity assessment
organization shall have suitable controls to ensure that purchased materials and
services meet the specified requirements. These should cover:
Integrity Assessment Organization
 Issuing appropriate purchasing documents; including identifying the requirement
for any supporting documentation (test certificates, partial data reports, quality
control documentation, etc.) for material purchased.
 Processes for the inspection, identification, receiving and distribution of received
materials, including appropriate transportation documentation when dealing with
dangerous goods.
 Ensuring appropriate storage facilities. Where applicable, the condition of stored
items shall be assessed at appropriate intervals to detect deterioration.
 Periodic audits of vendors, ensuring vendor qualification aligns to the integrity
assessment organization’s quality system
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Vendor (Service Providers / Suppliers)

 Identify if the vendor has implemented a quality system
Examples: ISO 9001; ISO 17020; ISO 17025; ISO 9712; AB-515; CSA W178.1;
NB-369; SNT-TC-1A; CP-189; CSA W47.1; etc.
 Establish if the Vendor is required to hold a Certificate of Authorization Permit
(e.g. CAP for pressure relief valve servicing and setting).
 Identify how service providers/suppliers are qualified. What processes/controls
are in place to ensure personnel qualifications or company accreditations are
maintained.
 Processes for the inspection, identification, receiving and distribution of received
materials, including appropriate transportation documentation when dealing with
dangerous goods.

4.10 Measuring and Test Equipment

Identify the following requirements within the written description and outline the
control methods used. Reference any supporting procedures or other control
documents that are used.
 Define the methods used to ensure that, where applicable, equipment
used for integrity assessments is calibrated before being put into
service and, thereafter, according to an established program.
 Each measuring device is calibrated or verified, at specified intervals or
prior to use, against measurement standards traceable to international
or national measurement standards, and where no such standards
exist, the basis used for calibration or verification shall be recorded.
 Each item of measuring equipment is identified to enable the
calibration status to be determined.
 Prior to the issuance of equipment, it is examined to ensure that it is
suitable for intended use, the calibration is current, and it is inspected
after use.
 Measures are taken to ensure that reported integrity assessment data,
based on equipment that is subsequently identified to be out of
calibration, remains valid.

Implementation Guidance
The M&TE controls include processes to ensure pressure equipment integrity
assessments are completed using calibrated measuring and test equipment, and would
also include controls to ensure that such equipment used by sub-contractors is
maintained in calibration (e.g. subcontract NDE companies).

This section shall define the methods used to ensure that, where appropriate,
equipment used for integrity assessments is calibrated before being put into service
and, thereafter, according to an established program.
 Each measuring device is calibrated or verified, at specified intervals or prior to
use, against measurement standards traceable to international or national
measurement standards, and where no such standards exist, the basis used for
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calibration or verification shall be recorded.

Caution: Pit gauges and measuring tools are commonly used visual aids
when performing visual inspections. Pit gauges and measuring equipment
can wear through use and have a potential to become inaccurate, it is
recommended that the integrity assessment organization have processes
and controls in place to verify small simple tools such as pit gauges,
Vernier calipers, etc. that are utilized during integrity assessments.
 Each item of measuring equipment is identified to enable traceability of the
calibration status.
 Processes and controls are in place to issue testing equipment to personnel; to
ensure that the issued equipment is suitable for intended use, the calibration is
current, and it is examined after use.
 Processes and controls are in place to segregate out-of-service testing /
measuring equipment.
 Processes and controls are in place to ensure that verifications accepted based
on equipment that is subsequently found to be out of calibration are valid (e.g. by
having traceability to the M&TE used for measurements).

4.11 Integrity Assessment Program

The written description of this element shall establish the methods used to
ensure that pressure equipment integrity assessment is completed in accordance
with the requirements of the PESR and the requirements defined by the
Administrator.

Identify the following requirements within the written description and outline the
control methods used. Reference any supporting procedures or other control
documents that are used.

4.11.1 Pressure Equipment Asset and Integrity Assessment

Documents/Records
(also refer to Control of Documents and Records section)
 Appropriate integrity assessment documents and pressure
equipment records must be maintained by the owner and/or
integrity assessment organization, as applicable, and include:
 Integrity assessment services contract.
 Integrity assessment procedures.
 Equipment specific integrity assessment plans and
strategies.
 Analysis of corrosion rates etc.
 Detailed integrity assessment reports.
 ABSA Electronic Summary Reports, used to report thorough
integrity assessments to ABSA.

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 Facility mechanical integrity hazard survey report, or facility

Process Hazard Assessments (e.g. HAZOP) or similar
documentation.
 Integrity assessment and overpressure protection servicing
work implementations plans.
 Certificate of Inspection permit(s).
 NDE reports, (UT thickness surveys, etc.).
 Mechanical and process design information.
 Records of repairs and alterations and pressure equipment
installations.
 Maintaining an accurate inventory of all the owner’s pressure
equipment.
 Maintaining equipment records for each item of pressure
equipment (as defined in PESR Section 1(1)(k) and as
required by PESR Section 41).
 Maintaining accurate records of maintenance, service and
tests for safety critical equipment (e.g. pressure relief
devices and other protective devices).

Implementation Guidance
Documents may be in hard copy or electronic format. Electronic systems must be able
to readily reproduce documents as a written copy, incorporate evidence of
authentication by an Alberta in-service certified inspector designated by the Technical
Manager (e.g. for detailed integrity assessment reports that are required to be certified),
and protected from unauthorized alteration.

The scope of services provided by the integrity assessment organization may not
include just compiling the inventory. The integrity assessment organization must ensure
that the owner is aware of their responsibility to maintain a current accurate inventory of
all their pressure equipment as required under the PESR, and for providing an integrity
assessment program in accordance with PESR Section 41 along with the required
integrity assessment records.

All pressure equipment installed at the owner’s facilities, including mothballed

equipment and inventory equipment in storage, must be included in the integrity
assessment program.

Permanent and progressive inspection and maintenance records of pressure vessels

and associated safety critical equipment (e.g. pressure relieving devices) must be
maintained throughout the life of each pressure equipment item. Progressive records
must be regularly updated to include new information pertinent to the operation,
inspection and maintenance history of the equipment.

Section 4.6 covers requirements for control of documents and records and provides
further guidance information.

Section 5.16 (Integrity Assessment Program) of AB-512 also provides detailed

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informative guidance regarding integrity assessment records.

4.11.2 Integrity Assessment Procedures

 Integrity assessment procedures, consistent with the integrity

assessment organization’s authorized scope, are developed
and maintained in accordance with requirements established by
the Administrator, and ensuring that these are available,
understood and used by personnel performing the integrity
assessments.
 The integrity assessment organization shall ensure that
personnel are provided with documented instructions for
carrying out integrity assessments safely.

Implementation Guidance
Integrity Assessment Procedures will detail the organization’s safety, technical and
reporting requirements that are specific to the type of pressure equipment being
inspected.
Examples of items that procedures may include:
 Safety protocols, details of inspection requirements with checklist when
applicable, specific reporting requirements as well as measurements and
photographs that must be provided.

Detailed guidance information on integrity assessment and other requirements for in-
service equipment is provided in the following ABSA documents:
AB-506 Inspection & Servicing Requirements for Pressure Equipment
AB-505 Risk-Based Inspection Requirements for Pressure Equipment
These documents provide requirements regarding inspection practices and procedures
for determining inspection requirements and appropriate inspection and servicing
intervals. They also reference the relevant sections of recognized international
standards that represent best practices; such as the American Petroleum Institute Code
API 510 Inspection of Pressure Vessels, API 570 Piping Inspection Code and the
National Board Inspection Code NB23.

Section 5.16 (Integrity Assessment Program) of AB-512 also provides detailed

informative guidance regarding integrity assessment procedures.

4.11.3 Integrity Assessment Plans and Strategies

 Equipment specific integrity assessment plans and strategies,

as specified within AB-506, are established for pressure
equipment and are approved by a competent person (e.g.
Technical Manager, however named), who meets the

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qualification and certification requirements established by the

Administrator.

Implementation Guidance
Assessment of the pressure plant by competent personnel is a key activity in ensuring
that the fluid service and other relevant data needed to develop a suitable inspection
plan and strategy for the equipment is available.

From a facility perspective, in order to manage risks the hazards must first be identified
and then the risks may be evaluated to determine if they are tolerable. The earlier in the
facility life cycle that effective risk analysis is performed, the more cost effective that
future safe operation of the process will be.

It should be noted that the need for work site hazard assessment, elimination and
control is also referenced (as a requirement) within Part 2 of the Alberta Occupational
Health and Safety (OH&S) Code. The understanding of risk developed from the Process
Hazard Assessment (PHA) process forms the basis for establishing most of the other
process safety management activities for the facility. The policies implemented by most
owners (e.g. in compliance with OH&S Code requirements) will also specify the
frequency at which facility PHAs will be re-validated. This typically involves updating the
original study to reflect any facility changes since the original PHA or the last
revalidation.

Inspection plans and strategies for new equipment should be prepared within a
reasonable period of time after the installation inspection (not to exceed 12 months).
Existing inspection plans should be reviewed at appropriate intervals, and updated as
required based on inspection results, advances in technology and other information.

The integrity assessment organization must develop and follow a documented process
to ensure all pressure equipment integrity assessment strategies and Pressure Relief
Device (PRD) servicing intervals have a basis for the equipment type and the identified
damage mechanisms. Essentially, this basis is the inspection plan and strategy for the
specific equipment. As an example, this is the process used to evaluate all of the
damage mechanisms and other factors to assign appropriate inspection tasks (e.g.
crack inspection using the Magnetic Particle Testing (MT) NDE method at a specific
interval for a compressor pulsation vessel, based upon the identified mechanical fatigue
damage mechanism). The person making the decisions and developing the strategy
must possess, or be under direct supervision of, a valid
In-Service Inspector as described in AB-506. The QMS should also describe how the
process has been communicated to the owner, what input the owner has in validating
the process hazards and damage mechanisms, how the owner is informed of their
responsibility to monitor the process and notify the integrity assessment organization of
any process changes or conditions that may affect the plans and/or strategies, and the
owner’s approval of the strategies and the work plans that follow.

As specified within AB-506 pressure equipment and piping inspection plans and
strategies, or supporting documents, shall include:

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- Credible damage mechanisms (modes of deterioration) that could be expected to

affect the specific equipment.
- Primary areas of degradation and expected rate/susceptibility.
- The type and extent of NDE and inspection techniques required to detect and
evaluate the damage mechanisms.
- Corrosion monitoring plans, NDE surveys, monitoring of process variables, etc.
- Preparation required for the examinations and inspections.
- Inspection interval and dates of the next external and thorough inspections and
servicing intervals and next servicing date for the associated pressure relief
device(s).
- Where applicable; individual piping circuits may require their own specific Piping
Corrosion Surveys and/or Strategies to be developed.
Other relevant Publications and Documents include:
API-570 – Piping Inspection Code
API-510 – Pressure Vessel Inspection Code
ANSI/NB-23 – National Board Inspection Code
API RP-572 – Inspection of Pressure Vessels
API RP-574 – Inspection Practices for Piping System Components
API RP-576 – Inspection of Pressure Relieving Devices
Section 5.16 (Integrity Assessment Program) of AB-512 also provides detailed
informative guidance regarding integrity assessment plans and strategies.

4.11.4 Integrity Assessment Work Plans

 Work plans encompassing integrity assessments activities and

servicing of safety critical devices are developed and
communicated to pressure equipment owners.

Implementation Guidance
Work plans should include references to the integrity assessment organization’s
procedures and practices and document all scheduled integrity assessment work (e.g.
work required to comply with the pressure equipment integrity assessment plan and
strategy, as well as AB-506) as well as follow-up from previous inspection findings and
recommendations.

Integrity assessment work plans are normally prepared well in advance of the required
equipment inspection and PRD servicing dates (e.g. on a once per calendar or fiscal
year period). Typically, all of the integrity assessment work necessary within a specified
calendar or fiscal year is summarized in the work plan, which is then communicated to
and authorized by, the pressure equipment owner.

Section 5.16 (Integrity Assessment Program) of AB-512 also provides detailed

informative guidance regarding integrity assessment planning.

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4.11.5 Integrity Assessment Prior to Entering Service

 An integrity assessment of each item of pressure equipment is

completed after the equipment has been installed and prior to
entering service.
 The integrity assessment shall include confirmation all ABSA
inspections for issuance of permits (i.e. Certificates of
Inspection Permits) required under the Safety Codes Act have
been completed prior to the pressure equipment being placed
into service.
 For pressure piping systems; that all of the inspections and
reports are completed and on file prior to initial operation (e.g.
AB-83 pressure piping construction and test data report and, if
applicable, AB-81 completion of construction declaration).

Implementation Guidance
Section 5.16 (Integrity Assessment Program) of AB-512 provides detailed informative
guidance regarding integrity assessment prior to entering service and the scope of the
typical installation inspection for pressure equipment.

In many cases the installation inspection process will also include baseline thickness
readings, at the locations of future corrosion monitoring, in order to normalize the data
for future corrosion monitoring.

4.11.6 Periodic Integrity Assessments

 Periodic assessments are done in accordance with the

requirements established by the Administrator and integrity
assessment plans to ensure fitness-for-purpose of the pressure
system. These shall include:
 External integrity assessments.
 Thorough (internal or equivalent) integrity assessments.
 Corrosion surveys (Ultrasonic Thickness (UT) surveys, etc.)
and other condition monitoring activities needed to assure
the continued safe operation of the equipment.
 NDE and other monitoring results, which are reviewed by a
competent individual who holds the required
In-Service Inspector (ISI) Certificate.
 Appropriate integrity assessment intervals are assigned in
accordance with requirements set by the Administrator.

Implementation Guidance
The AB-506 document provides maximum thorough inspection and servicing intervals
and references the relevant sections of recognized international standards that must be
followed, such as, the American Petroleum Institute Code API 510 Inspection of

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Pressure Vessels, API 570 Piping Inspection Code, and the National Board Inspection
Code NB23.

Section 5.16 (Integrity Assessment Program) of AB-512 provides detailed informative

guidance regarding periodic integrity assessments.

4.11.7 Reports

 Detailed integrity assessment reports for each item identified in

the integrity assessment plan are prepared and maintained.
Observations and data obtained in the course of integrity
assessments are recorded in a timely manner to prevent loss of
relevant information.
 Reports are certified by an In-Service Inspector that meets the
requirements established by the Administrator, and by the
Technical Manager or their designate.
 Summary reports of integrity assessment and other reports as
required by an Alberta Safety Codes Officer, authenticated by
the Technical Manager or his designee are submitted to ABSA
within a time period acceptable to ABSA.

Implementation Guidance
Reporting shall be maintained in accordance with the integrity assessment
organizations manual or formal management system documentation process, as per
Section 4.6 – Control of Documents and Records.

4.11.8 Close-Out of Integrity Assessment Findings

 Appropriate timely corrective action is taken for integrity

assessment findings and for other integrity assessment
activities that require follow-up. This may require interface with
the controls pertaining to the non-conformities and corrective
action element of the quality management system.

Implementation Guidance
Within the integrity assessment organization’s program, there must be an effective
process implemented for identifying, reporting, dispositioning and tracking the resolution
of inspection findings or integrity assessment issues (e.g. Safety Codes Act
nonconformance on pressure equipment that is found during integrity assessment) that
are discovered. This process shall include a system to ensure the owner has access to
the information and is made aware of the findings and status.

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4.11.9 Overpressure Protection and Protective Devices

 Assuring that the pressure equipment owner services pressure

relief devices and safety critical equipment in accordance with
the requirements established by the Administrator, and at
appropriate intervals to ensure operation in accordance with
their design.
 Assigning appropriate in-service intervals based on the testing,
servicing condition reports and other operating information (refer
to AB-506 Section 15.4 and Appendix D) and providing
documented evidence of the AB-506 required work process,
including provisions to verify that the documented online
external visual examinations of pressure-relief devices have
been completed by competent personnel as required by
AB-506.
 Describe the pressure relief device assessment process (e.g.
how pressure relief device in-service interval decisions are
made) implemented by the integrity assessment organization.

Implementation Guidance
Integrity assessment organizations are responsible to notify the pressure equipment
owner that a Certificate of Authorization Permit is required to manufacture, assemble,
repair, set or seal PRDs and implement processes to ensure the owner has PRDs
serviced at the specified intervals. AB-506, Section 15.4 describes required work
process and Table 1 shows the maximum periods of time a pressure relief valve may
remain in service.

Owners are to be made aware of their responsibility to notify the integrity assessment
organization of any process changes or conditions that may affect the PRD servicing
intervals.

A documented online visual inspection of PRDs is required after re-installation and at a

maximum 5 year interval as specified by AB-506, Section 15.3.

Appropriate documented work processes, methodology, and assessments must be in

place to optimize the PRV servicing interval (typically the servicing interval is based on
device cleanliness and mechanical condition, and valves that do not perform, or would
not have performed, as required either in the field or when tested should have a root
cause failure analysis conducted and the interval adjusted accordingly) in accordance
with the AB-506, Appendix A.

Other relevant Publications and Documents include:

AB-524 – Pressure Relief Devices Requirements
AB-525 – Overpressure Protection Requirements for Pressure Vessels and
Pressure Piping
API-579 – Inspection of Pressure-relieving Devices

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ANSI/NB-23 – National Board Inspection Code

Section 5.19 (Overpressure Protection and Protective Devices) of AB-512 provides
detailed informative guidance regarding integrity assessment processes for
overpressure protection and protective devices.

4.12 Repairs and Alterations

Identify the following requirements within the written description and outline the
control methods used. Reference any supporting procedures or other control
documents that are used.
 Describe the processes and controls used to ensure the inspection and
certification of repairs and alterations services provided by the integrity
assessment organization are completed in accordance with the Safety
Codes Act and AB-513 Alberta Requirements for Repairs and
Alterations.
 All pressure equipment repair/alteration work is done by an
organization that has a valid Alberta Quality Program Certificate of
Authorization Permit for the scope of work.
 The repair or alteration procedure covers all the required technical and
quality standards for the service in which the item will be placed.
 An ABSA Safety Codes Officer is notified prior to the repair or
alteration of boilers, pressure vessels, fired-heater pressure coils,
indirect fired heater coils, boiler external piping and thermal fluid
heating systems.
 The repair is approved by the owner’s authorized person, and as
applicable by ABSA, in accordance with AB-513.
 All alterations are accepted by ABSA Design Survey except as
specifically exempted from this requirement within AB-513.
 Repairs that are inspected and certified by the integrity assessment
organization are inspected in accordance with AB-513 and certified by
persons who hold the appropriate Alberta In-Service Inspector
Certificate and have the required competence for the scope of work.
 Required inspections are completed and documented in accordance
with AB-513.
 The repair and alteration report, AB-40 (or AB-83 for boiler external
piping) is retained on file by the owner and the original form is provided
to ABSA.

Implementation Guidance
The integrity assessment organization must ensure they have appropriate
competencies for inspecting and certifying pressure equipment repairs listed within their
authorized scope [i.e. on the AB-515(a) form].

The scope of pressure equipment repairs that may be inspected and certified by the
integrity assessment organization must be equivalent to the scope of
owner certified repairs that is included within certified pressure equipment integrity
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management systems (i.e. owner-user Programs) in which the integrity assessment

organization has responsibility for the owner’s integrity assessment program and
provides a Chief Inspector.

Requirements established by the Administrator for repairs and alterations are included
in the following ABSA documents posted on the ABSA website at www.absa.ca:

PESR Section 40 covers requirements for repairs and alterations

AB-513 Alberta Repair and Alteration Requirements document
AB-512 owner-user Pressure Equipment Integrity Management Requirements
document
AB-40 Boilers and Pressure Vessels Repair and Alteration Report, with preparation
guide (AB-40a) to assist in completing the document

4.13 Audits

Identify the following requirements within the written description and outline the
control methods used. Reference any supporting procedures or other control
documents that are used.
 The integrity assessment organization has a system of planned and
documented internal quality system audits to verify compliance with the
criteria within this AB-515 document, and the effectiveness of the
quality management system.
 Describing that the personnel performing the audits are suitably
qualified and independent from the functions being audited.

Implementation Guidance
The purpose of internal quality audits is to verify that the documented operational
procedures of the integrity assessment organization are being implemented as required.
Quality audits are normally planned and organized by the Quality Manager and carried
out in accordance with a pre-determined schedule. The audit scope encompasses all
aspects of the quality system, including the performance of inspections. The audit
scope, dates and detailed scheduling of audits should be planned and conducted in
accordance with an established procedure. The established procedure should also
indicate how audit findings would be addressed within the corrective and preventative
action element, and who is responsible for tracking the follow-up required as a result of
the audit and closing out findings. Audit reports should also include the date, location,
results, and attendance list.

4.14 Non-Destructive Examination (NDE) and Testing

Identify the following requirements within the written description and outline the
control methods used. Reference any supporting procedures or other control
documents that are used.

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 The integrity assessment organization has suitable controls for

ensuring that all required non-destructive examinations that are done
directly, or out-sourced by the integrity assessment organization, are
effective and meet the requirements under the Safety Codes Act (also
refer to Purchasing and Material Control element).
 Special process contractors are approved in accordance with
requirements defined within the integrity assessment organization’s
quality management system.
 Written requirements are provided to special process contractors.
 Written procedures are developed and followed for special processes.
 Special process procedures are validated (e.g. NDE technologies are
verified as being capable of producing acceptable results prior to their
use).
 NDE personnel qualification and certification requirements are verified.
 Contract activities are coordinated.
 Corrosion monitoring plans are developed by competent personnel,
and approved by the Technical Manager or designee, and that results
are reported and are on file.
 Competent personnel assess corrosion monitoring results and the
results are verified promptly.

Implementation Guidance
When contracting an NDE organization, it is appropriate to review the NDE
organization’s Quality Management System in regards to the NDE services provided
and to verify that NDE procedures meet ASME Section V requirements.

Particularly with newer NDE technologies, it is very important to ensure that the NDE
method is capable of producing acceptable results. Depending on the particular NDE
method(s) this may involve obtaining flawed samples that are similar to the actual
pressure equipment configuration/material etc., to conduct validation testing of the NDE
procedure and/or examiner.

An NDE organization conforming to ISO 9712, SNT-TC-1A, or CP-189 (ACCP/ASNT),

is desired.

It is recommended to identify the following requirements within the written description

and outline the control methods used. Reference any supporting procedures or other
control documents that are used.
- Special process contractors are approved per requirements of the integrity
assessment organization’s quality management system.
- NDE contactors have validated their NDE procedures (e.g. procedure
demonstrations in accordance with to ASME Section V, paragraph T-150) or
documented validations on acceptable test pieces for new NDE technologies.
- NDE organization has a written practice identifying their process for qualification
and certification of NDE examiners.
- NDE examiner, personnel qualification and certification requirements are verified.
- NDE organization has a Level III available (contract or employee).

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- NDE organization has NDE procedures in place and has been approved and
signed by a Level III.
- Written requirements are provided to NDE contractors, identifying specific
examinations required, the acceptance criteria for examinations, and the
examiner qualifications and competencies required.
- Corrosion monitoring plans are developed by competent personnel, and
approved by the Technical Manager or designee, and that results are reported
and are on file. Competent personnel assess corrosion monitoring results and
results are verified promptly.
Section 5.17 (Non-Destructive Examinations and Testing) of AB-512 provides detailed
informative guidance regarding integrity assessment processes for non-destructive
examinations and testing.

4.15 Non-Conformities and Corrective Action

Identify the following requirements within the written description and outline the
control methods used. Reference any supporting procedures or other control
documents that are used.
 The integrity assessment organization has suitable processes and
controls for handling non-conformities relating to; pressure equipment,
the service contract, the integrity assessment organization’s quality
management system, and any accidents and unsafe conditions that
must be reported under the Safety Codes Act.
 These processes and controls shall include:
 Reviewing non-conformities, including customer and jurisdiction
complaints, determining the cause of non-conformities and
evaluating the need for action to ensure that non-conformities do
not recur.
 Determining the remedial, corrective and preventative action(s)
needed.
 Method(s) for controlling and tracking the completion of any
remedial, corrective and/or preventative actions.
 Records of the results of actions taken.
 Reviewing the effectiveness of actions taken.

Implementation Guidance
The purpose of establishing a corrective action system is to implement and document
preventative measures and corrective actions. The effectiveness of the system will
depend on the definition of a reasonable completion date and the follow-up process.
Some method should be developed to send reminders or alarms to check the
completion status.

For example, if during a management review with an owner it was found that equipment
was installed without communication to the integrity assessment organization.
The non-conformance report must answer:
 what is to be done immediately to rectify any potential safety concerns

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 how will this be avoided in the future

 who is responsible for communication
 what process has been implemented to verify communication has improved
 if communication has not improved, what remedial actions will be taken

It is important that the integrity assessment organization implement effective processes

to not only address quality management system issues but to also effectively address
non-conformities relating to pressure equipment that are found during the organization’s
integrity assessment activities (pressure equipment non-conformance processes may
be addressed within 4.12.8).

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APPENDIX A INTEGRITY ASSESSMENT ORGANIZATION

CERTIFICATE OF AUTHORIZATION PERMIT CHART

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6.0 REVISION LOG

Edition Rev # Date Description

1 1 2007-07-25 Removed AB-504 “Boiler and Pressure Vessel Repair
and Alteration Matrix” on page 3 under Reference
Publications.
Removed “AB-504 Boiler and Pressure Vessel Repair
and Alteration Matrix on page 25 under
Implementation Guidance.
The AB-504 Boiler and Pressure Vessel Repair and
Alteration Matrix document has been rescinded. The
AB-504 described responsibilities for reviewing repair
and alteration procedures and the scope of
inspection and certification of repairs that can be
done by owners under their Alberta owner-user
Certificate of Authorization. These responsibilities are
now described in the AB-513 Pressure Equipment
Repair and Alteration Requirements document.
1 2 2007-10-22 Added a revision log
1 3 2008-03-19 Deleted the administrative section entirely. This
section included insurance and financial audits.
Added Appendix A. This shows when a certificate of
authorization permit is needed.
Made changes to text, as required, to improve clarity
by, deleting areas of duplication, moving text to
improve flow and reformatting.

1 3 2009-06-03 Editorial Revision to delete reference to the now

obsolete AB-514
1 4 2010-10-29 Editorial Revisions:
Typographical error on page 4 last paragraph
(removed was)
Corrected Section reference on page 12 – Section 12
not 13
2011-09-26 Editorial change only – did not change date on
document
Replaced chart on page 32 with the current chart
identical to the chart in AB-506.
2 0 2017-01-10 Second Edition Issued
2 1 2017-03-17 Editorial Updates: Title for the AB-515(a) was revised
and updated Section 5.0 to Appendix A

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