1、 A guide to risk-based procurement Quality assurance of safety-critical engineering equipment and materials PUBLICATION 224 Edition 1 Released by IHS. NOT FOR RESALE THApQuenPUEdCopA coISBImpReg63 MTeleFaxE-mWebE ENGINEguirocuality agineeBLICAition 1 yright 2mpany limN 978 0 85rint refereistered and
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3、Uasey-critid matand MateriaEngland. CSERS ASd cal erials ls Users Aompany nuSOCIATIOssociation.mber 4778N 38. EEMUA Publication 224 - A guide to risk-based procurement EEMUA ii ENGINEERING EQUIPMENT AND MATERIALS USERS ASSOCIATION About EEMUA The Engineering Equipment and Materials Users Association
4、 is usually known by its initials, EEMUA. EEMUA is governed by a Council of members. This Council is responsible for the policies, financing, membership, and strategy of the Association. Any organisation that is a substantial user or purchaser of engineering products is eligible to apply to become a
5、 member of EEMUA. Membership is subject to the approval of Council. EEMUA Aims EEMUA aims to improve the safety, environmental and operating performance of industrial facilities in the most cost-effective way, pursuing and promoting leadership in industrial asset management by sharing engineering ex
6、periences and expertise, and by the active, enlightened promotion of the distinct interests of users of engineering products. These aims are achieved by various means, including: Providing the organisation within which networking, information sharing and collaboration among users on non-competitive
7、technical matters can take place Influencing the way written regulations are interpreted and applied in practice Promoting and presenting members views, and encouraging the application of good sound engineering practices Developing user guides, specifications, training and competency schemes Facilit
8、ating members participation in national and international standards making Influencing relevant national and European legislation and regulation. The income and resources of EEMUA are applied solely towards the promotion of the aims of the Association. No profit is transferred by way of dividend, bo
9、nus or otherwise to members. The work of the Association is mainly carried out by members representatives on EEMUA Technical Committees, Working Groups, and Forums, supported by EEMUA staff. Incorporation, Membership and Other Information For the purposes of conducting its business, EEMUA is incorpo
10、rated in England and Wales as a company, limited by guarantee, not having share capital. All usual aspects of company management and business administration are dealt with by the EEMUA Chief Executive, including policy implementation and leadership of the Executive team (the staff). A list of EEMUA
11、publications for sale is given at the end of this Publication. The full list is also on the Associations website, including details of on-line shopping facilities. To enquire about corporate Membership, write to enquirieseemua.org or call +44 (0)20 7488 0801. EEMUA Publication 224 - A guide to risk-
12、based procurement EEMUA iii ABOUT THIS PUBLICATION Legal Aspects All rights, title and interest in this Publication belong to EEMUA. All rights are reserved. No part of this Publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means: electronic, mechanica
13、l, photocopying, recording or other, without the express prior written agreement of the EEMUA Chief Executive. Infringement of copyright is illegal and also reduces the Associations income thereby jeopardising its ability to fund the production of future publications. It has been assumed in the prep
14、aration of this Publication that: the user ensures selection of those parts of its contents appropriate to the intended application; and that such selection and application is correctly carried out by appropriately qualified and competent persons for whose guidance this Publication has been prepared
15、. EEMUA and the individual members of the Work Group that prepared this EEMUA publication do not, and indeed cannot, make any representation or give any warranty or guarantee in connection with material contained herein. EEMUA and the individual members of the Work Group that prepared this EEMUA pub
16、lication expressly disclaim any liability or responsibility for damage or loss resulting from the use or reliance on this Publication. Any recommendations contained herein are based on the most authoritative information available at the time of writing and on current good engineering practice, but i
17、t is essential for the user to take account of pertinent subsequent developments and/or legislation. Any person who encounters an inaccuracy or ambiguity when making use of this Publication is asked to notify EEMUA without delay so that the matter may be investigated and appropriate action taken. Co
18、nsultation and Feedback EEMUA encourages constructive comments on this Publication from both Members of the Association and others. Comments should be sent on the standard feedback form, a copy of which is provided towards the end of this Publication. An electronic version of the feedback form is av
19、ailable from EEMUA - e-mail your request for a copy to enquirieseemua.org, telephone your request to +44 (0)20 7488 0801, or download the form from the EEMUA website at www.eemua.org. Submit comments by e-mail (preferred) or post. Comments are considered by the relevant EEMUA Technical Committees an
20、d may be incorporated in future editions of this Publication. New editions are publicised on the EEMUA website. Acknowledgements EEMUA acknowledges the assistance of a number of its Member bodies in the preparation of this Publication and also: WorleyParsons for its contributions including proposing
21、 the Vendor Capability example questionnaire in Appendix H. EEMUA Publication 224 - A guide to risk-based procurement EEMUA iv EEMUA Publication 224 - A guide to risk-based procurement EEMUA v Contents Executive Summary . ix 1. Introduction . 1 1.1 Scope . 1 1.2 Definitions 1 1.3 Acronyms . 2 2. Avo
22、iding the Purchase of Rogue Equipment and Materials . 3 2.1 Background . 3 2.2 Range of Equipment and Material Affected . 3 2.3 Root Causes 3 2.3.1 The Global Market 4 2.3.2 Problems from Users Requirements and Processes 4 2.3.3 Problems from Contractors Procedures, Processes and Practices . 5 2.3.4
23、 Problems from Vendors Competence, Processes and Practices 6 2.3.5 Problems Associated with Inspection Bodies . 6 2.4 Legal Considerations in the EU Associated with Pressure Systems . 8 2.4.1 NDT Certification Bodies 8 3. Risk-based Approach to Avoiding Counterfeit Equipment/Materials 11 3.1 Overvie
24、w 11 3.2 Good Purchasing Practice 12 3.3 Risk Assessment Applied to the Procurement Process 13 3.3.1 An Assessment of the Consequences of the Risk . 14 3.3.2 An Assessment of the Chances of the Risk Happening 14 4. Reduction of Risk within a Risk-based Procurement Process . 15 4.1 Overview 15 4.2 Ba
25、sic Approach 16 4.3 Vendor Management 17 4.3.1 General Guidance . 17 4.3.2 Existing Approved Vendor List 17 4.3.3 Prequalify Vendors 17 4.4 Procurement . 17 4.4.1 General Guidance . 17 4.4.2 Pre-Order Enquiry 18 4.4.3 Bid Evaluation 18 4.4.4 Purchase Order 18 4.5 Shop Inspection . 18 4.5.1 General G
26、uidance . 18 4.5.2 Post Order Kick-Off Meeting . 18 4.5.3 Receiving Inspection . 19 4.6 Organisational . 19 4.6.1 General Guidance . 19 5. Equipment and Material Criticality Rating - Best Practice . 21 5.1 Criticality Rating Process - Non-safety Critical Equipment . 21 5.1.1 Review Timing . 21 5.1.2
27、 Initiation of the Process and the People Involved 22 5.1.3 Documentation, Records and Auditing . 22 5.1.4 Assessment of Criticality Identification of Equipment . 22 5.2 Criticality Rating Criteria . 23 5.2.1 Criticality Rating Criteria - Potential Issues to Address . 23 5.3 Criticality Rating Categ
28、ories . 23 5.3.1 Pre-determined Criticality Ratings . 23 EEMUA Publication 224 - A guide to risk-based procurement EEMUA vi 5.3.2 Criticality Rating Criteria Scoring Mechanisms and Weighting . 24 5.3.3 Criticality Rating Scoring Override Provision . 24 5.3.4 Supplier Competence 24 5.3.5 Criticality
29、Assessment Calculation Form and Sign-off . 24 5.3.6 Dissemination of Information . 24 5.3.7 Disputes . 25 5.4 Safety and Environmental Critical Equipment and Materials 25 5.4.1 Further Stages in the Use of the Criticality Rating . 25 5.4.2 Supplier Quality/Inspection Requirements 25 5.5 Levels of In
30、spection Linked to Criticality Ratings . 26 5.5.1 Inspection Level 1 26 5.5.2 Inspection Level 2 26 5.5.3 Inspection Level 3 26 5.5.4 Inspection Level 4 26 Appendix A Case Studies 27 A1 Problems with a Valve Casting 27 A2 Pressure Vessel Failure due to Hydro Test 27 A3 Counterfeit and Copy C45N Mini
31、ature Circuit Breakers 30 Appendix B Reported Examples of Problems Found 31 B1 Power Station Pipe Rupture 31 B2 Tubing Hanger Failure . 32 B3 Faulty Heat Treatment of Duplex/Super Duplex Stainless Steel Bends 32 B4 Defective Flanges - Out of Specification SA 240 . 33 B5 Bolts that Failed During Norm
32、al Tightening . 33 B6 Tee pieces (Allegedly 304L) with Lack of Weld Line Fusion 34 B7 Other Reported Problems . 34 Appendix C Suggested Checklist for Procurement Practices . 35 Appendix D Example of a Vendor Capability Assessment Record 37 D1 Type of Fluid Being Handled . 37 D2 Effects on Personnel
33、Safety 37 D3 Hazards to the Environment . 37 D4 Effect of Failure on Production Output 38 D5 Financial Effects of Failure 38 D6 Effects of Failure on Standby Availability 38 D7 Design Maturity/Complexity . 38 D8 Complexity of Manufacture, Construction or Installation . 39 D9 Complexity of Maintenanc
34、e After Failure 39 D10 Need for Material Traceability . 39 Appendix E Criticality Ratings 14 . 41 Appendix F Typical Criticality Ratings per Types of Equipment . 43 F1 Bulk Valves the supply of incorrect, defective or otherwise sub-standard items or components; the supply of incorrect or defective s
35、upporting documentation. To address the problem the Engineering Equipment and Materials Users Association (EEMUA) has consulted widely both within and externally to its membership and has also consulted with Inspection Bodies. A series of meetings with the Pressure Systems Group (PSG) of the Institu
36、tion of Mechanical Engineers was also initiated to discuss the scale of the problem, particularly as it related to pressure equipment, identify any common issues and possible ways forward. This EEMUA Publication, which builds on the above work, includes: a discussion of the root causes; suggested me
37、asures to assess risks; procurement recommendations and guidance; examples of some problems experienced. Well-designed procurement processes underpin the mitigation of risks. Consequently measures to assess the potential risks, improve procurement processes throughout the supply chain and to enforce
38、 quality management are considered. This Publication provides guidelines to minimise the risks and proposes ways in which early detection of problems may be made. It complements EEMUA Publication 218(1)which is specific to duplex stainless steel. Other EEMUA publications, such as EEMUA Publication 1
39、91 on Alarm Systems A Guide to Design, Management and Procurement also offer guidance on procurement of specialist engineering equipment and materials. A full list of EEMUA publications is given at the end of this Publication. Improvements to processes are addressed in the context of a partnership b
40、etween the purchasers of engineering equipment and materials, suppliers/vendors and the intermediaries associated with sourcing items of equipment, components, materials and fabrications from both new and established markets around the world. EEMUA Publication 224 - A guide to risk-based procurement
41、 EEMUA x EEMUA Publication 224 - A guide to risk-based procurement EEMUA 1 1. Introduction Industrial users and procurers of engineering equipment used on projects globally have reported a significant rise in the number of cases where whole items of equipment, components, materials for pressure equi
42、pment and fabricated items supplied from the newer, non-traditional markets around the world were either found to be incorrect, defective or the associated documentation appeared fraudulent. It is apparent, however, that the problem is not limited to these newer markets but is also not uncommon in t
43、he traditional western market. In the absence of industry wide data, the scale of the problem in global terms is of course uncertain. However, there have been a series of spectacular failures due to the use of counterfeit items of equipment and components or the use of so-called rogue materials in a
44、 wide range of industries including aviation, power, oil, and chemicals. EEMUA Members have met on several occasions to discuss the issues and what might be done to address them. One action identified was to raise awareness. As part of this process, meetings were organised with other bodies; for exa
45、mple, the Pressure Systems Group (PSG) of the Institution of Mechanical Engineers (IMechE). Such meetings helped in determining the scale of the problem, identifying common issues, and more importantly, identifying approaches, processes and procedures that would reduce the risks of occurrence. These
46、 first steps were followed by a more wide ranging consultation process, involving not only the EEMUA membership but other users and purchasers of equipment worldwide. Exchanges of experience in this process identified a wide variety of problems with the quality and documentation for equipment and ma
47、terials purchased from markets that had not historically supplied European industry. It was apparent that from about 2003 the volume of material purchased from such markets had risen progressively. In the same period, the rate at which materials were found to be defective, or were not what had been
48、specified, had increased markedly and was continuing to do so. Companies shared experience recognised, however, that the phenomenon was not limited to the newer markets and, whilst the problem was perhaps not as pronounced nor, perhaps, a growing one, it was certainly not unknown in their traditiona
49、l and established markets. 1.1 Scope This EEMUA Publication provides a set of reasonable and practical guidelines for users, procurers and inspection bodies. The guidelines advise parties of the areas where problems can be expected when dealing with manufacturers, fabricators and vendors and what to look for. They also include measures that users and procurers can take to minimise the risk of buying counterfeit materials and equipment or receiving substandard documentation, including examples of useful checklists, procedure
