ASME C&S Training Module A2

MODULE A - ADMINISTRATIVE

SUBMODULESA1. Tools and Resources

A2. Codes and Standards Products

A3. Membership Maintenance

A4. Honors and Awards

A5. Publishing Codes and Standards

ASME C&S Training Module A2

REVISIONS

CHANGE SLIDEDATEChange “Certificate(s) of Authorization” to “Product Certification”

First bulled item – change “Accreditation” to “Certification”

39, 41 & Notes

41 Notes

12/21/07

A2. Codes And Standards Products

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OBJECTIVES

This submodule will– Review ASME Codes and Standards products– Highlight current product issues

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AGENDA

I. Codes and Standards

II. Guides/Reports

III. Conformity Assessment

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I. CODES AND STANDARDS

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STANDARDS

• Definitions – Various

• Examples:– ISO/IEC Guide 2– OMB Circular A-119– ASME

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“STANDARD” (ISO / IEC GUIDE 2)

Definition

Document, established by consensus and approved by a recognized body, that provides, for common and repeated use, rules, guidelines or characteristics for activities or their results, aimed at the achievement of the optimum degree of order in a given context. NOTE – Standards should be based on the consolidated results of science, technology and experience, and aimed at the promotion of optimum community benefits.

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“STANDARD” (OMB CIRCULAR A-119*)

Definition

Common and repeated use of rules, conditions, guidelines or characteristics for products or related processes and production methods, and related management systems practices

The definition of terms; classification of components; delineation of procedures; specification of dimensions, materials, performance, designs, or operations; measurement of quality and quantity in describing materials, processes, products, systems, services, or practices; test methods and sampling procedures; or descriptions of fit and measurements of size or strength

* OMB A-119 = Federal Participation in the Development and Use of Voluntary Consensus Standards and Conformity Assessment Activities

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“STANDARD” (ASME)

Definition

A set of technical definitions, instructions, rules, guidelines, or characteristics set forth to provide consistent and comparable results, including:

• Items manufactured uniformly, providing for interchangeability

• Tests and analyses conducted reliably, minimizing the uncertainty of the results

• Facilities designed and constructed for safe operation

By custom, some standards are called codes.

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ASME CODES AND STANDARDS

• Key Characteristics– Clear consistent style– Well-defined scope– Realistic– Enforceable

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IMPACT OF CODES AND STANDARDS

• Codes and standards have multiple impacts– Major impact on affected equipment markets– Market impact has legal implications– Basis for regulatory requirements– Development and approval steps covered in later

modules

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ADDENDA SUBSCRIPTION SERVICE

• Description– Provides revisions, additions, or corrections to

a code or standard in the form of replacement pages

– Addenda must be described in foreword or on copyright page of code or standard

– Standards Committee determines• Whether or not to offer service• Frequency of publication• Issuance year of next edition

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ADDENDA SUBSCRIPTION SERVICE

• February 2001, Continuous Improvement Committee (formerly Committee on Process)– Recommended committees consider discontinuing the use of

addenda

• Arguments for eliminating addenda– Pagination problems– Internet access more difficult– Miscellaneous addenda revisions difficult to follow– Addenda issued too frequently can impose manufacturing

hardships

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ADDENDA SUBSCRIPTION SERVICE

• Alternatives– Issue new editions more frequently, for example:• Three years two years• Five years three years

– Issue special notifications or supplements• Impact on design• Impact on safety

– Continuous Improvement Committee asked each Standard Committee to decide

– Most committees decided to eliminate

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ERRATA/EDITORIAL CHANGES

• Errata– Typographical errors or misspellings– Grammatical errors– Incorrect publication• Omission by staff• Printer errors• Mistaken publication

NOTE: Errata apply retroactively

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ERRATA/EDITORIAL CHANGES

• Editorial Changes– Non-substantive changes – Do not change the requirements in any way

NOTE: Errata and Editorial Changes may be

initiated by: – Committee member – Staff– General Public

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INTERPRETATIONS

Interpretations are used to clarify the meaning of some aspect of a code or standard.

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TYPES OF INTERPRETATIONS

1. Interpretation – Formal response to a written inquiry (letter, fax,

email)– Official ASME interpretation letterhead

2. Intent Interpretation – Clarifies or corrects ambiguous or incorrect

wording

Reference: Accredited Procedures and Codesand Standards Policy 33

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INTERPRETATIONS - REQUIREMENTS

• Interpretations must– Be in “inquiry and reply” format– Give name and edition of interpreted standard– State that ASME may reconsider– Be revised if there is an identified need

(correction, clarification)

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INTERPRETATIONS - REQUIREMENTS

• Interpretations shall NOT– Revise existing requirements – Establish new requirements– Include explanations describing why the

standard is written the way it is, except they may include the rationale that was approved through the consensus process as part of the standards action

– Approve, certify, rate or endorse any item, construction, proprietary device or activity

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INTERPRETATIONS - REQUIREMENTS

• Other requirements– ASME interpretation letterhead– Signature by responsible staff person– Must be published

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INTERPRETATIONS - REQUIREMENTS

• Must be approved by– The Consensus Committee or Cognizant

Subcommittee, or– A special committee

NOTE: ASME approval process was strengthened as a result of “Hydrolevel Case” (Submodule C2, Antitrust)

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CONSENSUS COMMITTEE/SUBCOMMITTEE APPROVAL PROCESS

• Procedure

1. Inquiry received

2. Proposed inquiry & reply transmitted to committee (with original inquiry)

3. Vote taken• No Objection• Objection• Not Voting

 NOTE: Objection requires written justification and suggested alternative action

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CONSENSUS COMMITTEE/SUBCOMMITTEE APPROVAL PROCESS

• Votes required for approval

– Vote taken at meeting (quorum present)

• No Objection by two thirds of members present

– Vote taken at other than a meeting

• No Objection by two thirds of members voting, provided at least half of the members vote

Reference: Codes & Standards Policy 33

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SPECIAL COMMITTEE APPROVAL PROCESS

• Special Committee Members– Minimum 5 members, including Staff Secretary– Must be members of Consensus Committee or

subordinate group– Appointed by Chair of Standards Committee or

Cognizant Subcommittee– No member interest can have majority

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SPECIAL COMMITTEE APPROVAL PROCESS

• Approval process: Similar to approval process for Consensus Committee/Subcommittee EXCEPT– Voting responses limited to• No Objection• Objection

– All members must vote no objection for interpretation to be approved

– Unresolvable objections should be referred to the Cognizant Committee or Subcommittee.

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INFORMAL RESPONSES

• Requirements– May be verbal or in writing– Should clearly state that the response expresses

an opinion, not an official interpretation– Must not be sent on ASME interpretation

letterhead

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INTENT INTERPRETATIONS

• When used– To clarify conflicting/ambiguous wording– To resolve incorrect wording

• Requirements– Must be accompanied by a revision to the

standard that supports the interpretation– Interpretation and associated revision must be

approved by consensus committee.

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POP QUIZ #1

a. Two-thirds of the members present

b. Two-thirds of the members voting

c. All members

In order for an Interpretation to be approved by a Special Committee, a No Objection vote must be cast by…

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CASES

• When used– To provide alternatives to existing requirements• Permission to use new materials• Permission to use alternative constructions

– To allow early and urgent implementation of a revised requirement

• Can be requested by an inquirer or initiated by a committee

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CASES

• Characteristics– “Inquiry and reply” format– Conditions of use clearly stated– Approval by • Standards Committee• Supervisory Board • Not ANSI

– Effective as of Supervisory Board approval– Not automatically included in code/standard

requirements– Conformity Assessment Dept must be notified

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CASES

Caution

Should not be used by code/standard users unless accepted by purchasers and/or authorities in jurisdiction where component will be installed

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POP QUIZ #2

Which product would you use?

1. To respond to a manufacturer who has asked for formal clarification of a requirement _______

2. To remove a requirement included in a standard in error _______

3. To provide a manufacturer with urgently needed permission to use a new material not yet included in the standard _______

4. To revise a standard to include a number of necessary substantive changes _______

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POP QUIZ #3(Extra Credit)

Which of the following is not published?

a. Code

b. Standard

c. Errata

d. Interpretation

e. Informal response

f. Intent interpretation

g. Case

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II. GUIDES/REPORTS

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GUIDES

• Characteristics– Provide recognized and generally accepted good

engineering practices– Include suggestions, alternatives rather than

directives– Are occasionally updated

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TECHNICAL REPORTS

• Characteristics– Informational or tutorial in nature• Technical research reports• Methods for applying a code/standard

– Covered in specific committee training sessions

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III. CONFORMITY ASSESSMENT

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CONFORMITY ASSESSMENT

• Types– Accreditation– Product Certification– Personnel Certification– ISO 9000 Registration

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CONFORMITY ASSESSMENT

• Accreditation– Based on a survey of an organization and its

management system– Indicates that an organization is competent to

perform specific activities as defined in an ASME standard

– Certificate of Accreditation awarded for successful review

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CONFORMITY ASSESSMENT

• Product Certification– Based on a shop review or survey of a

manufacturer’s quality system– Indicates that a manufacturer is capable of

constructing equipment to a certain ASME standard

– Certificate of Authorization awarded for successful review

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CONFORMITY ASSESSMENT

• Personnel Certification– Certifies that an individual meets the

qualification criteria specified in an ASME standard

– Evaluation includes a series of examinations– Individual receives certification upon successful

completion– Certification is not licensing

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CONFORMITY ASSESSMENT

• ISO 9000 Registration– ASME’s scope limited to companies with

mechanical engineering-related products or services

– Certifies the organization’s quality management system, not its products

– ASME ISO 9000 certificate, if review successful

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POP QUIZ #4

a. Accreditation

b. Personnel Certification

c. Registration

Which of the following authorizes a manufacturer to stamp equipment indicating it meets an ASME code or standard?

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SUMMARY

I. Codes and Standards

II. Guides/Reports

III. Conformity Assessment

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REFERENCES

– ISO / IEC Guide 2:1996, Standardization and related activities - General vocabulary• http://webstore.ansi.org/ansidocstore/default.asp• www.iso.ch/iso/en/ISOOnline.frontpage

– OMB Circular A-119• www.whitehouse.gov/omb/circulars/a119/a119.html• http://ts.nist.gov/ts/htdocs/210/215/fr-omba119.htm

– ANSI Accredited Procedures• http://cstools.asme.org/csconnect/CommitteePages.cfm?

Committee=A01000000&Action=7609

– Codes and Standards Policy 33 (Interpretations)• http://cstools.asme.org/csconnect/CommitteePages.cfm?

Committee=A01000000&Action=7609