1. ASME C&S Training Module A2 MODULE A - ADMINISTRATIVE SUBMODULES A1. Tools and Resources A2. Codes and Standards Products A3. Membership Maintenance A4. Honors and Awards A5. Publishing Codes and Standards

2. ASME C&S Training Module A2 REVISIONS CHANGESLIDEDATE Change “Certificate(s) of Authorization” to “Product Certification” First bulled item – change “Accreditation” to “Certification” 39, 41 & Notes 41 Notes 12/21/07

3. A2. Codes And Standards Products

4. ASME C&S Training Module A2 Slide 3 OBJECTIVES This submodule will –Review ASME Codes and Standards products –Highlight current product issues

5. ASME C&S Training Module A2 Slide 4 AGENDA I.Codes and Standards II.Guides/Reports III.Conformity Assessment

6. ASME C&S Training Module A2 Slide 5 I. CODES AND STANDARDS

7. ASME C&S Training Module A2 Slide 6 STANDARDS Definitions –Various Examples: –ISO/IEC Guide 2 –OMB Circular A-119 –ASME

8. ASME C&S Training Module A2 Slide 7 “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.

9. ASME C&S Training Module A2 Slide 8 “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

10. ASME C&S Training Module A2 Slide 9 “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.

11. ASME C&S Training Module A2 Slide 10 ASME CODES AND STANDARDS Key Characteristics –Clear consistent style –Well-defined scope –Realistic –Enforceable

12. ASME C&S Training Module A2 Slide 11 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

13. ASME C&S Training Module A2 Slide 12 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

14. ASME C&S Training Module A2 Slide 13 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

15. ASME C&S Training Module A2 Slide 14 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

16. ASME C&S Training Module A2 Slide 15 ERRATA/EDITORIAL CHANGES Errata –Typographical errors or misspellings –Grammatical errors –Incorrect publication Omission by staff Printer errors Mistaken publication NOTE: Errata apply retroactively

17. ASME C&S Training Module A2 Slide 16 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

18. ASME C&S Training Module A2 Slide 17 INTERPRETATIONS Interpretations are used to clarify the meaning of some aspect of a code or standard.

19. ASME C&S Training Module A2 Slide 18 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 Codes and Standards Policy 33

20. ASME C&S Training Module A2 Slide 19 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)

21. ASME C&S Training Module A2 Slide 20 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

22. ASME C&S Training Module A2 Slide 21 INTERPRETATIONS - REQUIREMENTS Other requirements –ASME interpretation letterhead –Signature by responsible staff person –Must be published

23. ASME C&S Training Module A2 Slide 22 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)

24. ASME C&S Training Module A2 Slide 23 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

25. ASME C&S Training Module A2 Slide 24 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

26. ASME C&S Training Module A2 Slide 25 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

27. ASME C&S Training Module A2 Slide 26 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.

28. ASME C&S Training Module A2 Slide 27 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

29. ASME C&S Training Module A2 Slide 28 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.

30. ASME C&S Training Module A2 Slide 29 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…

31. ASME C&S Training Module A2 Slide 30 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

32. ASME C&S Training Module A2 Slide 31 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

33. ASME C&S Training Module A2 Slide 32 CASES Caution Should not be used by code/standard users unless accepted by purchasers and/or authorities in jurisdiction where component will be installed

34. ASME C&S Training Module A2 Slide 33 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 _______

35. ASME C&S Training Module A2 Slide 34 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

36. ASME C&S Training Module A2 Slide 35 II. GUIDES/REPORTS

37. ASME C&S Training Module A2 Slide 36 GUIDES Characteristics –Provide recognized and generally accepted good engineering practices –Include suggestions, alternatives rather than directives –Are occasionally updated

38. ASME C&S Training Module A2 Slide 37 TECHNICAL REPORTS Characteristics –Informational or tutorial in nature Technical research reports Methods for applying a code/standard –Covered in specific committee training sessions

39. ASME C&S Training Module A2 Slide 38 III. CONFORMITY ASSESSMENT

40. ASME C&S Training Module A2 Slide 39 CONFORMITY ASSESSMENT Types –Accreditation –Product Certification –Personnel Certification –ISO 9000 Registration

41. ASME C&S Training Module A2 Slide 40 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

42. ASME C&S Training Module A2 Slide 41 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

43. ASME C&S Training Module A2 Slide 42 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

44. ASME C&S Training Module A2 Slide 43 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

45. ASME C&S Training Module A2 Slide 44 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?

46. ASME C&S Training Module A2 Slide 45 SUMMARY I.Codes and Standards II.Guides/Reports III.Conformity Assessment

47. ASME C&S Training Module A2 Slide 46 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