Transcript No Slide Title

ANS Standards Seminar
Presented to Oak Ridge/Knoxville
Chapter of ANS
D. J. Spellman
April 25, 2000
ORNL 2000-1094C EFG
Presentation Summary
• History of standards development in the U.S.
• Structure of the ANS Standards Committee
• Principles of standards development
• Standards coordination in the U.S.
– The role of ANSI
• Defining and approving a standard
ORNL 2000-1095C EFG
April 25, 2000
History of Standards Development in the U.S.
ORNL 2000-1096C EFG
April 25, 2000
Why Do We Need Standards?
• Establishment of safe practices
• Commercial necessity
• Consumer acceptance – component
interchangeability
• Influence on regulatory guidance
• A professional obligation
ORNL 2000-1097C EFG
April 25, 2000
What Is a Standard?
• A standard is a document that sets forth
requirements for the design, manufacture, or
operation of a piece of equipment. It can also
address computer firmware and software.
• A standard can address the necessary physical
and functional features of equipment, its safe
application, or some combination of these.
• A standard is applicable only if an organization
invokes its requirements (standards are intended
to be voluntary) or if a government agency formally
endorses it.
ORNL 2000-1098C EFG
April 25, 2000
Applications of Standards
• Voluntary application
• Promulgation by a federal agency, making it a
regulation (DOE Orders)
• Adoption by a state agency, making it a Code
• Endorsement by a governmental agency, making it
regulatory guidance (NRC)
ORNL 2000-1099C EFG
April 25, 2000
Why Standards and Not Regulations?
• Standards incorporate broad technical experience
• Standards allow recognized expertise to be applied
to specific subjects
• Standards combine peer review process with
prescribed methods to reach consensus
• Standards provide workable solutions to concepts
and established principles
ORNL 2000-1100C EFG
April 25, 2000
Historical Perspective
• ASME developed first standard in 1884, which was
necessitated by repeated boiler failures
• ASTM was founded in 1898 under the name
International Association for Testing Materials;
became ASTM in 1902
• First ASTM standard, specifications for “Structural
Steel for Bridges,” approved in 1901
• ASTM adopted principles of consensus and due
process in 1908
ORNL 2000-1102C EFG
April 25, 2000
Historical Perspective
(continued)
• Experience of World War I demonstrated the need
for interchangeability
• Several organizations embarked on the
development of standards
• These efforts resulted in conflict, duplication,
confusion, and waste
• This situation led to a single standards
coordinating organization, which included ASME,
ASTM, ASCE, NBS (which was founded in 1901 and
is now known as NIST), and a few others
ORNL 2000-1103C EFG
April 25, 2000
American National Standards Institute (ANSI)
• A not-for-profit organization chartered in NY
• Formed in 1918 by 5 professional technical
societies and 3 governmental agencies
• Became ANSI in 1969
• ANSI coordinates standards from more than 260
trade, technical, professional, labor, and consumer
organizations
ORNL 2000-1104C EFG
April 25, 2000
History of Standards Development at ANS
• ANS Standards Committee formed in 1957
• First three standards, in the areas of computer
programming and criticality experiments, were
produced as ANS Standards
• First American National Standard developed by
ANS was approved in 1968
ORNL 2000-1105C EFG
April 25, 2000
Structure of the ANS Standards Committee
ORNL 2000-1106C EFG
April 25, 2000
ANS Standards Committee
ORNL 2000-1107C EFG
April 25, 2000
ANS Standards Committee Membership
ORNL 2000-1108C EFG
April 25, 2000
Standards Steering Committee
• The President-Elect of ANS may appoint up to
seven members to the SSC
• Each Consensus Committee Chair is automatically
a member of the SSC
• The Chair of the SSC is responsible for keeping the
ANS Board of Directors apprised of important
standards activities and to certify balance on each
consensus committee to the Board
• The SSC can expand its scope of responsibility
only with the approval of ANSI (the Executive
Standards council) and the ANS Board of Directors
ORNL 2000-1109C EFG
April 25, 2000
ANS Standards Steering Committee
Chairman: Jim Mallay (Framatome ANP)
Vice Chairman: Charles Moseley (BWXT Y-12)
Secretary: Suriya Ahmad (ANS)
Consensus Committee Chairmen:
Calvin Hopper (ORNL), N16
Tawfik Raby (NIST), N17
Donald Spellman (ORNL), NFSC
Paul Amico (DS&S), RISC
Plus Five At-Large (Appointed) Members
ORNL 2000-1111C EFG
April 25, 2000
Standards Steering Committee
Responsibilities
• Administers the Standards committee Rules and
Procedures, which have been accredited by ANSI
• Ensures that the rules of due process have been
fulfilled and certifies the consensus process
• Establishes policies for standards development
• Recommends to the ANS Board of Directors on
standards matters
• Approves the chairmen and the rules for each
consensus committee
• Solicits liaison members from other SDOs, ANS
Professional Divisions, and ANS Board
ORNL 2000-1112C EFG
April 25, 2000
ANS Standards Committee
ORNL 2000-1107C EFG
April 25, 2000
Consensus Committee
Responsibilities
• Develop broad consensus on each of its standards
and ensure due process
• Establish and manage subcommittees
• Select members based on recognized expertise but
must represent a balance among materially
affected interests
• Maintain membership with proper balance from
industry, government, academia, others (typically
20 to 25 members)
ORNL 2000-1113C EFG
April 25, 2000
Balance of Consensus Committees
• Made up of several interest groups, with heaviest
reliance on users and designers; limit of one-third
membership for any one group
• Interest groups include:
– Manufacturers and suppliers (vendors)
– Owners and operators (utilities)
– Designers and constructors (AEs)
– Government agencies
– Academic and laboratory organizations
– Consultants and individuals
– Other SDOs
ORNL 2000-1114C EFG
April 25, 2000
Nuclear Facilities Standards Committee
Scope: Siting, design, and operation of nuclear
facilities (other than those addressed by N17),
including radwaste management and site
remediation and restoration.
70 approved standards; 25 new standards under
development
ORNL 2000-1115C EFG
April 25, 2000
Nuclear Facilities Standards Committee Has 8
Subcommittees
Nuclear Facility Design Criteria & Operations
Nuclear Facility System Design Standards
Decommissioning & Site Remediation
Analyses
Site Evaluation
Emergency Planning
Fuel Cycle and Waste Management
ORNL 2000-1116C EFG
April 25, 2000
N16, Nuclear Criticality Safety
Scope: Prevention of accidental criticality,
identification of potential criticality situations, and
response plans for criticality accidents (all outside
reactors)
ANS-8 Scope: Prevention of criticality during
handling, storage, transporting, and processing
fissionable nuclides
15 approved standards
ORNL 2000-1117C EFG
April 25, 2000
N17, Research Reactors, Reactor Physics, Radiation
Shielding, and Computational Methods
Scope:
– Siting, design, and operation of (1) all training
and research reactors and (2) critical facilities
– Computer codes used for all types of nuclear
reactors
– Reactor physics, including shielding
– Nuclear cross sections
31 approved standards; 7 new standards under
development
ORNL 2000-1118C EFG
April 25, 2000
N17, Research Reactors, Reactor Physics, Radiation
Shielding, and Computational Methods Subcommittees
Critical Experiments
Radiation Protection & Shielding
Mathematics & Computation
Fast Pulse Reactors
Operation of Research Reactors
Physics of Reactor Design
ORNL 2000-1119C EFG
April 25, 2000
Risk-Informed Standards Committee
Scope: Criteria and methods for risk assessment
and risk management as applied to the design and
operation of nuclear facilities, including radwaste
management and site remediation and restoration
2 new standards being developed
2 Working Groups
– External Hazards
– Low Power and Shutdown
ORNL 2000-1120C EFG
April 25, 2000
Interactions with the NRC
• NRC has appointed individuals to nearly every
pertinent ANS standards committee and WG
• NRC has endorsed more than 20 ANS standards in
its Regulatory Guides and one in its regulations
• The adoption of standards validates the process,
especially because the NRC has only one vote in
about 20 cast
• The relationship has been fruitful for both parties
• The development process exerts a major influence
on evolving regulatory guidance
ORNL 2000-1122C EFG
April 25, 2000
Principles of Standards Development
ORNL 2000-1123C EFG
April 25, 2000
Types of Standards
• Mandated standards, developed by an individual or
small group for application to an organization or
regulated activity
• Consensus standard, developed within an
organization under the direction of its leader
• Voluntary consensus standard, developed by
volunteers representing all affected interests for
voluntary application
• Voluntary consensus standards are based on two
key concepts: due process and consensus
ORNL 2000-1124C EFG
April 25, 2000
The Concept of Due Process
• Due process means that all parties with a material
interest have an opportunity to express their
viewpoints and if dissatisfied to appeal. The
concept provides fairness and objectivity.
ORNL 2000-1125C EFG
April 25, 2000
Application of Due Process by
Consensus Committees
• Make available participation by all affected
interests without dominance by any one interest
and without undue financial constraint
• Written procedures govern the process
• Provide realistic and readily available appeals
processes
• Provide opportunity for public comment on new
and revised draft standards
• Promptly consider all comments and make a
concerted effort to resolve them
• Maintain accurate and complete records
ORNL 2000-1126C EFG
April 25, 2000
The Concept of Consensus
• Consensus is the state of having reached
substantial agreement
• Significantly greater than a simple majority but
with some dissent allowed
• Declaring consensus requires an evaluation of the
balance of interests of those approving or
dissenting
ORNL 2000-1127C EFG
April 25, 2000
Standards Coordination in the U.S.:
the Role of ANSI
ORNL 2000-1128C EFG
April 25, 2000
ANSI - American National Standards Institute
• Coordinate the development of voluntary consensus
standards in the U.S.
• ANSI does not develop standards
• There is no such thing as an ANSI standard
• ANSI has sole responsibility for accrediting an
organization to develop voluntary consensus standards
• ANSI has sole responsibility to designate a consensus
standard as an American National Standard
• ANSI approval is based on verification that openness
and due process have been fulfilled, that accredited
procedures were meticulously applied, and that
consensus of those materially affected was achieved
ORNL 2000-1129C EFG
April 25, 2000
ANSI Organizational Arrangement
ORNL 2000-1130C EFG
April 25, 2000
ANSI – Standards Boards
Acoustical
Construction
Electrical and Electronic
Fuel Gas
Graphic
Heating, Air Conditioning, and Refrigeration
Image Technology
Information Systems
Measurement and Automatic Control
Mechanical
Medical Devices
Nuclear
Physical Distribution
Piping and Process Equipment
Safety and Health
Welding
ORNL 2000-1131C EFG
April 25, 2000
ANSI-Nuclear Standards Board
(currently inactive)
Accredited Organizations:
American Concrete Institute (ACI)
American Nuclear Society (ANS)
American Society of Civil Engineers (ASCE)
American Society of Mechanical Engineers (ASME)
American Society for Quality Control (ASQC)
Institute of Electrical and Electronic Engineers (IEEE)
Instrument Society of America (ISA)
National Fire Protection Association (NFPA)
ORNL 2000-1132C EFG
April 25, 2000
ANSI - Verification of Due Process
and Consensus
• This verification does not include any evaluation or
review of the standard itself, which is the sole
responsibility of the Consensus Committee.
• Periodically, ANSI will conduct an audit of each
SDO to ensure that complete records are retained
and that the records fully substantiate the SSC’s
decision to certify that due process was achieved
• ANSI conducted an audit of the ANS records in
early 1999
ORNL 2000-1133C EFG
April 25, 2000
ANSI
• ANSI can provide a neutral forum in which
jurisdictional disputes can be resolved in order to
avoid duplication of effort
• ANSI provides a process to gain public review of
draft standards through notification on its web site
• ANSI also represents the US on international
standards committees, including ISO and IEC
ORNL 2000-1134C EFG
April 25, 2000
International Standards
• US involvement coordinated through ANSI
• International Standards Organization (ISO) has
more than 200 technical committees
• One of its technical committees is TC-85, Nuclear
Energy
• TC-85 recently established Subcommittee 6 (SC-6)
on Reactor Technology
• SC-6 has not received broad support in Europe,
except IAEA has endorsed its work
• International Electrotechnical Commission has
nearly 100 technical committees, including TC-45,
Nuclear Instrumentation
ORNL 2000-1135C EFG
April 25, 2000
Defining and Approving a Standard
ORNL 2000-1136C EFG
April 25, 2000
Content of a Standard (ANSI Style Guide)
• Foreword (to explain why the standard was
created)
• A brief scope statement (typically, one paragraph)
• A set of definitions (specifically applicable to
understanding the standard)
• Requirements (in a format suitable to the subject
matter)
• References (cited in the text)
• Appendix (to provide examples of the application
of the standard)
ORNL 2000-1137C EFG
April 25, 2000
Initiation of a Standard
• Any individual or organization can recommend a
new standard
• A project charter is prepared by the subcommittee
or proposed working group chair
• Charter includes: scope, need for the standard,
expected application, intended membership of
working group, and pertinent data
ORNL 2000-1138C EFG
April 25, 2000
Project Approval
• Charter is reviewed and approved by consensus
committee, SSC, and Nuclear Standards Board of
ANSI
• ANSI is final arbiter in assigning responsibilities to
particular standards committees
• Work on a new standard is typically initiated during
the approval process
ORNL 2000-1139C EFG
April 25, 2000
Development Process
ORNL 2000-1140C EFG
April 25, 2000
Benefits of the Standards Development Process
• The only forum in which all facets of the industry
participate
• Unique opportunity for the free exchange of ideas,
including between regulators and regulated
• Discussions can be broad ranging (such as
operations and regulatory interpretations)
• Each member has an equal standing
• Communication, understanding, and appreciation
for different views and philosophies
ORNL 2000-1141C EFG
April 25, 2000
Maintenance of Standards
• ANSI requires that all American National Standards
be maintained every five years
• Maintenance means a standard must be revised,
reaffirmed, or withdrawn within five years after
approval (not publication)
• Reaffirmed means no changes can be made to the
standard (not even references)
ORNL 2000-1142C EFG
April 25, 2000
Maintenance of Standards
(continued)
• The Standards Administrator can formally request
an extension beyond the five-year period if work on
the standard cannot be completed in time
• If maintenance is not performed within 10 years,
ANSI automatically withdraws the standard
• Any standard may be revised at any time if a
technical basis for doing so is identified
ORNL 2000-1143C EFG
April 25, 2000
Interpretations
• Two types of interpretations:
– Case interpretation: request for explanation or
permission to apply the standard to a specific
design, operation, or facility
– Generic interpretation: need to develop
supplemental criteria for inclusion in the
standard
ORNL 2000-1144C EFG
April 25, 2000
Interpretations
• Requests submitted to the SSC Secretary (Standards
Administrator)
• Secretary forwards request to SSC Chair
• SSC Chair consults with consensus committee and
subcommittee chairs
• Decision made whether the request is on
interpretation or clarification
• Interpretations follow standards development
process: draft reply by WG, technical review by
subcommittee, ballot by consensus committees
• Reviewed by SSC Chair, who replies to requestor
• Published in Nuclear News
ORNL 2000-1145C EFG
April 25, 2000
Clarifications
• Clarification: an explanation of the original intent of
the standard; no new or revised requirements
permitted
• Request submitted to Standards Administrator, then
the SSC Chair, and then the WG or subcommittee
• Brief technical response developed
• Reviewed and approved (by vote) by subcommittee
for clarity and technical accuracy
• Reviewed by Consensus Committee Chair for clarity
• Reviewed by SSC Chair for policy consistency
• SSC Chair replies to requestor
• Published in Nuclear News & Nuclear Standards
News
ORNL 2000-1146C EFG
April 25, 2000
Conclusion
• The consensus standards development,
maintenance, and management process is well
organized and controlled
• Standards use is voluntary, however, the intent of
the standard must not be compromised
• Standards provide safe, reliable working practice
based on technical experience
• Success of the consensus standards program
relies upon professional volunteers
ORNL 2000-1101C EFG
April 25, 2000