ASME PCC-3-2017 Inspection Planning Using Risk-Based Methods《用基于风险法的检验计划》.pdf

1、Inspection Planning Using Risk-Based MethodsAN AMERICAN NATIONAL STANDARDASME PCC-32017(Revision of ASME PCC-32007)ASME PCC-32017(Revision of ASME PCC-32007)InspectionPlanning UsingRisk-BasedMethodsAN AMERICAN NATIONAL STANDARDTwo Park Avenue New York, NY 10016 USADate of Issuance: December 28, 2017

2、This Standard will be revised when the Society approves the issuance of a new edition.ASME issues written replies to inquiries concerning interpretations of technical aspects of thisStandard. Interpretations are published on the ASME Web site under the Committee Pages athttp:/cstools.asme.org/ as th

3、ey are issued.Errata to codes and standards may be posted on the ASME Web site under the Committee Pages toprovide corrections to incorrectly published items, or to correct typographical or grammatical errorsin codes and standards. Such errata shall be used on the date posted.The Committee Pages can

4、 be found at http:/cstools.asme.org/. There is an option available toautomatically receive an e-mail notification when errata are posted to a particular code or standard.This option can be found on the appropriate Committee Page after selecting “Errata” in the “PublicationInformation” section.ASME i

5、s the registered trademark of The American Society of Mechanical Engineers.This code or standard was developed under procedures accredited as meeting the criteria for American NationalStandards. The Standards Committee that approved the code or standard was balanced to assure that individuals fromco

6、mpetent and concerned interests have had an opportunity to participate. The proposed code or standard was madeavailable for public review and comment that provides an opportunity for additional public input from industry, academia,regulatory agencies, and the public-at-large.ASME does not “approve,”

7、 “rate,” or “endorse” any item, construction, proprietary device, or activity.ASME does not take any position with respect to the validity of any patent rights asserted in connection with anyitems mentioned in this document, and does not undertake to insure anyone utilizing a standard against liabil

8、ity forinfringement of any applicable letters patent, nor assume any such liability. Users of a code or standard are expresslyadvised that determination of the validity of any such patent rights, and the risk of infringement of such rights, isentirely their own responsibility.Participation by federa

9、l agency representative(s) or person(s) affiliated with industry is not to be interpreted asgovernment or industry endorsement of this code or standard.ASME accepts responsibility for only those interpretations of this document issued in accordance with the establishedASME procedures and policies, w

10、hich precludes the issuance of interpretations by individuals.No part of this document may be reproduced in any form,in an electronic retrieval system or otherwise,without the prior written permission of the publisher.The American Society of Mechanical EngineersTwo Park Avenue, New York, NY 10016-59

11、90Copyright 2017 byTHE AMERICAN SOCIETY OF MECHANICAL ENGINEERSAll rights reservedPrinted in U.S.A.CONTENTSForeword vCommittee Roster . viCorrespondence With the Post Construction Committee . viiSummary of Changes ix1 Scope, Introduction, and Purpose. 12 Basic Concepts 13 Introduction to Risk-Based

12、Inspection. 44 Planning the Risk Analysis . 95 Data and Information Collection 146 Damage Mechanisms and Failure Modes 167 Determining Probability of Failure 178 Determining Consequence of Failure 219 Risk Determination, Analysis, and Management . 2810 Risk Management With Inspection Activities 3211

13、 Other Risk Mitigation Activities 3512 Reanalysis 3613 Roles, Responsibilities, Training, and Qualifications . 3714 Documentation and Record Keeping 3915 Definitions and Acronyms 4016 References 41Figures2.1 Risk Plot . 22.3 Management of Risk Using RBI . 33.3.1 Continuum of RBI Approaches . 53.3.4

14、Risk-Based Inspection Planning Process . 74.4.1 Relationship Among Component, Equipment, System, Process Unit, andFacility 118.5 Determination of Consequence of Failure . 269.2.1 Example of Calculating the Probability of a Specific Consequence . 309.5.1 Example Risk Matrix Using Probability and Cons

15、equence Categories 31Tables2.3 Factors Contributing to Loss of Containment 38.3.5-1 Three-Level Safety, Health, and Environmental Consequence Categories . 238.3.5-2 Six-Level Safety, Health, and Environmental Consequence Categories 238.3.7 Six-Level Table . 2316-1 Reference Documents 4216-2 Procurem

16、ent Information . 45iiiNonmandatory AppendicesA Damage Mechanism Definitions 47B Damage Mechanism and Defects Screening Table . 58C Table of Examination/Monitoring Methods . 65D Quantitative Methods Including Expert Opinion Elicitation 71E Examples of Risk-Based Inspection Program Audit Questions .

17、79F Suggested Practice for Evaluation of Pressure Vessels for Continued CyclicService 80ivFOREWORDASME formed an Ad Hoc Task Group on Post Construction in 1993 in response to an identifiedneed for recognized and generally accepted engineering standards for the inspection and mainte-nance of pressure

18、 equipment after it has been placed in service. At the recommendation of thisTask Group, the Board on Pressure Technology Codes and Standards (BPTCS) formed the PostConstructionCommittee(PCC)in 1995.ThescopeofthisCommittee wastodevelopandmaintainstandards addressing common issues and technologies re

19、lated to post-construction activities, andto work with other consensus committees in the development of separate, product-specific codesand standards addressing issues encountered after initial construction for equipment and pipingcovered by Pressure Technology Codes and Standards. The BPTCS covers

20、non-nuclear boilers,pressure vessels (including heat exchangers), piping and piping components, pipelines, andstorage tanks.The PCC selects standards to be developed based on identified needs and the availability ofvolunteers. The PCC formed the Subcommittee on Inspection Planning and the Subcommitt

21、eeonFlawEvaluationsin1995.In1998,aTaskGroupunderthePCCbeganpreparationofGuidelinesfor Pressure Boundary Bolted Flange Joint Assembly, and in 1999 the Subcommittee on Repairand Testing was formed. Other topics are under consideration and may possibly be developedinto future guideline documents. The s

22、ubcommittees were charged with preparing standardsdealing with several aspects of the inservice inspection and maintenance of pressure equipmentand piping.ThisStandardprovidesguidanceonthepreparationandimplementationofarisk-basedinspec-tion plan. Flaws that are identified during inspection plan impl

23、ementation are then evaluated,when appropriate, using the procedures provided in API 579-1/ASME FFS-1, Fitness for Service.If it is determined that repairs are required, guidance on repair procedures is provided in ASMEPCC-2, Repair of Pressure Equipment and Piping.This Standard is based on API 580,

24、 Risk-Based Inspection. By agreement with the AmericanPetroleum Institute, this Standard is closely aligned with the RBI process in API 580, which isoriented toward the hydrocarbon and chemical process industries. In the standards developmentprocess that led to the publication of this Standard, nume

25、rous changes, additions, and improve-ments to the text of API 580 were made, many of which are intended to generalize the RBI processto enhance applicability to a broader spectrum of industries.This Standard provides recognized and generally accepted good practices that may be usedin conjunction wit

26、h Post-Construction Codes, such as API 510, API 570, and NB-23.ASME PCC-32007 was approved by the American National Standards Institute onOctober 4, 2007.This 2017 edition was approved by the American National Standards Institute on May 11, 2017.vASME POST CONSTRUCTION COMMITTEE(The following is the

27、 roster of the Committee at the time of approval of this Standard.)STANDARDS COMMITTEE OFFICERSC. Becht IV, ChairC. D. Rodery, Vice ChairS. J. Rossi, SecretarySTANDARDS COMMITTEE PERSONNELJ. Arnold, Niantic Bay Engineering, LLCC. Becht IV, Becht Engineering BT, Inc.D. L. Berger, ConsultantM. A. Bori

28、ng, Kiefner however, they should not contain proprietary names orinformation.Requests that are not in the format described above may be rewritten in the appropriate formatby the Committee prior to being answered, which may inadvertently change the intent of theoriginal request.Moreover, ASME does no

29、t act as a consultant for specific engineering problems or for thegeneral application or understanding of the Standard requirements. If, based on the inquiryviiinformation submitted, it is the opinion of the Committee that the inquirer should seek assistance,the inquiry will be returned with the rec

30、ommendation that such assistance be obtained.ASME procedures provide for reconsideration of any interpretation when or if additionalinformation that might affect an interpretation is available. Further, persons aggrieved by aninterpretation may appeal to the cognizant ASME Committee or Subcommittee.

31、 ASME does not“approve,” “certify,” “rate,” or “endorse” any item, construction, proprietary device, or activity.Attending Committee Meetings. The Post Construction Standards Committee regularly holdsmeetings and/or telephone conferences that are open to the public. Persons wishing to attendany meet

32、ing and/or telephone conference should contact the Secretary of the Post ConstructionStandards Committee.viiiASME PCC-32017SUMMARY OF CHANGESFollowing approval by the ASME Post Construction Committee and ASME, and after publicreview, ASME PCC-32017 was approved by the American National Standards Ins

33、titute onMay 11, 2017.The 2017 edition of ASME PCC-3 includes revisions that are identified by a margin note, (17).The following is a summary of the latest revisions and changes.Page Location Change3 2.3 Second paragraph revised7 3.5 Revised3.6.1 Subparagraph (c) revised12, 13 4.4.1.6 Added4.4.1.7 A

34、dded17 6.3.3 Revised18 7.2 Revised19 7.2.3 Third paragraph revised20 7.2.4.2 Revised7.2.5 Revised21, 22 8.3.2 End of last sentence restored by errata3235 10 Revised in its entirety11.3 Revised37 13.2 Title revised38 13.2.3 Revised40, 41 15.1 Definitions for examination, examiner,holiday, inspector,

35、and testing added4244 Table 16-1 Added, replacing former Table 1645, 46 Table 16-2 Added, replacing former Table 1665 Nonmandatory Appendix Title revisedC6670 Table C-1 Title and Note (1) revised73 D-4.5.4 Revised8082 Nonmandatory Appendix F AddedixINTENTIONALLY LEFT BLANKxASME PCC-32017INSPECTION P

36、LANNING USING RISK-BASED METHODS1 SCOPE, INTRODUCTION, AND PURPOSE1.1 ScopeTheriskanalysisprinciples,guidance,andimplemen-tation strategies presented in this Standard are broadlyapplicable; however, this Standard has been specificallydeveloped for applications involving fixed pressure-containing equ

37、ipment and components. This Standardis not intended to be used for nuclear power plant com-ponents; see ASME BPV, Section XI, Rules for InserviceInspection of Nuclear Power Plant Components. It pro-vides guidance to owners, operators, and designers ofpressure-containing equipment for developing andi

38、mplementing an inspection program. These guidelinesinclude means for assessing an inspection program andits plan. The approach emphasizes safe and reliableoperation through cost-effective inspection. A spectrumof complementary risk analysis approaches (qualitativethrough fullyquantitative) shouldbe

39、consideredas partof the inspection planning process.1.2 IntroductionThis Standard provides information on using riskanalysis to develop and plan an effective inspectionstrategy.Inspectionplanningisasystematicprocessthatbegins with identification of facilities or equipment andculminates in an inspect

40、ion plan. Both the probability1offailureandtheconsequenceoffailureshouldbeevalu-ated by considering all credible damage mechanismsthat could be expected to affect the facilities or equip-ment. In addition, failure scenarios based on each credi-ble damage mechanism should be developed andconsidered.T

41、he output of the inspection planning process con-ducted according to these guidelines should be aninspection plan for each equipment item analyzed thatincludes(a) inspection methods that should be used(b) extent of inspection (percent of total area to beexamined or specific locations)(c) inspection

42、interval (timing)(d) other risk mitigation activities(e) the residual levelof risk after inspectionand othermitigation actions have been implemented1Likelihood is sometimes used as a synonym for probability; how-ever, probability is used throughout this Standard for consistency.11.3 PurposeThis Stan

43、dard presents the concepts and principlesused to develop and implement a risk-based inspection(RBI) program. Items covered are(a) an introduction to the concepts and principles ofRBI1 Scope, Introduction, and Purpose2 Basic Concepts3 Introduction to Risk-Based Inspection(b) description of the steps

44、in applying these princi-ples within the framework of the RBI process4 Planning the Risk Analysis5 Data and Information Collection6 Damage Mechanisms and Failure Modes7 Determining Probability of Failure8 Determining Consequence of Failure9 Risk Determination, Analysis, and Management10 Risk Managem

45、ent With Inspection Activities11 Other Risk Mitigation Activities12 Reanalysis13 Roles, Responsibilities, Training, andQualifications14 Documentation and Record Keeping1.4 Relationship to Regulatory and JurisdictionalRequirementsThis Standard does not replace or supersede laws,regulations, or jurisd

46、ictional requirements.2 BASIC CONCEPTS2.1 RiskEveryone lives with risk and, knowingly or unknow-ingly, people are constantly making decisions based onrisk. Simple decisions such as whether to drive to workorwalkacrossabusystreetinvolverisk.Biggerdecisionssuch as buying a house, investing money, and

47、gettingmarried all imply an acceptance of risk. Life is not risk-free and even the most cautious, risk-averse individualsinherently take risks.Forexample,whendrivingacar,anindividualacceptsthe possibility that he or she could be killed or seriouslyinjured. The risk is accepted because the probabilit

48、y ofbeing killed or seriously injured is low while the benefitrealized(either realorperceived) justifiesthe risktaken.Influencing the decision is the type of car, the safetyASME PCC-32017Fig. 2.1 Risk PlotIso-risk lineProbability of FailureConsequence of Failure31279106845features installed, traffic

49、 volume and speed, and otherfactors such as the availability, risks, and affordabilityof alternatives (e.g., mass transit).Risk is the combination of the probability of someevent occurring during a time period of interest and theconsequences (generally negative) associated with thatevent. Mathematically, risk should be expressed asrisk p probability H11547 consequenceUnderstanding the two-dimensional aspect of riskallows new insight into the use of risk analysis forinspection prioritization and planning. Figure 2.1 dis-plays the risk associated with the operation of a numb