国际标准和ASME规范中的关键词
Key Words in International Standards and the ASME Codes

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   在当今经济全球化的大潮中,采用国际标准成为国际贸易的焦点所在。在世贸组织中有一条原则是:应优先采用有用的国际标准。ASME认为列为ISO标准的不一定是有用的国际标准,而有些没有被列入ISO标准的却是事实上的国际标准,例如ASME、API标准等;虽然如此,迄今为止,被世界公认的ISO和IEC这两个大约由150个发达国家和发展中国家组成的国际标准化组织,却仍然是唯一的编写和发布具有共识性国际标准的平台。据统计,ISO已发布14000多件国际标准,IEC已发布6000多件国际标准,在这20000多件标准中,ISO9000和ISO 14000两个标准已经家喻户晓。
   鉴于一切标准都是“规则”(RULES)的集合。怎样理解这些规则是理解标准的关键。2000年在北京举办的ASME/CACI研讨会上,ASME标准部执行副总裁林琼女士特请美国锅炉和压力容器检验师总部(NB)高级参谋工程师罗伯特先生做了“这样阅读ASME规范”的精彩报告。ASME规范产品协作网(CACI)理事长赵明生又请罗伯特先生把他的报告写成一篇短文(见文献1)。在这篇报告里,罗伯特先生告诉我们ASME规范里面的每一条规则都有一个关键词。在ASME规范中随处可读到SHALL、SHOULD、MAY、CAN、WILL等5个关键词。不弄清这些词的含义就不能把握规范的真正意图。
   近年来,笔者在研究国际标准的过程中发现一个重要文件,即ISO/IEC指令。指令的第1篇为“国际标准技术工作程序”,第2篇为“国际标准的结构和起草规则”。这个文件是指导国际标准从命名、起草、结构、语言、计量单位一直到共识程序的基础性文件。其第2篇的附录G专就国际标准中使用的关键词和同义语做了规定,但比罗伯特先生提出的少了一个关键词WILL。ISO/IEC指令为所有从事编写、阅读和使用国际标准乃至从事将本国标准翻译为英语的人们的必读文件。
   以下将按照SHALL、SHOULD、MAY、CAN的顺序(包括SHALL NOT、SHOULD NOT,NEED NOT和CANNOT及其同义语),以引举实例的方法对这些关键词加以说明。对MUST这个没有被列入关键词的特殊词的用法在说明SHALL时加以例示。对使用最频繁的关键词SHALL列出与之有关的常用句型。最后举例说明ASME规范中关键词WILL。
   本文分5段:第1段论述关键词SHALL,这一段又分例句、同义语、MUST的使用和SHALL常见句型等4个小段;第2段论述关键词SHOULD;第3段论述关键词MAY;第4段论述关键词CAN;从第2到第4段各有例句和同义语2个小段;最后一段论述关键词WILL。
   文中的4个表都引自ISO/IEC指令。引举的60个例句都注明出处。

一、表示“要求”的关键词及其同义语
   罗伯特先生说:ASME规范不是设计手册,是以“要求”为主构成的文件。在ISO和ASME标准中表示要求的方法是采用关键词SHALL(表1)。在ISO/IEC指令中指出:为避免与文件和法律上强制性用语相混淆,不可使用“MUST”作为“SHALL”的代用词。当表示一项禁止的含义时,也不可使用“MAY NOT”代替“SHALL NOT”。“SHALL”的含义是需要严格地符合文件要求,执行中不得有任何偏差。SHALL有“必须”的含义。但对于更为严肃地强调“必须”的法律文件用语MUST,在规范和标准里面并非杜绝使用,而是在特殊情况下经常使用的。关于这一点,请看后面的例子。
表1国际标准中表示“要求”的关键词

关键词

特殊情况下采用的同义语

Shall

is to
is required to
it is required that
has to
only….is permitted
it is necessary

Shall not

is not allowed [permitted][acceptable][permissible]
is required to be not
is required that….be not
is not to be

1.1例句
   1)These processes shall be managed by the organization in accordance with the requirements of this International Standard.(ISO 9001,4.1)该组织应遵照这个国际标准的要求管理这些过程。
   2)Top management shall review the organization’s quality management system, at planned intervals, to ensure its continuing suitability, accuracy and effectiveness(ISO 9001,5.6.1)高阶管理层按照事先计划的间隔期间、审查该组织的质量管理系统,确保其持续的适切性、正确性和有效性。
   3)Criteria for evaluation of indications and acceptance criteria shall be consistent with material types and thicknesses, design factors and equipment applications.( ISO/WG 16528-1, 7.5.5) 对显示的评定和验收准则与材料的不同的类型和厚度、设计系数(即过去的安全系数)和设备的用途相协调。(这里,“显示”一词是指各种无损检测方法中所得到的信号,评定这些信号是否是缺陷,其验收准则要取决与以上各种要素,不能一概而论。用设计系数代替安全系数,是纠正安全系数的提法会产生误导。)
   4)All materials that are to be tested in accordance with the requirements of UG-84 shall be inspected for surface cracks.[UG-93d2]. 所有需按照UG-84的要求作冲击试验的材料,对表面裂纹进行检查。(表面裂纹相当于表面缺口,会大大影响冲击试验的结果。)
   5)For openings exceeding these limits, supplemental rules of 1-7 shall be satisfied in addition to UG-36 through UG-37.[UG-35b] 超越这些范围的开孔,除需满足UG-36到UG-37的要求外,还满足附录1-7的补充规则。
   6)Fatigue cracking shall usually only be taken into account only for normal operating conditions. [ISO/WG 16528-1, A.1.8] 一般,疲劳开裂只应在正常操作条件下考虑。
   以上几个例子都把SHALL翻译为“应”,还是目前比较好的选择。我国台湾ISO 9001:2000的译本中把SHALL译为为“应”、“应该”和“必须”的三种情况都有。
   1)译为“”的例子:The management responsible for the area being audited shall ensure that actions are taken without undue delay to eliminate detected nonconformities and their causes.(8.2.2) 被稽核区域的管理者确保采取立即矫正措施,以消除所发现的不符合事项及其原因。
   2)译为“应该”的例子:The organization shall deal with nonconforming product by one or more of the following ways. (8.3) 针对不合格品,组织应该采取下列一项或多项措施。
   3)译为“必须”的例子:Evidence of conformity with the acceptance criteria shall be maintained. Records shall indicate the person(s) authorizing release of product.(8.2.4) 符合允收准则的证据必须被维持。记录包括产品放行的权责人员。(前后二个句子中的SHALL采用二种译法)

1.2同义语
   1)The intent of this International Standard is also to assist standard issuing body in declaring conformance of codes and standards which satisfy these criteria by filling the conformance tables established in clause 4.( ISO/WG 16528-1, 3b) 本国际标准的意图还在于帮助标准颁发机构通过填写第4条规定的符合性表、宣称满足这些准则的规范和标准是符合准则的。
   2)The use of nameplate is mandatory for shell thickness below 1/2 in. [ULT-115c ]壳体厚度在1/2 in.以下时,必须采用铭牌。
   3)Except as otherwise permitted in (a) above and 27-3, vessels designed for internal pressure shall subjected to a hydrostatic test pressure.[UG-99b ]除上述(a)和附录27-3另有允许者外,按内压设计的容器应经受水压试验。
   4)No improvement in longitudinal joint efficiency is permitted because of additional nondestructive tests.[UW-2a3b3]不允许因增加了无损检测而提高纵向接头系数。
   5)If the vessel test plate fails to meet the impact requirements, the welds represented by the plate shallbe unacceptable (shall not be acceptable).若容器试板不能满足冲击要求,则试板所代表的焊缝不合格。

1.3MUST的使用
   1)When practical, the final inspection must be carried out internally and externally on every part of the equipment.[ ISO/WG 16528-1, 7.6.1] 如可以做到的话,最终检验必须对设备的每一个部位进行内部和外部的检验。(这里,MUST是强调容器每一个内、外部检验的必要性)
   2)For tests other than the hydrostatic pressure test, additional measures, such as non-destructive tests or other methods of equivalent validity, must be applied before those tests are carried out.[ ISO/WG 16528-1, 7.6.2] 如进行的试验不是水压试验,则必须在进行这些试验之前先进行无损检测或其他具有相同有效性方法的额外试验。(这里,采用MUST是强调如进行的不是水压试验,则在试验前进行无损检测或其他等效试验的必要性)
   3)Any question concerning the calculations raised by the Inspector must be resolved.[U(e)] 检验师提出的任何有关计算的问题,都必须解决。(强调检验师提出的计算问题必须解决,不可等闲视之。)
   4)If the part needs to be welded subsequent to the oxidation treatment, the oxide layer must be removed before welding.[NF-14d] 倘若该零件需要在氧化处理后进行焊接,则焊接前必须将氧化层除掉。(强调焊前去处氧化层极为重要)
   5)The markings must be recorded so that each plate will be positively identified in its position in the completed vessel to the satisfaction of the Inspector.[UG-77b] 必须记录下各个标记,使成品容器上每一块板的位置都能辨认无误,取得检验师的满意。(强调记录每一块板上的标记极端重要)
   6)For parts which are essential to vessel strength such as stiffener rings, the attachment of the part to the shell must provide adequate corrosion allowance or protection to assure the required strength throughout the service life.[E-6]对容器强度起重要作用、像加强圈之类的零件,为保证在整个使用期间具有所要求的强度,其与壳体连接时必须具有足够的腐蚀裕量或保护,。(强调对容器强度起重要作用的零件必须有足够的腐蚀裕量或保护,以保证在容器寿命期内不丧失强度)
   7)One thing which is common to all standards is that they must address the various failure modes which are applicable to boilers and pressure vessels. [ISO/WG 16528-1, B.1] 所有的标准都一件共同的事,它们都必须关注适用于锅炉和压力容器的各种失效模式。
   8)It must be recognized that the user (or his Engineering Contractor) is responsible for defining the service conditions and therefore, by default, the potential failure modes. [ISO/WG 16528-1, B.1] 必须认识到,界定使用条件是用户(或他的工程承包人)的责任,因此,不言而喻,也包括各种失效模式。

1.4从“SHALL”演变出来的常见句型:
consideration shall be given to,
one shall satisfy oneself that,
shall apply,
shall be a mater of prior agreement between,
shall be determine,
shall be equipped with,
shall be evaluated for,
shall be examined to make certain,
shall be in conformance with,
shall be inspected for,
shall be less than that,
shall be limited to,
shall be protected by,
shall be proved of,
shall be provided with,
shall be satisfied,
shall be subject to,
shall be such as to
shall be supplied with,
shall be taken from…andnot from,
shall be taken on…and not on
shall be the basis for rejection of,
shall be the lowest expected in service
shall be the smaller of,
shall be used in conjunction with,
shall be witnessed by and acceptable to,
shall be…so as to,
shall conform to all applicable requirements of,
shall conform to one of,
shall establish the design requirements for,
shall make available to,
shall not be considered as contributing to,
shall preferably be,
shall serve as the basis for,
shall take into consideration,

二、表示“建议”的关键词及其同义语
   “建议”用语是表示在几种可能的选择之中,某一种特别适合(particular suitable)。表示某一建议时,无须指出、也无须排除别的选择;也无须指出最好采取而不一定要求的某种行动,或指出反对的但不禁止的某一行动。“建议”采用关键词SHALL的虚拟态SHOULD。由于ISO/IEC标准是使用英语和法语两种文字同时发布的,在ISO/IEC指令中特别提醒这个语境在法语中切勿使用“DEVRAIT”。因为可能会被误解为另一种含义。表2中虽列出同义语OUGHT TO和OUGHT NOT TO但极少见到,在ASME规范里面几乎没有。
表2 国际标准中表示“建议”的关键词

关键词

特殊情况下采用的同义语

Should

it is recommended that
ought to

Should not

it is not recommended that
ought not to

   SHALLSHOULD有很大区别,前者是硬性规定,后者是软性规定。凡出现SHALL 的句子,意味着必须一丝不苟、不出任何偏差地符合条款的内容;反之,凡出现SHOULD的句子意味着标准认为是一种最好的选择,或被经验或事实证明是一种最好的做法,但没有强迫别人去这样做,也可能还有更好的选择。因此,如果把SHALL和SHOULD都翻译为“应”或“应该”,就把二者的区别抹掉了,就看不出标准中使用SHALL和SHOULD的用心所在。由于我国出版的各种英汉词典在SHOULD这个词的释义中都有“应当”、“应该”的含义,很多译者就把它用于ASME规范的翻译,因此造成SHALL和SHOULD泾渭不分。这是ASME规范翻译中长期存在、牵动全局的一大难题。由于规范的用语是严谨的,关键词的含义不能有多种解释,只能有不会被误解的唯一解释。也不能从词典的众多解释中选择一种来解释规范中的含义,而只能从规范本身对这个词的定义来解释它的含义(ASME B31.1中有关于SHALL和SHOULD的定义)。在下面的例子中笔者尝试对SHOULD这个关键词的翻译,甚望读者留意其与SHALL的差别。
例句
   1)Processes needed for the quality management referred to above should include processes for management activities, provision of resources, product realization and measurement. 上述质量管理体系所需的过程理当包括管理、资源提供、产品实现和量测这些过程。”(ISO 9001)。
   2)These modes of failure should be taken into account for all loading conditions of a vessel.[ ISO/WG 16528, A.1.2]对于一台容器的所有载荷条件都计及这些失效模式。(或译为:对一台容器的所有载荷条件建议都要考虑这些失效模式。)
   3)All threaded connections should be treated with a suitable antiseize compound.[NF-13c]所有的螺纹连接最好采用适合的抗咬死剂加以处理。(或译为:建议采用适合的抗咬死剂处理所有的螺纹连接。)
   4)Because of different thermal coefficients of expansion of dissimilar materials, caution should be exercised in design and construction…in order to avoid difficulties in service under extreme temperature conditions,…[Note,UG-18] 在设计和建造中理当注意由于不同材料具有不同的热膨胀系数,…要防止在极端温度条件下使用时出现麻烦。
   5)The user or the contracting party should establish the technical requirements for the boiler or pressure vessel taking into consideration factors associated with all aspects of use.[ISO/WG 16528-1,5] 使用方或合同方理应建立有关锅炉、压力容器使用各个方面的技术要求
   6)This mode of failure should be taken into account only under normal operating conditions.[ ISO/WG 16528-1, A.1.3] 建议只在正常操作条件下考虑这一失效模式(指蠕变断裂失效)
   7)Adequate heat treatment following forming and welding operations is important to prevent brittle fracture and this should be clearly defined by the Standard.[ ISO/WG 16528-1, A.1.4] 成形和焊接操作后进行适当的热处理对防止脆断是重要的,对这一点建议在标准中加以清晰说明。
   8)Most Standards specify a minimum temperature at which the hydrostatic test should be carried out.[ISO/WG 16528-1, A.1.4] 多数标准都指定进行水压试验的最低温度。
      
9)Should a risk of failure by instability exist, incremental collapse would have a worsening effect on this risk. [ISO/WG 16528-1, A.1.7] 倘若存在失稳失效的风险,则渐次垮塌将起到对这一风险变得更加严重的作用。(此处的should = if,不是关键词)
   10)The limit state should be taken into account when considering any particular failure mode. [ISO/WG 16528-1, A.2] 当考虑任何一种特定的失效模式时,理应考虑其极限状态。
同义语
   
1) It is recommended that the user or his designated agent assure himself that material used for the construction of the vessels will be suitable for the intended service.[UG-4f]建议用户或其指定代理人要确信容器建造所用材料是适合于预期工况的。
   2) It is recommended that no welding of any kind be done when the temperature of the base metal is lower than -18o C.[UW-30] 建议当母材温度低于-18o C时,不做任何种类的焊接。
   3) It is intended that the Manufacturer, subject to the acceptance of the Inspector, shall provided details of design and construction which will be as safe as those provided by the rules of this Division.[UG-2g ] 建议制造商提供与本册规则有同样安全的设计和建造细节并取得检验师的认可。

三、表示“允许”的关键词及其同义语
表3中指出的关键词“允许”和“无须”的用语指出在本文件范围内(within the limits of the document)所允许的或无须进行的行动过程(course of action)。ISO/IEC指令指出,在这个语境中不可使用“POSSIBLE”或“IMPOSSIBLE”,也不可使用“CAN”来代替“MAY”。
因为文件中的“MAY”表示允许,而“CAN”是关于文件使用者的能力或对他(她)的可能性。指令中又指出由于法语中的动词“POUVOIR”兼有“允许”和“可能”的双重含义,为避免误解,建议使用别的表达方式(同义语)。
表3 国际标准中表示“允许”的关键词

关键词

特殊情况下采用的同义语

may

is permitted
is allowed
is permissible

need not

it is not required that
no…. is required

例句:
(1)A particular Standard may address all or some of the failure modes listed in Section 6.2
of ISO 16528-1.[ ISO/WG 16528-2, 4] 一件特定的标准可以瞄准ISO 16528-1第6.2
节所列出的全部失效模式,也可只瞄准其中几种失效模式。(表示“允许”)
(2)Integrally finned tubes may be made from tubes that conform in every respect with one
of the specifications given in Section II.[UG-8b] 整体翅片管可采用在各方面都符合
II卷某一材料标准的管子来制造。(“可采用”也可译为“允许采用”)
Brazing may be used if the vessel is not to be later stress relieved.[UG-30a ] 如容器以后不作消除应力处理,则也可采用钎焊。(表示“允许”)
Welders not in the employ of the Manufacturer may be used to fabricate pressure vessels, provided all the following conditions are met.[UW-26d ] 如满足以下所有条件,则不是该制造商所雇佣的焊工也可用于制造符合本册要求的压力容器。(有条件的“允许”)
The bolt-up condition need not be considered when determining the temperature reduction for flanges[Note, UCS-66b1c] 在确定法兰的温度降低值时,无须考虑螺栓的紧固状态。
The Inspector need not witness the transfer of the marks but shall satisfy himself that it has been correctly done.[UG-77a] 检验师无须到场见证标记的转移,但检验师应使自己确信所做的标记转移是正确的。
同义语
Local plastic deformations which remain confined enough to exclude any risk of collapse are permitted by the design rules covering the above fracture modes provided that the parent material and the welded areas have a sufficient plastic deformation capacity.[ ISO/WG 16528, A.1.1] 倘若母材和焊缝区具有充分的塑性变形能力,则根据以上断裂模式的设计规则,被一直受到限制、足以排除任何垮塌风险的局部塑性变形是允许的。(说明允许存在局部塑性变形的条件)
When physical marking is not practical, alternative means are allowed such as records traceable to the boiler or pressure vessel or a suitable label attached to the boiler or pressure vessel.[ ISO/WG 16528-1, 7.7] 倘若在实体上打标记不可行,则允许采用可以追溯锅炉压力容器的记录或在锅炉压力容器上贴标签等一些别的方法。
It is not required that any particular Standard addresses all the failure modes listed in Section 6.2 of 16528-1.[ ISO/WG 16528-2, 4]任何一件特定标准都关注16528-1第6.2节所列出的所有失效模式是无此必要的。
It is permissible to use any departures suggested herein from provisions in the mandatory parts of this Division when granted by the authority having legal jurisdiction over the installation of pressure vessels.[M-1] 倘若为压力容器安装监管当局所允准,则采用任何这里所提议的、相违于本册强制性部分的条款是允许的。
四、表示“可能”和“能力”的关键词及其同义语
表4指出关于“可能”和“能力”的关键词“CAN”和“CANNOT”是对材料、实体和原因上的“可能”和“能力”的陈述。在这个语境中同样不可使用“POSSIBLE”或“IMPOSSIBLE”,也不可使用“MAY”来代替“CAN”。
表4 国际标准中表示可能和能力的关键词

关键词

特殊情况下采用的同义语

can

be able to
there is possibility of
it is possible to

cannot

be unable to
there is no possibility of
it is not possible to

例句:
Failure by incremental collapse can occur in vessels subjected to combined loadings, some of which remaining fairly uniform, whereas others showing large cyclic variations.[ ISO/WG 16528-1, A.1.7] 在承受组合载荷的容器中可能产生其中某些载荷一直保持比较均匀而另一些载荷出现周期性变化很大的、渐次垮塌失效。
The nonferrous materials can be formed and fabricated into a variety of types of assemblies with the same types of fabricating equipment as are used for steel.[NF-2]采用与用于加工钢材相同类型的设备,可把非铁基材料成形、制作成各种形式的组件。
The nonferrous materials can be machined with properly sharpened tools of high-speed steel or cemented carbide tools.[NF-8] 非铁基材料可采用适当锋利的高速钢或硬质合金刀具进行机加工。
In general, nonferrous materials cannot be cut by the conventional oxyacetylene cutting equipment commonly used for steel.[NF-7]一般,非铁基材料不可能采用常用于切割钢材的传统氧乙炔设备进行切割。
同义语
It is possible
that only specific failure modes are addressed by a particular Standard covering a specific or limited scope.[ ISO/WG 16528-2,4] 覆盖特殊或有限范围的特定标准,可以只瞄准几种特定的失效模式。
In order to be able to claim compliance with a document, the user needs to be able to identify the requirements he/she is obliged to satisfy.[ISO/IEC Directives, Part2, 6.6.1.1]为了有能力宣称符合一个文件,使用者应有能力把他(她)所必须满足的要求弄清楚。
It is possible for the bolt stress to decrease after initial tightening, because ofslow creep or relaxation of the gasket, particularly in the case of the “softer” gasket materials.[S-1] 在螺栓被初步紧固之后,由于垫片的缓慢蠕变或松弛,特别是采用的是“比较软的”垫片材料,则螺栓应力的下降是可能的。
It will be impossible to develop the desired stress in very large bolts by ordinary hand wrenching.[S-1] 对于极大的螺栓,如采用一般的手工扳紧方法,要想得到所期望的应力是不可能的。
With some of these methods, control of bolt stress is possible by means inherent in the procedure, especially if effective lubricants are employed.[S-1] 采用这些方法中的某些方法,利用程序本身的措施,特别是使用有效的润滑剂时,则控制螺栓的应力是可能的。
五、ISO和ASME标准中WILL的用法
根据罗伯特先生的解释,WILL或SHALL都是表示强制性的规则,据此,以下例子的译法应当是:
All plates for shell sections and for heads shall be formed to the required shape by any process that will not unduly impair the physical properties of the material.[UG-79a ]所有用于筒节和封头的板材,应以任何不得过分损伤材料物理性能的方法成形到所需形状。
Some attachments, such as intermittent welds, require protection on both face and root sides; alternatively, continuous welds or a suitably sized seal welds between the strength welds will provide protection for the root side.[E-6] 像间断焊缝这样的连接,需将焊缝表面和焊缝根部都保护起来。另一方面,连续焊缝或在受力焊缝之间具有适当尺寸的密封焊缝,将焊缝根部保护起来。
The successful use of either NFPA 69 or Section III criteria for deflagration events requires the selection of materials of construction that will not fail because of brittle fracture during the deflagration pressure excursions.[H-4.1 ] 要成功地使用NFPA 69或第III卷的准则用于爆燃事件,要求选择的建造材料不得由于在爆燃压力偏移期间产生脆性断裂而失效。
Liner welds that are attached to the base metal, but merely cross the seams in the base metal, may be examined by any method that will disclose surface cracks.[UCL-36] 与基层连接的衬里焊缝如仅仅是与基层中的焊缝十字相交,则可以使用任何一种发现表面裂纹的方法进行检测。
This standard addresses a minimum set of failure modes and technical requirements that will aid users of this standard in determining appropriate applications.[ ISO/WG 16528-1,4]本标准只针对一组最少数的失效模式,以有助于标准的使用者确定适当的应用范围。
在结束本文之际,下面笔者将引用“ISO/IEC指令”和“ISO/WD 16528-1”中的两段话与读者共勉之:
在一份文件或一系列相关文件中应通篇采用同一个术语来表达一个已知的概念。对于已有定义的概念应避免采用另一个术语(同义词)。对于每一个选用的术语应尽量做到只有一个意思。这些要求不仅可保证文件的词义,对于文本的自动化处理和计算机辅助翻译也可带来极大好处,是极为重要的(IS0/IEC指令,第2篇,4.3)。
压力设备标准实质上是成功的思想、经验和研发成果取得共识的精华(consensus distillation),在压力设备标准中,这些共识的精华表现为行之有效的规则和最低要求(ISO/WD 16528-1,Annex B –1)。
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