ASHRAE Standards Committee Training –

An Introduction to the Essential ElementsPresented by:

H. Michael NewmanStandards Committee Chair

AgendaI. Standards Committee Overview

II. Standards Committee Subcommittees

III. Standards Committee Documents

IV. Governance, Policy and Procedure

V. Development Process

VI. Conclusions and Contact Information

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StdC Composition• The Standards Committee (StdC) is a

standing general committee of the Board of Directors (BOD).

• Members are elected by the BOD. • The StdC consists of 26 voting members,

including a Chair and a Vice Chair, a BOD Ex-Officio (ExO) member and a Technology Council Coordinating Officer (CO).

• Members of the StdC are elected for four year terms.

• Members are selected from various interest groups to prevent dominance of any single interest.

StdC Responsibilities• The StdC is responsible for the formation of

Project Committees (PCs), and the:– development – preparation– interpretation– revision– reaffirmation– withdrawal, and – submittal of ASHRAE Standards Actions to the BOD

for approval.(A "Standards Action" is a decision, based upon a vote, to recommend or approve publication of a new, revised, or reaffirmed standard or guideline, or withdrawal of a standard or guideline.)

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StdC Responsibilities • The StdC cooperates with and supervises the

Society’s participation in other organizations including:

– Air Conditioning Contractors of America (ACCA)– Air-Conditioning, Heating and Refrigeration Institute (AHRI)– American Industrial Hygiene Association (AIHA)– American National Standards Institute (ANSI)– American Society of Mechanical Engineers (ASME)– International Electrotechnical Commission (IEC)– International Organization for Standardization (ISO)– National Electrical Manufacturers Association (NEMA)– National Fire Protection Association (NFPA)– Sheet Metal and Air Conditioning Contractors National

Association (SMACNA)– U.S. Green Building Council (USGBC)

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StdC ExCom• The StdC Executive Committee

(ExCom) is comprised of the Chairs of the StdC subcommittees and:– addresses strategic planning issues,– reviews and makes recommendations

on operations of the StdC,– assigns responsibilities to

subcommittees of the StdC,– reviews subcommittee agendas,– addresses complaints of actions or

inactions of the subcommittees of the StdC, and

– informs Tech Council of extraordinary issues which may come before the BOD.

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StdC ExCom

• StdC ExCom consists of:– The Chair and Vice Chair of the

StdC• Chair – H. Michael Newman• Vice Chair & SRS Chair – Carol Marriott

– Subcommittee Chairs• CIS Chair – Frank Myers • ILS/ISAS Chair - Jay Kohler• PPIS Chair – Ken Cooper• SPLS Chair – Doug Reindl• TCLS Chair – Michael Woodford

StdC Subcommittees

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Subcommittee Responsibilities• Each member of the StdC, except the Chair

and possibly the Vice Chair, is appointed to one or more subcommittees.

• Subcommittees are responsible for:– Tracking the status of PCs.– Recommending ASHRAE appointments to

standards-writing committees of other organizations and monitoring their activities.

– Maintaining ASHRAE participation in the canvass balloting activities of other standards-writing organizations, and…

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Subcommittee Responsibilities (cont.)

– Assuring the timely maintenance of existing standards in accordance with ASHRAE procedures.

– Forming interpretations committees for standards when project committees do not exist.

– Considering requests for development of joint sponsorship agreements.

– Acting in coordination with cognizant ASHRAE Technical Committees, Task Groups or Technical Resource Groups (TC/TG/TRG) to recommend reaffirmation or withdrawal of standards.

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How does it all get done?Through the following StdC subcommittees:

•CIS•ILS/ISAS•PPIS•SPLS•SRS•TCLS

What is this alphabet soup?

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CISCode Interaction Subcommittee

• Encourages the use of ASHRAE standards in codes through the help of the Code Development Committee.

• Attends Code Hearings.

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ILS/ISAS

Intersociety Liaison Subcommittee &International Standards Advisory Subcommittee

• ILS responds to requests for liaisons and reviews other organizations’ drafts (e.g., NFPA).

• ILS maintains ASHRAE's participation in standards prepared by other organizations using the canvass method.

• ISAS monitors, reports and submits recommendations to ILS concerning ASHRAE’s regional and international standards activities.

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PPISPlanning, Policy, and Interpretations Subcommittee • Reviews and updates StdC procedures

including PASA, PAGA, ROB changes that relate to StdC, StdC MOP and PC MOP.

• Recommends formation of new PCs.• Forms interpretation committees for ASHRAE

Standards and Guidelines when PCs do not exist.

• Evaluates requests for development of Joint Sponsorship Agreements for StdC endorsement and TechC and BOD approval.

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SPLSStandards Project Liaison Subcommittee • Oversees the development of new and revised

standards, guidelines, addenda, and user manuals.• Recommends approval of PC Chairs and policy level

PC rosters, and approves non-policy level PC rosters.• Approves PC work plans and unit waiver requests and

recommends StdC approval of standing PC work plans.

• Approves changes to Titles, Purposes and Scopes (TPS) for non-policy level PCs and recommends StdC approval of policy level TPS changes.

• Approves Publication Public Review for Standards Committee Documents (SCDs).

• Members serve as liaisons from the StdC to the PCs.

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SRSStandards Reaffirmation Subcommittee • Recommends reaffirmation, revision or

withdrawal of existing standards and guidelines.

• Acts in lieu of a PC for reaffirming existing standards and guidelines.

• Acts as a revision project committee when only revisions to the references are needed that do not result in a substantive change to the standard or guideline.

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TCLSTechnical Committee Liaison Subcommittee • TCLS is comprised of StdC members who

serve as liaisons from the StdC to the technical committees (TCs) and the Environment Health Committee (EHC).

• TCs recommend whether to develop new standards and guidelines, or revise or reaffirm existing standards and guidelines.

• A TC may also recommend to withdraw an existing standard.

Project Committees• PCs are responsible for the technical content

of ASHRAE standards and guidelines and the consensus process.

• StdC supervises the work of project committees to ensure that approved procedures are followed.

• The final responsibility for ASHRAE SCDs rests with the BOD.

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Policy-level Committees

• SSPC 161• SPC 189.1• SPC 191• GPC 24 (Companion to 62.2)• GPC 29

• SSPC 34• SSPC 62.1• SSPC 62.2• SSPC 90.1• SSPC 90.2

• Policy-level PCs receive a higher level oversight for policy-level standards and guidelines. These include:

Governance, Policy and Procedure

Governance, Policy & Procedure Documents

• Rules of the Board – ROB• Standards Committee Manual of Procedures –

StdC MOP • Project Committee Manual of Procedures –

PC MOP• Procedures for ASHRAE Standards Actions –

PASA• Procedures for ASHRAE Guidelines Actions –

PAGA• ANSI Essential Requirements

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Governance, Policy & Procedure Documents

The latest revisions of these essential documents are currently available on the ASHRAE website:• http://www.ashrae.org/technology/page/97 (Home>Technology>Standards Forms & Procedures)

or from the StdC FTP site in the Procedures folder:• ftp.ashrae.org

Username: stdpublicPassword: Ashrae2k7

Rules of the Board• The Rules of the Board of Directors (ROB) is

a compendium of standing rules and motions that govern the Society, its members, councils and committees, chapters and staff.

• The ROB consist of five books: – Volume 1: Governing Documents, Policies and

Position Documents– Volume 2: Board, Council and Committee Rules– Volume 3: Manuals and Procedures– Volume 4: Active Sunset Rules and Interpretations– Volume 5: All Historical Documents and Rescinded

Rules

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StdC Manual of Procedures• The StdC MOP describes the procedures for

officers, members, staff liaisons and subcommittees of the StdC in order to accomplish the committee’s responsibilities and purpose.

• The StdC MOP also includes:– Guidelines for awards– Joint sponsorships– Approval process for StdC Documents– StdC reimbursement guidelines– StdC liability policy statement– Procedure for revising rules

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ANSI Accreditation• ASHRAE is ANSI-accredited as an ANSI

Audited Designator. • Continued accreditation is based on

ASHRAE’s standards development practices and procedures meeting the criteria for accreditation given in ANSI Essential Requirements: Due process requirements for American National Standards (commonly referred to as the ANSI Procedures).

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Three Legs of the Stool for ANSI’s Rules

Balance

OpennessDue Process

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Due Process• Any person, organization, company,

government agency, or other entity, with a direct and material interest has a right to participate by: a) expressing a position and its basisb) having that position considered, and c) appealing if adversely affected

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Due Process

Due process allows for equity and fair play

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Openness• Participation shall be open to all

persons who are directly and materially affected by the activity in question.

• There shall be no undue financial barriers to participation.

• Timely and adequate notice of any action to create, revise, reaffirm, or withdraw a standard, and the establishment of a new consensus body (PC) shall be provided.

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Openness• Participation in a process is not necessarily

the same as membership or vote on a committee.

• Participation can be as simple as submitting a public review comment.

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Balance• Balance means at the time a

standards action is taken:a) No single interest category constitutes

more than one third of the membership of a committee dealing with safety

b) No single interest category constitutes a majority of the membership of a committee dealing with product standards

• Interest categories could include, but are not limited to:– producer– user– general interest

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Balance

• A committee of eleven people with 5 producers (5/11 =

45%)4 users (4/11 =

36%)2 general interests (2/11 =

18%)

is balanced* !!* For a non-safety related standard

StdC Documents

Policy on Standards- Related Documents

ASHRAE Policy*:• Place emphasis on development of

documents that establish ASHRAE as the leader in HVAC&R technology, providing state-of-the-art best-practice guidance that advances the arts and sciences of the industry.

*ROB 1.201.004.2

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StdC Documents• There are four types of Standards Committee

Documents (SCDs):1. Standards

A. Method of Test and Classification StandardsB. Design StandardsC. Protocol StandardsD. Rating Standards

2. Guidelines3. User Manuals4. Code Change Proposals

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Standards

Note: All standards shall be written in definitive mandatory language.

Method of Test and Classification Standards

• Provide a uniform set of procedures and processes for determining the performance of a system, equipment, or thermal fluids/refrigerants.

• Identify a uniform method of testing.• Identify test equipment for performing such tests.• Identify data required and calculations to be used.• Establish definitions and terminology.• Define minimum requirements for code application.

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Standards (cont.)

Design Standards • Provide at least one prescriptive method for minimum

compliance, indicated in tabular or similar easy-to-follow format, while providing practical, minimum, cost-effective measures.

• May outline alternative performance compliance paths in the standard, with details provided separately in normative appendices.

• Provide cost-effective solutions while defining minimum compliance requirements for code applications.

• Address the primary scope issue only, though they may identify related issues of concern (but these should be addressed separately).

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Protocol Standards • Typically provide uniform practice, procedure or

performance requirements as well as establishing reference information.

• May include requirements that are not limited to calculations, construction, inspection, installation, maintenance, services and operations.

• May include reference information that is not limited to conditions, data, definitions, descriptions, designations, factors, identifications, terminology and symbols.

Standards (cont.)

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Rating Standards • Set forth a method of interpreting the results of tests of

individual units, at specified conditions, for a product manufactured in quantity.

• A rating standard provides for the certification of performance ratings, at stated rated conditions. (Examples: ASHRAE Standards 127 and 128.)

Standards (cont.)

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Guidelines • Shall be written in informative language.• Shall provide state-of-the-art design or best practices

that offer more stringent solutions than code minimums.

• Shall provide information on system selection, design approaches, practices and goals as well as setting optimum achievable performance levels.

• May address issues of concern such as startup and commissioning, operation and maintenance, and assurance that the goals of the associated standard (if any) are achieved.

• May offer guidance secondarily to designers/ manufacturers of building equipment, components and materials.

Guidelines

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User Manuals • Provide detailed design applications, with more

practical examples and solutions.• Go above and beyond the performance requirements

of a design standard or guideline or minimum compliance level.

• Are not necessarily the standard of care and do not cover all potential alternatives.

• Are often used for educational purposes.

User Manuals

Code Change Proposals • Provide a single, simple and direct prescriptive method

for minimum compliance of the data or practice contained in a standard.

• Have identical technical content to the standards from which they are prepared.

• Shall be in an easy-to-follow format.

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Code Change Proposals

Development Process -

The Basic Steps

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Development Process – The Basic Steps

1. Someone recommends that a standard/guideline be developed. The requesting party recommends a chair and at least four other members.

2. An SPLS Liaison is assigned by the SPLS Chair.3. The SPLS Liaison consults with the cognizant TC

and recommends a PC Chair.4. The PC Chair recommends a membership roster.

See the PC MOP for the types of members. Besides Individual members there may be Organizational Members and International Organizational Liaisons. This step must be completed within one year from approval of the PC.

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Development Process – The Basic Steps

5. The PC develops a Work Plan. The Work Plan should contain at a minimum several basic elements:• the approved TPS • the 5-year ANSI cycle date for revision projects• major project milestones and estimated date of

completion for each• interest category plan• a communication plan to promote

consensus prior to public review• style and format information

6. The PC then holds meetings and writes the standard or guideline.

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Development Process – The Basic Steps

7. The PC votes to recommend a Publication Public Review (PPR) of its draft. This requires affirmative votes from the majority of the voting membership plus at least 2/3 of those voting, not including abstentions and invalid or unreturned ballots.

- Staff processes the draft for public review (“Fast Track” SCD) provided that:

a) there are no negative votes within the PC, b) there is no credible threat of legal action (in writing), c) the proposed draft is not related to a policy level standard,

and d) the SPLS Liaison has not notified MOS within 10 working

days that the PC has violated due process.- Otherwise, SPLS must approve the document before it

can be issued for public review (Normal Track SCD).

Sidebar: Voting Requirement Example

• To pass a Standards Action (e.g., recommendation for publication) a “supermajority vote” is required. That is, affirmative votes from a majority of the voting membership, and affirmative votes from at least 2/3 of those voting. Abstentions do not count in the total.

• Example for a committee with 24 voting members:

– Criterion 1 states that a majority of the membership must vote "yes": majority = 13 affirmative votes

– Criterion 2 states that 2/3 of those voting (excluding abstentions) must also vote affirmatively: if all PC members vote with no abstentions, then 2/3 of 24 = 16 total affirmative votes are needed to pass a Standards Action.

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Letter/Email Ballots• StdC MOP: Persons who cast negative votes

with comments on a letter/email ballot shall be requested to comment on the reasons for their negative votes so that others may be given an opportunity to reconsider their vote.

• Staff note: When responding via email, do not hit "reply all."

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Development Process – The Basic Steps

Note: a new procedure called an Advisory Public Review (APR) is now available to PCs if the PC believes that a draft, or portion of the draft SCD, contains new, unusual or potentially controversial elements that the PC believes would benefit from increased public scrutiny prior to finalizing the draft for PPR. With an APR, all comments are considered "supportive" and do not require a formal response.

A PC may vote by majority of the voting membership to recommend an APR and the review period. The SPLS Liaison and SPLS Chair approve the request.

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Development Process – The Basic Steps

8. Public Review comments are logged in the online comment database and are reviewed by the project committee.

9. The PC develops written responses to PPR comments and votes to approve them prior to sending the responses to commenters.

10.Commenters reply, indicating whether they are "resolved" or "unresolved." • Non-responding commenters are considered

“resolved” if they do not respond after being notified that they must indicate within 30 days, whether or not the PC response resolves their comment.

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Development Process – The Basic Steps

11. If substantive changes are made, the draft requires another Public Review.

12. If no substantive changes are made, the PC Chair submits the publication package for approval by StdC, and the BOD.

Sidebar: Substantive Change

What is a substantive change?

Official definition: A substantive change is any change that involves an important (has value, weight or consequence), fundamental (is the foundation, without which it would collapse), or essential part (belongs to the very nature of a thing), or changes the meaning of the material or that directly and materially affects the use of the standard.

Rule of thumb: A substantive change is anything that changes the requirements of the standard.

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Sidebar: Substantive Change

• Examples of substantive changes:– changing “shall” to “should” or

“should” to “shall”– adding, deleting or revising mandatory

requirements, regardless of the number of changes

– adding mandatory compliance with referenced standards

– updating year of reference material (e.g., changing 2001 Fundamentals Handbook to 2005 Fundamentals Handbook)

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Development Process – The Basic Steps

13. If there are unresolved commenters or negative PC voters, they are informed of their right to appeal. If they appeal, an appeals panel is formed to hear and decide on the appeals received.

14. Once any appeals are closed, staff requests ANSI approval of the standard or addendum. Guidelines are not ANSI approved.

15. The standard, addendum or guideline is published.

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Appeals• An action or inaction of the BOD to adopt a new

ASHRAE standard or addendum or to revise, reaffirm, or withdraw an existing ASHRAE standard is subject to appeal.

• Any person directly and materially affected by the publication, revision, reaffirmation, or withdrawal of an ASHRAE standard, or lack of such action, may appeal the BOD action or inaction.

• The appellant must be an unresolved public review commenter, or a PC member who cast a negative vote with reason(s) in relation to his/her vote on the consensus body.

• An appeal of a BOD standards action may be based upon procedural or substantive technical grounds, or both. 55

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Approval Process – The "Cheat Sheet"

• Annex Q in the StdC MOP contains Table Q-1, Standards Development Approval Process, which summarizes the steps from project request to final publication.

Conclusionsand

Contact Information

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Conclusions• The StdC has many varied

responsibilities. The work is initially addressed by several subcommittees and recommendations may require additional approval by the StdC, TechC and/or the BOD.

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ConclusionsThe ANSI process requires:• Balance• Openness• Due Process

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More Information• Mentors were assigned by the StdC Chair in the

subcommittee appointment letter for each new StdC member.

• All StdC officers are also always ready to help!

• Our great StdC staff is also there to help us!

Standards StaffThe direct staff telephone numbers are 678-539-xxxx where xxxx is the extension show below.

Standards CommitteeStephanie Reiniche, Manager of Standards....................ext. 1143sreiniche@ashrae.org

Status of Standards/Guidelines, SPLS and Standard 201Susan LeBlanc, Standards Administrator…………............ext. 1175sleblanc@ashrae.org

Procedures, PPIS, and AppealsTanisha Meyers-Lisle, Procedures Administrator............ext. 1111tmlisle@ashrae.org

Staff Review of DraftsTom Embry, Standards Analyst ....................……..............ext. 1145tembry@ashrae.org

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American Standards, including Standards 62.1 and 62.2Mark Weber, Asst. Manager of Standards-American…….…….ext. 1214mweber@ashrae.org

Project Committee Membership except SSPCs 34, 90.1, 90.2, 189.1Beverly Fulks, Administrative Assistant................................ext. 1151bfulks@ashrae.org

Codes, CIS, Standards 90.1 , 90.2 and 189.1Steve Ferguson, Asst. Manager of Standards-Codes…….......ext. 1138sferguson@ashrae.org

Standard 189.1Bert Etheridge, Asst. Manager of Special Projects………......ext. 1125betheridge@ashrae.org

Standards Staff

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International Standards and Standard 34 Doug Tucker, Asst. Mgr. of Standards-Int’l………………..……ext. 1209dtucker@ashrae.org

Project Committee Membership SSPC 34Angela McFarlin, Admin. Asst/ Secretary............................ext. 1177amcfarlin@ashrae.org

Standards Staff

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Questions

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