ASHRAE Standards Committee Training – An Introduction to the Essential Elements Presented by:

1. ASHRAE Standards Committee Training – An Introduction to the Essential Elements Presented by: H. Michael Newman Standards Committee Chair

2. Agenda • Standards Committee Overview • Standards Committee Subcommittees • Standards Committee Documents • Governance, Policy and Procedure • Development Process • Conclusions and Contact Information

3. 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.

4. 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.)

5. 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)

6. 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.

7. 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

8. StdC Subcommittees

9. 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…

10. 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.

11. How does it all get done? Through the following StdC subcommittees: • CIS • ILS/ISAS • PPIS • SPLS • SRS • TCLS What is this alphabet soup?

12. CIS Code Interaction Subcommittee • Encourages the use of ASHRAE standards in codes through the help of the Code Development Committee. • Attends Code Hearings.

13. 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.

14. PPIS • Planning, 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.

15. SPLS Standards 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.

16. SRS Standards 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.

17. TCLS Technical 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.

18. 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.

19. Policy-level Committees • Policy-level PCs receive a higher level oversight for policy-level standards and guidelines. These include: • SSPC 34 • SSPC 62.1 • SSPC 62.2 • SSPC 90.1 • SSPC 90.2 • SSPC 161 • SPC 189.1 • SPC 191 • GPC 24 (Companion to 62.2) • GPC 29

20. Governance, Policy and Procedure

21. 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

22. 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: stdpublic Password: Ashrae2k7

23. 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

24. 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

25. 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).

26. Three Legs of the Stool for ANSI’s Rules Balance Due Process Openness

27. Due Process • Any person, organization, company, government agency, or other entity, with a direct and material interest has a right to participate by: • expressing a position and its basis • having that position considered, and • appealing if adversely affected

28. Due Process Due process allows for equity and fair play

29. 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.

30. 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.

31. Balance • Balance means at the time a standards action is taken: • No single interest category constitutes more than one third of the membership of a committee dealing with safety • 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

32. 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

33. StdC Documents

34. 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

35. StdC Documents • There are four types of Standards Committee Documents (SCDs): • Standards • Method of Test and Classification Standards • Design Standards • Protocol Standards • Rating Standards • Guidelines • User Manuals • Code Change Proposals

36. 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.

37. 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).

38. Standards (cont.) 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.

39. Standards (cont.) 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.)

40. Guidelines 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.

41. User Manuals 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.

42. Code Change Proposals 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.

43. Development Process - The Basic Steps

44. Development Process – The Basic Steps • Someone recommends that a standard/guideline be developed. The requesting party recommends a chair and at least four other members. • An SPLS Liaison is assigned by the SPLS Chair. • The SPLS Liaison consults with the cognizant TC and recommends a PC Chair. • 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.

45. Development Process – The Basic Steps • 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 • The PC then holds meetings and writes the standard or guideline.

46. Development Process – The Basic Steps • 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). 46

47. 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.

48. 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."

49. 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. 49

50. Development Process – The Basic Steps • Public Review comments are logged in the online comment database and are reviewed by the project committee. • The PC develops written responses to PPR comments and votes to approve them prior to sending the responses to commenters. • 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.