SPLS TRAINING

1. SPLS TRAINING Presented by: Doug Reindl, SPLS Chair

2. SPLS Overview SPLS Liaison Responsibilities Policy & Procedures PC Maintenance – Some Details The Forms – Things to Know Meeting Procedures Development Process – Basic Steps Best Practices Standards Staff TOPICS

3. SPLS Overview Responsibilities & Authority Project Committees Cognizant TC

4. The Standards Project Liaison Subcommittee (SPLS) is responsible for • Coordinating, • Monitoring and • Guiding the development of standards and guidelines. • The SPLS is the first line approval body for PC activities • Responsibility for the technical content of ASHRAE standards or guidelines and the consensus process rests with the Project Committee, not with SPLS SPLS Responsibilities

5. SPLS Authority Approves: • PC membership & related PC MOP waivers • TPS changes • PC work plans and unit waivers • Publication public review of standards, guidelines and addenda (SCDs – standards committee documents) • Development of user manuals Recommends Approval: • PC Chair appointments • Policy-level PC membership • Policy-level TPS changes • Funding requests for PC interim meetings • Continuous maintenance for standard /guidelines • Standard Achievement Award recipient

6. Policy level PCs – project committees that receive a higher level of oversight due to the nature and scope of their activities: SSPC 34 SSPC 161 SSPC 62.1 SSPC 189.1 SSPC 62.2 SPC 191 SSPC 90.1 GPC 24 SSPC 90.2 GPC 29 • Non-policy level PCs & standing PCs – all others PCs Assigned to SPLS

7. The ASHRAE Technical Committee or Task Group within whose scope a particular standard’s technical content most logically falls The Cognizant TC normally recommends the chair and at least four other members for a new project committee Cognizant TC

8. SPLS Liaison Responsibilities Read & Understand the PC MOP Coordinate Monitor & Report Guide

9. Read and understand the Project Committee Manual of Procedures (PC MOP), which: • Defines the formation, structure, and activities of Project Committees (PCs) • Establishes criteria and procedures for each step in writing and processing ASHRAE Standards Committee Documents (SCDs) • Includes oversight procedures intended to ensure that due process is followed and consensus achieved in developing and maintaining SCDs • Major revisions to the PC MOP were approved by the Board in June 2010 Project Committee Manual of Procedures

10. Work closely with your PC Chairs to: • Develop and maintain balanced PC membership • Review PC membership package & ensure balance • Prepare a PC work plan • Review and submit a PC work plan for SPLS approval • Review Publication Public Review Drafts • Review publication public review packages to ensure procedures were followed and submit to MOS for processing and SPLS approval As a liaison, coordinate with your PCs

11. Monitor: • Attend PC meetings & stay in close contact w/PC Chairs • Ensure PC submits meeting minutes in a timely manner • Communicate meeting materials deadlines and other relevant information to your PC and PC Chairs • Report: • Keep SPLS Chair and MOS informed by email of PC activities • Submit a status report to the SPLS Staff Liaison before each regular SPLS meeting • Transfer files to a new SPLS Liaison (or the MOS) when PC responsibility is re-assigned As a liaison, you will monitor & report

12. Educate PCs on matters of policies and procedures • Advise PCs when due dates are approaching • Encourage PCs to develop their SCDs in a timely fashion • Chairs to generate regular committee activity between in person meetings through e-mail and telephone contact • Be visible to PCs by attending their meetings As a liaison, you are expected to

13. Policy and Procedure The Rules Due Process Openness Balance

14. ASHRAE Rules and Procedures: • ROB – Rules of the Board of Directors • StdC MOP, StdC Reference Manual (new) & PC MOP • PASA – Procedures for ASHRAE Standards Actions (PASA is now also used for guidelines procedures) • ANSI Essential Requirements: Due process requirements for American National Standards (known as the ANSI Procedures) What Are the Rules?

15. Balance ANSI’s Rules are like three legs of a stool Openness Due Process

16. Any person (organization, company, government agency, individual, etc.) with a direct and material interest has a right to participate by: a) Expressinga position and its basis, b) Having that position considered, and c) Appealingif adversely affected • Due process allows for equity and fair play Due Process

17. Participation shall be open to all persons who are directly and materially affected by the activity in question • 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 • There shall be no undue financial barriers to participation Openness

18. Balance means at the time a standards action vote is taken: • No single interest category equals more than half of a committee membership dealing with product standards • No single interest category equals more than one third of the membership of a committee dealing with safety • To ensure PC balance, no interest category shall have a majority except with the recorded assent of the members in the other categories and approved by SPLS (for a non-policy level PC) • A balance within SPC subcommittees and GPCs is desirable but not required Balance

19. PC Maintenance – the Details Membership Work Plans Liaison Reports

20. Individual members: appointed as “personal members,” not representing any organization, corporation, partnership, or employer • Organizational members (OM): are voting representatives on the PC that represents their organizations’ interests • The OM representative and alternate may not serve as a Chair or Vice Chair of a committee or subcommittee • Consultants: experts in a specific section of the SCD to be developed and are appointed by the PC Chair Types of PC Members

21. International Organizational Liaison (IOL): A liaison from international trade or professional organizations, international standards committees, and other groups to facilitate the development and promote the acceptance of its standard • The IOL does not have a vote at PC meetings, but: • Receives all documents and communications that are distributed to PC members; • Reports status of PC activities to the constituency of the organization; • Provides input from the constituency of the organization. • The establishment or removal of an IOL is done at the request of the PC Chair in consultation with the SPLS Liaison Types of PC Members

22. A PC must have at least 5 voting members including the Chair, with no upper limit The PC must have voting members from at least the following interest categories: Producer, User, and General There can not be more than one voting member from any one company, association, agency, etc. If alternate interest categories would ensure broader consensus, or are better suited to a particular TPS, a PC Chair can submit a recommendation to the SPLS for approval Project Committee Size and Composition

23. SPC Members serve until the project has been completed and the PC discharged SSPC members serve no more than four consecutive full years except where membership is rotated in a manner that assures continuity and balance SSPC initial terms staggered over four years An SSPC Chair’s request for additional term/s may be considered by SPLS Tenure

24. SPLS is the first-line approver of all PC members Standards Committee approves all PC Chairs and policy-level PC members PC Chairs appoint a Secretary, Webmaster, and consultants and notifies the Manager of Standards The Chair and any Vice Chairs or Subcommittee Chairs must be ASHRAE members - others do not Membership Approval

25. A new PC must have an approved roster within 12 months of project approval • If not, a waiver of PC MOP 4.14.4.1 must be requested (by the PC Chair or SPLS Liaison), or the project will be automatically be discontinued • A PC may be discharged by SPLS if the PC reports that it cannot prepare an acceptable SCD or addendum within a reasonable period of time • If the PC has not officially met for 12 months, or is not advancing the development of the SCD in a timely manner, then the SPLS Liaison should determine if another Chair should be sought or if the matter should be sent back to PPIS to re-evaluate the need for the project committee PC Requirements

26. The Forms – Things To Know… PC Application Bias/Conflict of Interest Statement Chair’s Recommendation Form IOL Form PC Work Plan SPLS Liaison Report

27. PC Member applications are submitted to and processed by ASHRAE staff Applicant information is forwarded to the PC Chair for consideration The PC Chair recommends or declines applicants and submits a Chair’s Recommendation Form SPLS Liaisons review membership packages for new PC Chairs and submit a Chair’s Recommendation Form for SPLS and StdC approval The 3 forms on the following pages must be received by the published application deadline or the package will be held for the next SPLS meeting Membership Package

28. Application for Individual Project Committee Membership – this form can be found on the ASHRAE website under Membership Forms. IMPORTANT: the application must be completed in full and signed by hand and faxed or a PDF document may be emailed to ASHRAE at the number/email address noted on the form. Look for: • PC # • Dates for bio and Bias form updates • Interest Category • Signa-ture

29. Membership Interest Categories

30. Bias/Conflict of Interest Statement - this form can be found on the ASHRAE website under Membership Forms. IMPORTANT: the Bias/Conflict of Interest form will not be accepted unless all sections are filled in. The use of “None,” “N/A,” or a no response to any question will render this form unacceptable. Must be signed by hand! This form is to be updated annually!

31. ASHRAE Biographical Report (Bio)– this report is generated by ASHRAE staff from the information provided in the “My Profile” section on the ASHRAE website. IMPORTANT: The bio “Review Date “must be within the last 12 months from the membership application deadline to be accepted.

32. Standing PC Chair’s Recommendation Form Things to look for: Voting Status Interest Categories Term (if SSPC) Reason for declined applicants Reason for change of status Reason for Removal for Cause * Proposed membership balance Additional notes *see notes

33. Membership Ballot ExampleFinal Ballot for SPLS Voting Present Balance Proposed Balance

34. IOL Form • The Invitation is is the only form needed to appoint an IOL • No PC Member application… • No ASHRAE bio … • No Bias/Conflict of Interest Stmt… • The intent is to make this easy for the IOL

35. New PCs’ draft WPs are to be submitted for approval no later than one year from the date the full PC roster is approved SSPCs’ and SGPCs’ updated draft work plans are to be submitted for approval no later than six months from the publication of a new edition WPs submitted by SSPCs and SGPCs must also be approved by the StdC PCs and SSPCs can vote to approve the WP either before or after being submitted to SPLS for approval PC Work Plan

36. Sample PC Work Plan Things to look for: Both boxes checked in units format – or a waiver must be requested Interest categories Project milestones and dates Plans for interim meetings and any support needed A communication plan For SSPC’s - key objectives with specific, changes, updates, or revisions noted with dates. Note: there is an SSPC/SGPC WP template available on the ASHRAE website

37. Liaison reports are used to ensure project committees are making progress according to their work plans as well as to highlight issues of concern Liaison reports are due to the SPLS Staff Liaison prior to each regular meeting – January Winter Meeting, June Annual Meeting and October Tech Weekend Reports are to be given to the new SPLS Liaison when PC responsibility is reassigned Liaison Reports

38. Meeting Procedures Quorum Consensus Voting Rules Consent Agenda Letter Ballots

39. All PC meetings are open to observation by directly and materially interested persons PC working meetings are to be held at least once per year. Normally these are held in conjunction with the Annual and Winter Society Meetings. PC Chairs must advise their SPLS Liaison and the Manager of Standards (MOS) of all meetings or teleconferences between Society Meetings in time to announce the interim meeting in Standards Actions – 30 days before in-person meetings and 14 days for conference calls. PC Meetings and Correspondence

40. Quorum is required to conduct business at a meeting of the Standards Committee, its Subcommittees, or PCs Quorum Requirements: More than 50% of the voting membership of the committee present Quorum

41. Consensus defined:Substantial agreement, in the judgment of a duly appointed authority, reached by directly and materially affected interest categories Substantial agreement means much more than a simple majority – but not necessarily unanimity Consensus requires that all views and objections be considered, and that an effort be made toward their resolution Consensus

42. Unless otherwise specified, actions of the SPLS and PCs require approval by a majorityof those voting at a meeting Recommendations or approvals for standards actions require affirmative votes of a “supermajority” of SPLS and the PC: this is a majority of the membershipand at least two-thirds of those voting, excluding abstentions and unreturned ballots (for letter ballots) Voting Rules

43. Examples of non-standards action votes for SPLS: • PC membership and related PC MOP waivers • TPS changes • PC classification (change to CM, PM, discontinuance) • Standard or guideline number changes • Requests for User Manuals and funding • Examples of non-standards action votes for PCs • TPS, Work Plan and meeting minutes approval • Sections of the draft standard • Advisory Public Review • Responses to public review commenters Majority Vote Examples

44. For SPLS: • Approving publication public review (PPR) of a new or revised standard, guideline or addendum • For PCs: • Recommendation for PPR and publication of a draft standard, guideline or addendum (SCD) • Recommendation for discontinuance of a new SCD following public review • Issuance or revision of an official interpretation Standards Action Votes

45. All PCVMs must be given the opportunity to vote, either before (via letter ballot), during, or after the meeting (via continuation letter ballot) • Negative votes & abstentions explained in writing • When negative votes with reasons given via letter or continuation ballot, a recirculation ballot must be conducted with reasons for the negative votes provided • If no reasons are given for negative votes in a letter or continuation ballot, a recirculation ballot is not necessary and the results are final • When a standards action vote is taken at a meeting, a continuation ballot must be sent to absent members PC Standards Actions Vote Requirements

46. The Chair may authorize a letter ballot to be issued on any matter • Please do not use “Reply to All” when voting • Persons who cast a negative vote on a letter ballot are requested to comment on reasons for negative vote • If the vote passes with one or more negative votes, the results shall be held in abeyance until the comments are transmitted to all eligible voters and they are given an opportunity to change their vote through a recirculation ballot • The Chair may offer a rebuttal to the comments from negative voters Letter Ballots

47. Common reasons for abstentions:An individual - • has not adequately reviewed the material and there is not enough information in the discussion to enable them to vote • was not in the room during the discussion of the motion • would prefer to abstain with a reason rather than cast a negative vote on the motion • The motion involves a PC in which the person is a current or recent past member of, e.g., membership, PPR approvals • Other potential conflicts of interest Abstentions

48. When several related items are likely to pass without question, debate, negative votes or abstentions, a consent agenda may be used A consent agenda allows for the approval of a group of items with one motion and one vote – without discussion Items may be pulled from the consent agenda for any reason at the request of a voting member Removed items may be taken up immediately after the consent agenda or placed later on the agenda Consent Agenda

49. Development Process The Basic Steps Advisory Public Review Publication Public Review Substantive Changes Approval

50. PCs vote to recommend a draft SCD for one of two types of public review: • "Advisory Public Review" (APR) or • "Publication Public Review" (PPR) Public Reviews