Getting Started – An Overview of the Standards Writing Process, Version 2 Intended Audience – PC Chairs and Vice Chairs, but open to everyone Information

PC Chairs Training: Getting Started Version 2 1

Getting Started – An Overview of the Standards Writing Process, Version 2

Intended Audience – PC Chairs and Vice Chairs, but open to everyone

Information that you will need is located in the PC Chairs Toolkit at this link: www.ashrae.org/pcchairstoolkit

http://www.ashrae.org/pchairstoolkit

Acronyms Used In This Presentation

• GPC – Guideline Project Committee

• MOS – Manager of Standards• NVM – Non-Voting Member• OM – Organizational Member• PASA – Procedures for ASHRAE

Standards Actions • PC – Project Committee• PCVM – Project Committee Voting

Member• PPR – Publication Public Review• PSVM – Project Subcommittee

Voting Member

• SCD – Standards Committee Document

• SGPC – Standing Guideline Project Committee

• SPC – Standard Project Committee

• SPLS – Standards Project Liaison Subcommittee

• StdC – ASHRAE Standards Committee

• SSPC – Standing Standard Project Committee

• TC – Technical Committee• TPS – Title, Purpose and Scope• WP – Work Plan

2PC Chairs Training: Getting Started Version 2

Learning Objectives

• At the end of this training module, you should better understand:• Essential principles of openness, balance,

due process, and ethics• First steps for starting a new PC• Basics of the standards development process• Resources that are available to assist you


Due Process Requirements

• The following constitute the minimum acceptable due process requirements during the creation or revision of a standard:• Openness• Balance• Lack of dominance• Consensus• Right to appeal• ASHRAE Code of Ethics


Openness

• 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 or a request for interpretation

Tip: Participants can include non-ASHRAE members, non-voting members (NVMs), consultants, and International Organizational Liaisons


Balance

• The objective of balance is to ensure that all stakeholders (directly and materially affected interests) related to a TPS are represented on a PC

• The criteria for balance is that no single interest category equals more than one-third of voting membership on a PC dealing with safety, and no more than half of voting membership on a PC for all other standards

• SPCs and SSPCs must achieve and maintain balance

• Balance on GPCs, SGPCs, and all subcommittees is desired but is not required


Balance and Interest Categories

• ASHRAE’s fundamental principles for guiding the identification and selection of interest categories for any PC align with ANSI Essential Requirements on balance: • The interest categories appropriate to the

development of consensus in any given standards activity are a function of the nature of the standard being developed.

• Interest categories shall be discretely defined, cover all materially affected parties and differentiate each category from the other categories.


Balance and Interest Categories

• In defining the interest categories appropriate to a standards activity, consideration shall be given to at least the following categories: • Producer • User • General

• Where appropriate, additional interest categories* should be considered where needed to ensure consensus of directly affected and interested parties related to a particular TPS.

• Appropriate representative user views shall be actively sought and fully considered in standards activities.

* See “Approved Interest Categories” under the Membership Forms heading on the PC

Chairs Toolkit page


Lack of Dominance

• The standards development process shall not be dominated by any single interest category, individual or organization.

• Dominance means a position or exercise of dominant authority, leadership, or influence by reason of superior leverage, strength, or representation to the exclusion of fair and equitable consideration of other viewpoints.


Balance vs. Dominance

• Balance and a lack of dominance are two distinct considerations: • The existence of a balanced consensus body does

not preclude the exercise of dominance. • Similarly, the existence of a less than perfectly

balanced consensus body does not necessarily reflect a process in which dominance automatically occurs.

• Balance is quantifiable, dominance is not: work with your SPLS Liaison if there is any indication of dominance in your committee.


Consensus

• Consensus defined: Substantial agreement, in the judgment of a duly appointed authority, reached by directly and materially affected interest categories

• Substantial agreement means more than a simple majority but not necessarily unanimity

• Consensus requires that all views and objections be considered, and that a concerted effort be made toward their resolution


Other Due Process Requirements

• Consideration of views and objections:• Prompt consideration shall be given to the written

views and objections of all participants, including PC members and those commenting on the TPS or a draft standard

• Consensus votes for Standards Actions:• Evidence of consensus shall be documented and

requires a “supermajority” 2/3 vote• Appeals:

• The impartial handling of procedural appeals regarding any action or inaction. Procedural appeals include whether a technical issue was afforded due process.


ASHRAE Code of Ethics

• Excerpts:• As members of ASHRAE or participants in ASHRAE

committees, we pledge to act with honesty, fairness, courtesy, competence, integrity and respect for others in our conduct.

• The confidentiality of business affairs, proprietary information, intellectual property, procedures, and restricted Society discussions and materials shall be respected.

• We shall avoid real or perceived conflicts of interest whenever possible, and disclose them to affected parties when they do exist.

• Entire ASHRAE Code of Ethics at this link: Code of Ethics


http://www.ashrae.org/codeofethics

http://www.ashrae.org/codeofethics

First Steps

This section will help you understand what you need to do to get the PC started


What You Have at Outset

• A Project Committee Chair • Congratulations! And thank you for volunteering!

• Several potential PC Voting Members (PCVMs)• Approved Title, Purpose and Scope (TPS)• Helpful SPLS Liaison

• Your advocate and coach regarding the process

• A comprehensive “rule book:”• Procedures for ASHRAE Standards Actions (PASA)

located on the PC Chairs Toolkit page at: www.ashrae.org/pcchairstoolkit


http://www.ashrae.org/pchairstoolkit

PC Chairs Toolkit Page

• ALL PC related resources are available in one online location – the PC Chairs Toolkit page!

• ASHRAE Toolkit Quick Links:• Standards Procedures• Project Committee Deadlines• Project Committee News• Project Committee Meetings• Project Committee Chairs Training• Mandatory Language Guides• Membership Forms• Project Committee Forms and Templates• Voting Tools and Templates• Publication Public Review Submittal Forms• Instructions for using the Online Comment Database• Continuous Maintenance Forms• Procedures for Proposing a New Standard or Guideline• Project Committee Home Pages• Helpful Links


https://www.ashrae.org/standards-research--technology/standards--guidelines/pc-chairs-toolkit















Membership • In addition to yourself, request your potential committee members to

complete a PC Membership Application form, Bias and Conflict of Interest statement and ASHRAE bio (complete online)

• ASHRAE Staff will process all applications and then send you information• You will then completed and submit a Chair's Recommendation Form to

your SPLS Liaison and to ASHRAE staff• Remember:

• Only one Voting Member (VM) from any organization at anytime.• At least one member in each of the default interest categories listed below,

or other approved interest categories for your PC • Producer• User• General

• Minimum of 5 VMs before any official business or standards action vote can occur.

• SPC/SSPC balance must be achieved before any standards action votes can occur.


First PC Meeting

• Schedule PC meeting: • At the next Society Meeting using the SPC Meeting Request

Form found on the PC Chairs Toolkit page or the ASHRAE Conference page

• Get started as soon as possible!• Prepare an agenda using the sample agenda templates found on

the PC Chairs Toolkit page• Distribute agenda 30 days prior to meeting

• Attend the PC Chairs’ Breakfast at each Society Meeting (this is a requirement)

• Distribute minutes to PC members, your SPLS liaison and ASHRAE staff (required). A minutes template can be found on the PC Chairs Toolkit page. • The earlier the better!• Distribute action items immediately


Work Plan (WP)

• Establish milestones and estimate completion dates on the Work Plan form found on the PC Chairs Toolkit page

• Major project milestones on the WP should include:• Completion of initial PC membership roster• First PC meeting• Completion of first working draft • PC approval for public review• PC approval of responses to public review comments (if any)• PC vote for publication

• Discuss your draft WP with your SPLS Liaison, and then submit WP to ASHRAE staff for SPLS approval


Title, Purpose & Scope (TPS)

• The TPS is the framework for a Standard or Guideline• A PC must approved the TPS at its first official meeting• If changes are needed, use the Proposed TPS Form

found on the Toolkit page, and include:• Rationale for changes • Underscore/strikeout to show changes to original

version• A clean, final version of the proposed TPS• PC vote tally to recommend approval

• Any change to the TPS must be approved prior to submission of a Publication Public Review draft

• Submit document to SPLS Liaison and MOS


Working Draft

• For new standard/guideline, Staff will send you working draft template• Work with PC to create initial Working Draft

• For revision standard/guideline, Staff will send you an editable version of currently-published standard/guideline• Save backup copy of original document• Work with PC to revise original document• Update the working draft number and date each time you share

a working draft with your PC• Archive previous versions for future reference

ASHRAE copyright language included on the cover of the working draft template prohibits PC member sharing a working draft, in whole or in part, outside of the PC without the express permission of the MOS.


Definitions in SCDs

• Only include definitions that are necessary to apply the standard or guideline, and are not commonly understood

• All definitions shall appear somewhere in the body of the standard or guideline (or they shall not be included)

• Requirements shall not be included in definitions • ASHRAE Terminology, found at https

://www.ashrae.org/resources--publications/free-resources/ashrae-terminology, is a potential resource for definitions

• ASHRAE Terminology definitions, with or without subsequent editing, might fit your purposes, but you are not required to use ASHRAE Terminology definitions


Tip: Draft the new or revised standard or guideline by focusing on the requirements and other content while making a list of potential definitions instead of consuming PC time to write the definitions at the outset.

https://www.ashrae.org/resources--publications/free-resources/ashrae-terminology



PC Chairs’ Meeting Deadlines

• Obtain deadlines in the PC Chairs Tool Kit


Chicago Winter Meeting 2015

SPLS Spring Meeting 2015

Atlanta Annual Meeting 2015

SPLS SummerMeeting 2015

Tech Weekend 2015

SPLS Meeting/Conference Call dates Jan 23 & 27, 2015 Mar 6, 2015* Jun 26 & Jun 30, 2015 Aug 22, 2015* Sep 25, 2015*

StdC/BOD meeting dates Jan 24-28, 2015 N/A Jun 27-July 1, 2015 N/A Sep 25 – Oct 5, 2015*

Membership

New PC member applications & existing member changes (Bio/Bias/Applications** due) Oct 24, 2014 N/A Apr 17, 2015 N/A July 24, 2015

PC Chair’s Membership Recommendation Form** due Nov 21, 2014 N/A May 8, 2015 N/A Aug 14, 2015

Publication Public Review Packages Chicago Winter Meeting 2015




Tech Weekend 2015

PC Chairs Publication Public Review Submittal Form** deadline for Normal Track PPR packages (see Note below for Fast Track Process) Dec 19, 2014 Feb 17, 2015 May 22, 2015 Aug 2, 2015 Aug 28, 2015

SPLS approval of Normal Track PPRs Jan 23, 2015 Mar 6, 2015* Jun 26, 2015 Aug 22, 2015* Sep 24, 2015*

Public Review Starts for 30 and 45 day PRs Feb 6, 2015 Mar 20, 2015 July 10, 2015 Sep 6, 2015 Oct 9, 2015

30-day Public Review ends Mar 8, 2015 Apr 20, 2015 Aug 9, 2015 Oct 6, 2015 Nov 8, 2015

45-day Public Review ends Mar 23, 2015 May 5, 2015 Aug 24, 2015 Oct 21, 2015 Nov 23, 2015

Publication Packages

PC Chairs’ Final Publication Submittal Form deadline Dec 3, 2014 N/A May 4, 2015 N/A Aug 8, 2015

PC Chairs’ Galley Sign-off deadline Jan 14, 2015 N/A Jun 10, 2015 N/A Sep 10, 2015

Other Chicago Winter Meeting 2015




Tech Weekend 2015

Annual/Winter Meeting Room Request Form Oct 31, 2014 March 20, 2015

TPS Changes, Work Plans, and other items** Jan 9, 2015 Feb 20, 2015 Jun 12, 2015 Aug 8, 2015 Sep 10, 2015

PC Funding Requests (FY 2016) Feb 14, 2015


Basics

This section will help you understand the basics of the ASHRAE standards development process


PASA

• Read PASA – Procedures for ASHRAE Standards Actions• Defines formation, structure, and activities of Project

Committees (PCs)• Establishes criteria and procedures for writing and

processing Standards Committee Documents (SCDs)• Includes procedures to ensure due process is

followed and consensus is achieved


Mandatory Language

• ASHRAE Rules of the Board include these rules:• 1.201.004.5 All standards shall be written in definitive

mandatory language.• 1.201.004.3 Standards that are intended for code use should be

concise and written in appropriate code language with simple and direct prescriptive methods for compliance, with alternative performance paths.

• 1.201.004.6 All guidelines shall be written in informative language.

• ASHRAE Guide to Writing Standards in Mandatory Language and the ASHRAE Guide to Writing Standards in Code-Intended Language can be found on the PC Chairs Toolkit page under the heading Mandatory Language Guides


Voting Rules

• Quorum: majority of voting members are present. Without quorum, PC work can continue, but standards action votes cannot be taken

• Standards Action: an action recommending or approving publication of a new, revised, or reaffirmed standard or withdrawal of a standard

• Except as the actions listed below, PC votes require approval bymajority of those voting

• The voting actions listed below require (a) affirmative votes from a majority of all PC voting members, and (b) at least two-thirds of those voting, excluding abstentions and unreturned letter ballots

• Recommendation for publication public review • Recommendation for publication • Recommendation for issuance or revision of an official interpretation

• Use the vote calculations spreadsheet found on the PC Chairs Toolkit page to determine two-thirds vote results


Two-Thirds Vote: 1st Example

• Project Committee has 22 members• ALWAYS need 12 yes votes for motion to pass

12 members present at meeting. All 12 must vote yes. Members not present did not respond to continuation letter ballot and are recorded as not voting.

Vote record 12-0-0-10 (yes-no-abstain-not voting) Motion passes (meets the 2/3 of those voting requirement)

Yes + no = 12 + 0 = 12 and 2/3 X 12 = 8


Enter the Total VOTING Membership from ASHRAE Roster: 22Enter number of "Yes" votes: 12Enter number of "No" votes: 0

Enter number of "Abstain" votes: 0Enter number of "Absent and Not Returned" votes: 10

Calculations:

Total yes+no+abstain+absent/not returned votes Must = Roster 22 TRUE Total voting results entered matches roster voting members

Meeting Quorum / Majority of Roster Voting Members = 12 TRUE Affi rmative votes from a majority of the voting membership?

Total number of affi rmative votes to achieve 2/3 requirement = 8 TRUE Affi rmative votes by 2/3 of those voting Yes + No (at meeting or letter ballot)

Motion Passes? TRUE If total votes entered = roster voting members, False = Failed Motion

Final Voting Tally: ( 12 - 0 - 0 - 10 )

Two-Thirds Vote: 2nd Example

• Project Committee has 22 members• ALWAYS need 12 yes votes for motion to pass

12 members present at meeting. 12 vote yes.On letter ballot, 2 vote yes and 8 vote no.

Vote record 14-8-0-0 (yes-no-abstain-not voting) Motion fails

Majority vote yes 2/3 vote: Yes + No = 14 + 8, 2/3 X 22 = 15


Enter the Total VOTING Membership from ASHRAE Roster: 22Enter number of "Yes" votes: 14Enter number of "No" votes: 8

Enter number of "Abstain" votes: 0Enter number of "Absent and Not Returned" votes: 0

Calculations:

Total yes+no+abstain+absent/not returned votes Must = Roster 22 TRUE Total voting results entered matches roster voting members

Meeting Quorum / Majority of Roster Voting Members = 12 TRUE Affi rmative votes from a majority of the voting membership?

Total number of affi rmative votes to achieve 2/3 requirement = 15 FALSE Affi rmative votes by 2/3 of those voting Yes + No (at meeting or letter ballot)

Motion Passes? FALSE If total votes entered = roster voting members, False = Failed Motion

Final Voting Tally: ( 14 - 8 - 0 - 0 )

Letter Ballot Voting (via Email)

• Chair may authorize an email letter ballot on any motion (sample letter ballot found on the Toolkit page)

• Remind recipients to “Reply” not “Reply All” when voting• Negative voters are requested to comment on reasons

for their vote• If vote passes with negative votes with comments,

results shall be held in abeyance until comments are transmitted to all eligible voters and they are given opportunity to change their vote through a recirculation ballot

• Chair may offer rebuttal to comments from negative voters in recirculation ballot


Running Effective PC Meetings Have clear purpose

Generate constructive action & share ideas; build consensus; plan next steps

Only meet when communications require two-way interactions

Be prepared Define reasonable list of issues to consider; assign time & speaker for each item

Distribute agenda & related documents for review prior to meeting

Keep meeting moving Be punctual: start & end on time

Focus on agenda, encourage participation, but control digressions

Follow Robert’s Rules of Order

Follow up Distribute action items immediately and track progress between meetings

Distribute minutes within 30 days, earlier if possible


Tip: Review the training module titled, Running Effective Meetings, for more details

Typical Motions

PCs vote to approve:

1. Original TPS (first meeting)

2. Proposed changes to the TPS

3. Meeting minutes

4. Publication Public Review Draft*

5. PC responses to commenters

6. Final Publication Draft*

Standing PCs vote to approve:

1. Proposed changes to the TPS

2. Meeting minutes

3. Publication Public Review of addenda*

4. Responses to commenters

5. Interpretations

6. Responses to CMPs

7. Code Change Submittals

8. Final Publication of Addenda


Note: Items with * are Standards Actions.

PC Meetings and Interim Meetings

• All PC meetings are open to observation by directly and materially interested persons

• PC working meetings must be held at least once per year, but are normally held twice/year at Annual and Winter Society Meetings

• PC Chairs must advise SPLS Liaison and MOS of all meetings or teleconferences between Society Meetings in time to announce interim meeting in Standards Actions – 30 days before in-person meetings and 14 days for conference calls

• For help in setting up conference calls, webinars or in-person face-to-face meetings, complete and submit the Expediting Funds form found on the Toolkit page under Project Committee Meetings heading

33PC Chairs Training: Getting Started Version 2Tip: Join the list server to receive each issue of Standards Actions on Fridays here

https://www.ashrae.org/resources--publications/free-resources/listserves

Cognizant Technical Committee

• The cognizant TC is the one whose scope best matches your standard or guideline

• The cognizant TC recommends Chair and at least four other members for:• New standard or guideline or• Periodic revision of existing standard or guideline.

• The cognizant TC is a source for PC members with skills relevant to subject standard or guideline

• If the cognizant TC does not have a member or liaison on the PC, the PC Chair shall provide the TC Chair with updates about PC progress prior to each Society meeting.


Tip: See the training module titled, TCs and PCs: Similarities and Differences, for more information.

PC Websites

• If a PC website is desired, ASHRAE Staff will assist you with creating your PC’s web site

• More information is available on the PC Chairs Toolkit page under Project Committee Home Pages


Resources

• SPLS Liaison• Other PC Training Modules• Online Resources• Standards Staff


Your Friendly & Helpful SPLS Liaison

• Represents PC at StdC:• Membership Changes• Work Plans• TPS Changes• Public Review Drafts

• SPLS Liaison contact information is on yourPC roster


Other PC Training Modules

• The following training modules are available in a webcast version or in PDF form on the PC Chairs Toolkit page:• An Overview of PC Membership & Balance • Writing Standards in Enforceable Language• Running Effective Meetings• Ethics, Bias, and Conflicts of Interest• Public Review Process Overview • Online Comment Database• TCs and PCs: Similarities and Differences


Standards Staff

Direct line 678.539.xxxx

Standards CommitteeStephanie Reiniche, Sr. Manager of Standards.......................ext. [email protected]

Status of Standards/Guidelines, SPLS and SPC 201Susan LeBlanc, Standards Administrator………….............ext. [email protected]

Procedures, PPIS, SRS and AppealsTanisha Meyers-Lisle, Procedures Administrator...............ext. [email protected]

Staff Review of DraftsCarmen Manning, Standards Analyst ....................……..............ext. [email protected]

39 PC Chairs Training: Getting Started Version 2

mailto:[email protected]




Standards Staff


American Standards, Standards 62.1 and 62.2

Mark Weber, Mgr. of Standards - American………….....ext. [email protected]

Codes, CIS, Standards 90.1 and 90.2

Steve Ferguson, Mgr. of Standards - Codes………..…[email protected]

Codes, Standard 189.1

Bert Etheridge, Asst. Mgr. of Standards-Codes..........…ext. [email protected]

International Standards and Standards 15 and 34

Nicole Jones, Asst. Mgr. of Standards-International...............ext. [email protected]






Standards Staff


PC Membership

Beverly Fulks, Standards Coordinator......................................ext. [email protected]

PC Membership, SSPCs 15 and 34

Angela McFarlin, Admin. Asst./ International Stds...................ext. [email protected]

PC Membership, SSPCs 90.1, 90.2, 90.4, and 189.1

Katrina Shingles, Admin. Asst…..............................................ext. [email protected]





Questions?


Self-Test Questions

• Does participation mean individuals must be PC voting members?

• How many PC members must a PC have before a vote to recommend a standards action can occur?

• What vote is required for standards actions to take place?

• If a voting member submits a negative vote with comment, is the PC Chair required to re-circulate the ballot to allow voting members to change their votes?

• Who should you keep informed of all activities regarding your PC?


How did you do?

• If you knew the answers to all the questions• Congratulations! You have mastered the material

• If you were able to answer most of the questions (70-99%)• Please review the material you may have missed

• If you were unable to answer most of the questions (<70%)• Please review all the material
