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Project Committee

Manual of Procedures

PC MOP

Orig. June 29, 1994Last Revised: June 28, 2014

FOREWORD

This Project Committee Manual of Procedures (PC MOP) is a normative document that identifies each step in writing and processing of ASHRAE Standards Committee Documents (SCDs). The PC MOP includes procedures intended to ensure that due process is followed and consensus achieved in developing and maintaining SCDs. The original edition of the PC MOP (formerly called PC Guidance and Manual for Processing ASHRAE Standards - MPAS) was approved by Technology Council on June 29, 1994. This edition of the PC MOP, dated January 18, 2014 supersedes all previous documentation for communicating project committee procedures. PC MOP changes must be approved by the Standards Committee.

THE SUMMARY OF CHANGES TABLE IS LOCATED AT THE END OF THE DOCUMENT

Project Committee MOP - Manual of ProceduresJune 28, 2014

TABLE OF CONTENTS

1 PURPOSE..................................................................................................................................1

2 SCOPE.......................................................................................................................................1

3 POLICY ON STANDARDS AND GUIDELINE DEVELOPMENT..............................................1

4 PROJECT COMMITTEE FORMATION, MEMBERSHIP MAINTENANCE AND TENURE.......14.1 CONSIDERATION OF PROPOSAL FOR PROJECT COMMITTEE FORMATION............14.2 APPOINTMENT OF STANDARDS PROJECT LIAISON SUBCOMMITTEE LIAISON......14.3 PC ACTIVITY INITIATION...................................................................................................14.4 PC CHAIR PROPOSES WORK PLAN (WP)......................................................................24.6 PROJECT COMMITTEE OFFICERS...................................................................................24.8 PC MEMBERS.....................................................................................................................44.10 PROJECT COMMITTEE SIZE...........................................................................................74.11BALANCE...........................................................................................................................74.12 INTEREST CATEGORIES.................................................................................................74.13 TENURE.............................................................................................................................94.14 ROSTER CREATION AND MAINTENANCE....................................................................94.15 DEVELOPMENT OF EDUCATIONAL MATERIALS.........................................................9

5 PC MEETINGS, VOTING AND CORRESPONDENCE.............................................................95.1 MEETINGS...........................................................................................................................95.2 VOTING................................................................................................................................95.3 PC CORRESPONDENCE....................................................................................................95.4 PC AND TC RELATIONSHIPS............................................................................................9

6 PROPOSED DRAFT STANDARD, ADDENDUM OR REVISION.............................................96.1 WORKING DRAFT(S)..........................................................................................................96.2 PUBLIC REVIEW DRAFTS.................................................................................................9

7 PC CONSIDERATION OF COMMENTS AND RESPONSE TO PUBLIC REVIEW COMMENTERS.............................................................................................................................9

7.1 DETERMINING IF A COMMENT FALLS WITHIN THE SCOPE OF A PUBLIC REVIEW. 97.2 PC CONSIDERATION OF COMMENTS.............................................................................97.4 RESPONSE, REPLY AND RESOLUTION OF COMMENTS..............................................9

8 REVISION OF PUBLICATION DRAFT......................................................................................98.1 SUBSTANTIVE CHANGES REQUIRING SUBSEQUENT FULL PUBLIC REVIEW..........98.2 REVISED DRAFT WITH INDEPENDENT SUBSTANTIVE CHANGES..............................98.3 UPDATING OF REFERENCES...........................................................................................98.4 FORMAT OF ISC PUBLIC REVIEW DOCUMENTS...........................................................9

9 SUBMISSION OF FINAL PUBLICATION DRAFT....................................................................99.1 PREPARATION OF FINAL DRAFT FOR PUBLICATION RECOMMENDATION..............99.2 CRITERIA FOR RECOGNIZING CONTRIBUTORS IN PUBLISHED SCD........................99.3 FINAL PUBLICATION PACKAGE......................................................................................9

10 PC PROCEDURES UPON PUBLICATION OF STANDARD OR GUIDELINE.......................9

10.1 DISCHARGE OF PC..........................................................................................................910.2 PREPARATION OF AN ADDENDUM...............................................................................910.3 RECOMMENDATION FOR AN SSPC OR SGPC.............................................................9

11 CONTINUOUS MAINTENANCE OF STANDARDS AND GUIDELINES................................911.1 PROCESSING CHANGE PROPOSALS...........................................................................911.1.1 RESPONDING TO THE PROPOSER.............................................................................911.1.2 REVISIONS TO THE STANDARD OR GUIDELINE BASED ON CHANGE PROPOSALS.............................................................................................................................911.2 TIME LIMITS FOR REVISION OF STANDARDS OR GUIDELINES UNDER CONTINUOUS MAINTENANCE................................................................................................911.3 PUBLICATION OF NEW EDITION....................................................................................911.4 WITHDRAWAL OF SCD....................................................................................................9

12 CHANGING THE METHOD OF MAINTENANCE....................................................................9

13 PUBLICATION OF ERRATA...................................................................................................9

14 RESPONSE TO INTERPRETATION REQUESTS..................................................................9

15 EMERGENCY INTERIM STANDARDS ACTION....................................................................9

16 USER MANUALS.....................................................................................................................9

17 VIOLATIONS OF ASHRAE PROCEDURES...........................................................................9

NORMATIVE ANNEX A: DEFINITIONS, ABBREVIATIONS, ACRONYMS, AND CLASSIFICATIONS......................................................................................................................9

A1 DEFINITIONS.......................................................................................................................9A2 ABBREVIATIONS AND ACRONYMS............................................................................................9A3 CLASSIFICATION OF STANDARDS..................................................................................9

NORMATIVE ANNEX B: POLICY STATEMENT APPROVED BY ASHRAE BOARD OF DIRECTORS RE: LIABILITY OF PROJECT COMMITTEE AND SUBCOMMITTEE MEMBERS.......................................................................................................................................................9

NORMATIVE ANNEX C: ASHRAE UNITS POLICY IN STANDARDS AND GUIDELINES........9

NORMATIVE ANNEX D: COMMERCIAL TERMS AND CONDITIONS.......................................9

NORMATIVE ANNEX E: PROPRIETARY MATERIALS, SPECIFIC SOURCES OF SUPPLY, OR INDIVIDUALLY BUILT APPARATUS....................................................................................9

NORMATIVE ANNEX F: PATENTS IN ASHRAE SCDS.............................................................9

NORMATIVE ANNEX G –APPROVAL OF STANDARDS COMMITTEE DOCUMENTS............9

Project Committee MOP - Manual of ProceduresJune 28, 2014

PROJECT COMMITTEE MANUAL OF PROCEDURES

1 PURPOSETo provide detailed procedures to be followed by project committees (PCs) in processing standards committee documents (SCDs) and their addenda.

2 SCOPE

2.1 This manual establishes criteria and procedures for:a) development, revision, reaffirmation, or withdrawal of SCDs; b) development of addenda to SCDs;c) responding to requests for interpretation; andd) maintenance of SCDs.

2.2 This manual defines the formation, structure and activities of all PCs.

3 POLICY ON STANDARDS AND GUIDELINE DEVELOPMENT

a) ASHRAE writes standards for the purpose of establishing consensus for: 1. methods of test and classification for determining the performance of a system,

equipment, or thermal fluids/refrigerant;2. design of systems whose configuration and components are chosen by the

designer; or 3. protocols that establish uniform practice, procedure, or performance requirements; or4. rating standards that 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 rating, at stated rated conditions, produced by the manufacturer.

b) Consensus standards are developed and published to define minimum values or acceptable performance whereas other documents, such as guidelines or design guides, may be developed and published to encourage enhanced performance.

4 PROJECT COMMITTEE FORMATION, MEMBERSHIP MAINTENANCE AND TENURE

4.1 Consideration of Proposal for Project Committee Formation When the need for a new standard or guideline is recognized by a TC/TG/TRG (or a responsible entity or person), it shall generate a title, purpose and scope (TPS), recommend a potential chair (who must be a member of ASHRAE), and a committee roster, and submit the proposal to the Planning, Policy and Interpretations Subcommittee (PPIS) through the Manager of Standards (MOS). PPIS may then recommend to Standards Committee (StdC) that a PC be formed for the development of a new standard or guideline. Proposals for revision are submitted to the Standards Reaffirmation Subcommittee (SRS) for recommendation to StdC. The approving body will vote to form a PC to develop or revise a standard or guideline of defined TPS in any of the classifications given in Clause A3 . See Normative Annex G for approval procedures.

4.2 Appointment of Standards Project Liaison Subcommittee LiaisonAfter formation of the PC is authorized, the SPLS Chair will appoint an SPLS Liaison to the PC.

4.3 PC Activity InitiationAt the first official business meeting of a new PC, the PC shall vote on whether to concur with, or propose changes to, the original TPS. The PC may conduct business (for example, pass motions) only after the membership roster with at least 5 voting members has been approved by

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SPLS or the StdC. However, the PC Chair may hold organizational meetings for individuals interested in becoming members of the PC, and the group may begin developing the standard or guideline. The SPLS Liaison shall be invited to the organizational meetings.

4.4 PC Chair Proposes Work Plan (WP)The PC Chair shall develop a WP and submit it for approval by the SPLS Liaison and SPLS. If a replacement PC Chair is selected for an existing PC, the PC Chair and SPLS Liaison shall develop a WP if one does not exist.

4.4.1 Work Plan ContentThe WP shall include at least the following elements:

a) the approved TPS of the proposed or revised documents;b) the five-year ANSI cycle date for revision projects (obtain from MOS);c) major project milestones and estimated date of completion for each milestone;d) plans for interim meetings and any support that will be requested to facilitate them;e) interest category plan (See Clause 4.11);f) a communication plan to promote development of consensus prior to public review

among materially affected interests who are members of the project committee; g) the planned style and format as related to the intended audience/users of the document,

including the Units Format Plan; andh) whether intended for use in codes or regulatory documents and,i) a succession plan for a future Chair and Vice Chair (s).

4.4.2 Work Plan ApprovalsA draft work plan is submitted by a PC Chair for approval by the SPLS Liaison and SPLS. WPs submitted by SSPCs and SGPCs must also be approved by the StdC. Any subsequent changes to the WP shall be approved by the same procedure.

4.4.3 Work Plan Submission DeadlinesNewly formed PCs draft work plans are to be submitted for approval no later than one year from the date the full PC roster is approved. SSPC’s and SGPC’s updated draft work plans are to be submitted for approval no later than six months from the publication of a new edition. Any subsequent changes to the WP shall be approved by the same procedures.

4.5 Use of SubcommitteesThe PC Chair may organize the committee structure using formal subcommittees. If subcommittees are used, the Chair’s recommendation for subcommittee Chair must be approved by SPLS. All other recommendations are approved under the approval procedures of Normative Annex G . Responsibilities of various PC subcommittees typically are to develop drafts of one or more assigned clauses of a standard or guideline, annexes, or addenda; prepare a system of units; prepare text in appropriate language; establish educational activities (see Clause 4.15); develop draft responses to requests for interpretation; or develop proposed responses to comments resulting from public review. Subcommittee actions shall be submitted as recommendations for action by the parent PC.

4.6 Project Committee OfficersPC officers consist of a Chair, Secretary, and in some cases also Vice Chair(s) and Subcommittee Chair(s). The Chair and any Vice Chairs or Subcommittee Chairs must be ASHRAE members. Only individual members as defined in Clause 4.8 are eligible to serve as Chair, Vice Chair or a Subcommittee Chair.

4.7 Standard or Guideline Project Committee OfficersThe Chair shall appoint a Secretary and recommend a Vice Chair, if the size or activity of the PC warrants one.


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4.7.1 PC ChairThe Chair is responsible for the organization and functioning of the committee. The Chair’s duties and responsibilities shall include, but not be limited to:

a) preside over all meetings of the committee;b) prepare agendas for all committee meetings;c) ensure that minutes are prepared and distributed following each committee meeting;d) recommend roster changes to SPLS as needed;e) appoint ad hoc working groups whenever necessary to carry out the committee work;

andf) ensure that the committee makes steady progress and meets targets indicated in the

work plan.

4.7.1.2 PC Vice ChairThe Vice Chair shall be approved by SPLS. In the absence of the Chair, the Vice Chair shall assume the duties of the Chair at any scheduled or called meeting of the committee. The Vice Chair shall perform other duties that may be assigned by the Chair. In the event the Chair is unable to perform the Chair’s duties, the Vice Chair shall assume all duties of the Chair until a successor is selected.

4.7.2 Standing Project Committee Officers

4.7.2.1 Standing PC ChairThe Standing PC Chair is responsible for the organization and functioning of the committee. The Standing PC Chair’s duties and responsibilities shall include, but not be limited to:

a) preside over all meetings of the committee;b) prepare agendas for all committee meetings; c) ensure that minutes are prepared and distributed following each committee meeting;d) recommend roster changes to SPLS as needed;e) appoint ad hoc working groups whenever necessary to carry out the committee work;

andf) ensure that the committee makes steady progress and meets targets indicated in the

work plan.

4.7.2.2 Standing PC Vice Chair(s)The Standing PC Vice Chair(s) shall be approved by SPLS for each Standing PC. The Standing PC Vice Chair(s) shall be a Project Committee Voting Member (PCVM), Project Subcommittee Voting Member (PSVM), or Non-Voting Member (NVM) of the Standing PC and a member of ASHRAE. See Clause 4.8.4 for membership definitions. In the case of more than one Vice Chair, a Lead Vice Chair shall be elected by the Standing PC to permit the preferential succession of a Vice Chair to the duties of the Chair.

The Vice Chairs shall perform duties that may be assigned by the Chair. In the absence of the Chair, the Lead Vice Chair shall assume the duties of the Chair at any scheduled or called meeting of the committee. In the event the Chair is unable to perform the Chair’s duties, the Lead Vice Chair shall assume all duties of the Chair until a successor is selected.

When the Chair’s term expires or he/she resigns or is otherwise relieved of responsibility, the Lead Vice Chair shall become Acting Chair and will normally be approved as Chair at the next StdC meeting.


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4.7.2.3 Standing PC SecretaryThe Standing PC Chair shall appoint a Secretary if a recording secretary is not provided by Standards Staff.

4.7.2.4 Subcommittee OfficersEach subcommittee shall have a Chair that must be approved by SPLS. The subcommittee Chair shall be a PCVM unless an exception is authorized by SPLS.

4.8 PC MembersA PC shall have individual members and designated PCs may have organizational members. Individual members are appointed as “personal members,” not as representatives of any organization, corporation, partnership, or employer. An organizational member designates a representative, and at the organization’s discretion, an alternate, to serve in the absence of the representative, to participate in PC activities in the same manner as an individual member, except that the representative and alternate may not serve as a Chair or Vice Chair of a committee.

4.8.1 Participation in Committee ActivitiesEach PC member is expected to attend meetings and participate in other committee activities, such as conference calls, letter ballots, e-mail correspondence, etc. Failure to regularly do so, without an acceptable reason, shall be sufficient cause for the PC Chair to recommend to SPLS removal of a person from the PC membership roster. See Clause 4.14.3.

4.8.2 Qualifications and SolicitationEach individual PC member, organizational representative and alternate organizational representative shall be knowledgeable in the discipline of the standard or guideline. An individual member, organizational representative, or alternate organizational representative does not have to be a member of ASHRAE but shall comply with ASHRAE rules and procedures. Members shall be solicited from the cognizant Technical Committee and through a call for members announcement.

4.8.3 Applications and FormsEach member of a PC shall submit a completed “Application For Project Committee Membership” form to the MOS identifying any pertinent interests, including any sources of financial support that might affect the choice of interest categories in the deliberations of the PC (See Clause 4.11). The statement shall be considered in determining project committee membership. If a joint sponsorship agreement exists for the standard, the provisions of the agreement take precedence.

4.8.3.1 Application FormsEach candidate for individual membership, organizational representatives and alternates (for initial appointment and/or reappointment) must complete an “Application For Project Committee Membership,” complete or update candidate information in the “My Profile” section on the ASHRAE Web Site, and complete a “Potential Sources of Bias/Conflict of Interest” form, so that the information is less than a year old. The “Application for Project Committee Membership” and “Potential Sources of Bias/Conflict of Interest” forms may be downloaded from the ASHRAE Web Site or provided by the MOS upon request from an interested candidate. When a completed profile is on file, the candidate will be requested to update the information. Once appointed, an individual member shall notify the PC Chair and MOS in writing of any significant change in these relevant relationships throughout their tenure. The MOS will submit copies of all application information to the PC Chair for consideration.


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4.8.3.2 Restrictions on use of Biographical Data, Bias, and Conflict of Interest InformationExcept as noted below, only ASHRAE staff, the PC Chair, the StdC, Tech Council and the BOD, unless deemed appropriate by the MOS, shall have access to, and copies of, biographical data, bias and conflict of interest information, which shall be treated as sensitive and confidential material. No person authorized to have access to these data shall use the information for other than Society purposes and shall not release any information contained therein without the express approval of the person involved. The potential sources of bias and conflict of interest data only shall be made available by the PC Chair for viewing by PC Members but may not be copied by any party to which it is shown.

4.8.4 Types of PC MembersPC members are approved in accordance with Normative Annex G. Membership classifications are:

Project Committee Voting Member (PCVM): PCVMs are eligible to vote on PC motions. PCVMs are also eligible to vote on subcommittee motions to which the PCVM is appointed.

Project Subcommittee Voting Member (PSVM): PSVMs are eligible to vote on subcommittee motions to which the PSVM is appointed. PSVMs are not eligible to vote on PC motions. PSVMs are not included in interest balance and quorum requirements for the PC.

Non-Voting Member (NVM): An NVM is an additional type of membership for PCs not formally organized into subcommittees. NVMs are not eligible to vote on PC motions. NVMs are not included in interest balance or quorum requirements.

Organizational Member (OM): An OM is an organization with a voting representative on the PC that represents the interests of that particular organization rather than serving as an individual.

4.8.5 ConsultantsThe PC Chair may appoint or remove consultants who are experts in a specific section of the SCD to be developed. Consultants must complete candidate information in the “My Profile” section on the ASHRAE Web Site, and complete a “Potential Sources of Bias/Conflict of Interest” form. The information provided must be less than one year old. If subcommittees are used, the consultant shall be assigned as adviser to a subcommittee. The PC Chair shall inform SPLS of the specific area of expertise/service to be provided by the consultant and the subcommittee assignment if appropriate. Consultants are listed with the PC membership roster for convenience but are not members of the PC or its subcommittees and shall not vote. A limit of three consultants may be assigned to a subcommittee or to a PC not using subcommittees. Consultants’ terms shall expire at the end of the tenure of the PC Chair making the appointment.

4.8.6 Organizational Membership

4.8.6.1 Organizational MembersSubject to approval of SPLS, the PC Chair may nominate an organization as an organizational member (OM). The designated organizational representative (OR) of the OM may serve as a PCVM or a PSVM of the PC. For consideration of appointment as an OM, the organization should normally be a governmental agency, public interest group, or organization that represents a number of entities such as a trade association. Organizations such as educational institutions or corporations and partnerships engaged in commerce shall not be eligible for OM status.


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Organizations are informed of the availability of organizational memberships on specific PCs by one or more of the following:

a) notice in ASHRAE Insights, ASHRAE Journal, ANSI Standards Action, etc.;b) posting on the ASHRAE Web Site;c) press releases to the applicable trade press; ord) direct communication to potential materially-affected organizations.

4.8.6.2 Criteria for Considering Organizational MembersThe PC Chair should consider the following criteria in nominating organizations for OM status on a PC:

a) the degree to which members of the organization are materially affected by the mandatory requirements of the standard;

b) the ability of the representative of the organization to represent the interests of the members of the organization;

c) the capability of the organization to provide an individual with appropriate technical or scientific qualifications to serve as their representative, and if desired, another individual with appropriate technical or scientific qualifications to serve as an alternate organizational representative (AOR); and

d) the willingness of the organization to abide with the terms of organizational membership.

4.8.6.3 Requirements of Organizational MembershipTo be appointed as an OM, the organization shall agree to the following:

a) to participate in a constructive way to achieve the TPS of the standard;b) to provide an individual with appropriate technical or scientific qualifications to serve as

its representative, and if desired, another individual with appropriate technical or scientific qualifications to serve as an alternate to its representative;

c) to empower its designated representative to vote on all motions that come before the PC or subcommittee to which they are assigned;

d) to empower its designated alternate to vote on all motions that come before the PC or subcommittee to which they are assigned when the representative is unable to vote;

e) to encourage the constituency of the organization to provide input and public review comments to the organization’s representative;

f) to encourage organizational members to provide consolidated public review comments from their constituency;

g) to provide feedback to the constituency of the organization on the disposition of input and public review comments submitted by the organization’s representative; and

h) to not expect any financial support from ASHRAE for expenses related to participation in the activities of the PC.

4.8.6.4 Applications for Organizational MembershipAn application for appointment as an OM shall be obtained from the MOS.

4.8.6.5 Limits on the Number of Organizational Representatives Serving as PCVMsThe number of ORs appointed to serve as PCVMs shall not exceed 1/3 of the combined number of individual PCVMs and organizational PCVMs appointed to serve on the PC. If the number of ORs on the PC temporarily exceeds the prescribed maximum number due to resignation, removal or death of individual members, appointment of replacement individual members of the PC should be expedited by SPLS.

4.8.9 International Organizational LiaisonsIn order to facilitate the development and promote the acceptance of its standard, a PC may choose to establish liaisons with external bodies such as international trade or professional organizations, international standards committees, and other groups with an interest in the work


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of the PC. An International Organizational Liaison (IOL) is expected to participate directly in PC meetings and contribute to achieving the TPS of the standard or guideline. The establishment or removal of an IOL is done at the request of the PC Chair in consultation with the SPLS Liaison. IOLs must complete the Invitation for Project Committee Membership form, which may be downloaded from the ASHRAE Web Site or provided by the MOS upon request. IOL terms shall expire at the end of the tenure of the PC Chair making the appointment. An IOL may be reappointed and is not required to resubmit another Invitation form yet must acknowledge the reappointment.

The IOL does not have a vote at PC meetings and does not impact quorum but:a) is listed on the PC roster;b) receives all documents and communications that are distributed to members of the PC;c) reports status of PC activities to the constituency of the organization; andd) provides input from the constituency of the organization.

4.10 Project Committee Size

4.10.1 Normal PC SizeThe PC shall consist of no less than 5 PCVMs with no upper limit, including the Chair. In addition to the PCVMs, the PC membership may also include PSVMs if the PC is organized into subcommittees or NVMs if not organized into subcommittees.

4.10.2 Number of NVMs on PCThe number of NVMs shall not exceed the number of PCVMs serving on a PC.

4.10.3 Number of PSVMs on SubcommitteeOn a subcommittee, the number of PSVMs shall not exceed the number of PCVMs.

4.11BalanceASHRAE’s requirements for balance on SPCs and SSPCs flow from ANSI’s “due process criteria.” The ANSI Essential Requirements: Due process requirements for American National Standards states, “The standards development process should have a balance of interests. Participants from diverse interest categories shall be sought with the objective of achieving balance.” Historically the criteria for balance are that a) no single interest category constitutes more than one-third of the membership of a consensus body dealing with safety, or b) no single interest category constitutes a majority of the membership of a consensus body dealing with all other standards.

The purpose of balance is to help arrive at a consensus by ensuring that all viewpoints are considered in a PC’s deliberations. It is the belief of ASHRAE (embraced in our procedures) that when there is a balance of interests on a committee and when representatives of “all directly and materially affected interests” constructively participate in the project committee, subcommittee, or advisory activities and consensus is reached, a fair standard will result. Balance on GPCs and PC subcommittees is desirable but not required.

To ensure balance, no interest category shall have a voting majority except with the recorded assent of the members in the other categories and approved by SPLS. Efforts to recruit materially affected and interested parties from diverse interest categories to become members of a non-balanced SPC shall be on-going and documented.

4.12 Interest CategoriesASHRAE’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


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function of the nature of the standards being developed. Interest categories shall be discretely defined, cover all materially affected parties and differentiate each category from the other categories.” In defining the interest categories appropriate to a standards activity, consideration shall be given to at least the following (defined in Annex A1):

a) Producer b) User c) General

Where appropriate, additional interest categories should be considered to ensure consensus of directly affected and interested parties related to a particular TPS.1

Appropriate representative user views shall be actively sought and fully considered in standards activities. Whenever possible, user participants shall be those with the requisite technical knowledge, but other users may also participate. User participation should come from both individuals and representatives of organized groups. There are several user categories as examples:

1. User-Consumer: Where the standards activity in question deals with a consumer product, such as window room air conditioners or residential/commercial dehumidifiers, an appropriate consumer participant’s view is considered to be synonymous with that of the individual user – a person using goods and services rather than producing or selling them.

2. User-Industrial: Where the standards activity in question deals with an industrial product, such as chillers used for process cooling, an appropriate user participant is the industrial user of the product.

3. User-Government: Where the standards activity in question is likely to result in a standard that may become the basis for government agency procurement or a regulation applicable to government buildings, an appropriate user participant is the representative of that government agency.

4. User-labor: Where the standards activity in question deals with subjects of special interest to the employee/worker, such as products used in the workplace, an appropriate user participant is a representative of labor.

4.12.1 Interest Category ClassificationWhen proposing formation of a new or revision PC, the recommending cognizant Technical Committee, in conjunction with the proposed PC Chair, shall identify and define interest categories for identified stakeholders and those with the requisite technical expertise and interest needed to develop the standard or guideline, in accordance with Clause 4.12.

The cognizant TC shall include the recommended interest categories and their definitions in the Form for Proposing a Standard or Guideline Project, which may be downloaded from the ASHRAE Web Site or provided by the MOS upon request. Interest categories and their definitions shall be approved by SPLS.

For an existing PC requesting new interest categories or revised interest categories due to a TPS change, the PC Chair shall submit a recommendation to SPLS for approval, with a copy to the MOS, demonstrating committee balance structure using the new or revised interest categories. Definitions for all interest categories used by the PC must be submitted with the recommendation to ensure that no overlap exists.

4.12.2 Allowable Number of PCVMs from One OrganizationThere shall not be more than one PCVM from any one company, association, agency, etc.

11 Further interest categories that may be used to categorize directly and materially affected persons consist of, but are not limited to, the following: a) Consumer; b) Directly affected public; c) Distributor and retailer; d) Industrial/commercial; e) Insurance; f) Labor; g) Professional society; h) Regulatory agency; i) Testing laboratory; j) Trade association.


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4.13 Tenure

4.13.1 PC TenureSPC and GPC members are expected to serve until the project has been completed and the PC discharged.

4.13.2 Standing PC Tenure

4.13.2.1 Standing PC Tenure for ChairsA policy-level Standing PC Chair should be appointed for no more than two full years. A non-policy level Standing PC Chair should be appointed for no more than four full years. SPLS may consider additional terms for Standing PC Chairs. The effective date of tenure expiration for Standing PC Chairs shall be the closing of the ASHRAE Annual Meeting at the end of the Society year in which the second or fourth year anniversary falls.

4.13.2.2 Standing PC Tenure for PCVMsStanding PC voting members (PCVMs) should be appointed for no more than four full years, except as provided in Clause 4.13.2.3. A Standing PC Chair’s request for additional term(s) may be considered by SPLS. The effective date of tenure expiration shall be the closing of the ASHRAE Annual Meeting at the end of the Society year in which the term ends.

4.13.2.3 Standing PC Tenure for PSVMs and NVMsStanding PC members serving as PSVMs and NVMs should be appointed for not more than four full years. Staggering of terms for PSVMs and NVMs is recommended but not required. A Standing PC Chair’s request for an additional term(s) may be considered. PSVMs and NVMs whose PC membership category is subsequently changed to PCVM shall be allowed a full PCVM tenure.

4.13.2.4 Rotation of Standing PC MembershipPCVM membership shall be rotated in a manner that assures continuity and balance as determined by the Standing PC Chair and approved according to Normative Annex G . When initially approved, PCVMs shall be assigned a term of service such that the terms of approximately one-fourth shall expire at the close of each Society year. The PC Chair should choose between two options to initiate staggered terms:

a) recommend initial tenures of 1, 2, 3, or 4 years. When the initial tenure approaches expiration, recommendations may be considered to extend tenure of the 1- or 2-year tenured PCVMs by 4 years; or

b) recommend tenure groups of 3, 4, 5, or 6 years, with no provision for tenure extension.

4.13.2.5 Tenure of Organizational Members, Representatives and AlternatesSubject to approval by SPLS. OMs shall be appointed for a term not to exceed two years with an option for an indefinite number of renewals at the discretion of SPLS. The tenure of the representative and alternate shall be the same as that of the OM. On PCs organized by subcommittees, OMs may be rotated between PCVM and PSVM positions following the rules that apply to individual members. OMs are subject to removal prior to completion of their appointed term for failure of the organization, its representative, or its alternate, to adhere to the agreed-upon terms of organizational membership, subject to the approval of SPLS. The PC Chair may recommend the removal of an OM if the OM is not represented by its representative or its alternate at two consecutive meetings of the PC and the organization does not provide acceptable reasons for the absences to the PC Chair. SPLS shall approve all removals.


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4.14 Roster Creation and Maintenance

4.14.1 Roster SubmissionWhen initially forming a PC or when modifying an existing PC’s membership, the PC Chair shall nominate PCVMs, and may nominate PSVMs or NVMs, by submitting the following to the MOS for forwarding to the approving body per Normative Annex G :

a) the recommended interest categories with definitions and rationale for their selection;b) a proposed membership roster designating the type of membership and interest

category of each candidate;c) the subcommittee assignment(s) for each candidate, if the PC is organized by

subcommittees;d) the completed forms required in Clause 4.8.3;e) documentation of committee balance by listing the total number of candidates in each

interest category or records of assents according to Clause 4.11; andf) basic reason(s) for each applicant not nominated.

4.14.2 Member ResignationThe PC Chair may accept a PC member’s written resignation without approval. The member will not be removed from the roster until the MOS receives copies of the letter of resignation and the Chair’s response.

4.14.3 Removal for CauseThe PC Chair may recommend removal of a PC member from the roster for due cause, by submitting a recommendation and justification in writing to the SPLS Liaison and MOS. PC Chair recommendations for termination of the membership can be based on a failure to actively participate in the PC proceedings or meet PC responsibilities, including but not limited to: missing two consecutive PC meetings without prior approval from the PC Chair; failure to attend at least 50% of scheduled PC meetings within any twelve month period; and/or failure to return at least 60% of the letter ballots within any twelve month period. The submittal shall include a copy of the PC Chair’s notification to the PC member of intent to recommend removal. The MOS will transmit the recommendations of the PC Chair and SPLS Liaison and related correspondence to SPLS for action in a meeting or by letter ballot. The SPLS Chair may call an executive session of the SPLS or the PC to discuss the matter. Failure to fully disclose any conflict of interest shall be grounds for removal from the PC.

SPLS may recommend removal of one or more PC members from the roster for any of the reasons stated above.

4.14.3.2 Removal for Cause Initiated by SPLSSPLS may recommend removal of a PC member from the roster of one or more PCs due to a conflict of interest (defined in Annex A) or a violation of the ASHRAE Code of Ethics by submitting a recommendation and justification in writing to the MOS.

4.14.4 Termination of a Project Committee

4.14.4.1 Termination for Failure to Form a Project CommitteeIf a PC Chair and membership roster are not submitted within twelve months after the project is approved, the MOS shall:

a) if this is a new project where the formation of a PC and TPS have been approved, discontinue the project; or

b) where a revision committee has been authorized, refer the disposition to SRS for either reaffirmation publication public review or withdrawal public review.


June 28, 2014Page 10

4.14.4.2 Termination for Cause or Due to Lack of PerformanceIf the PC reports that it cannot prepare an acceptable SCD or addendum within a reasonable period of time, the PC may be discharged by SPLS. 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 shall determine whether another Chair should be sought or whether the matter should be sent back to PPIS to re-evaluate the need.

A PC may also be discharged by SPLS at any time for due cause (e.g., another organization has developed a suitable standard; research is needed before the standard can be completed; or upon recommendation for discontinuance by the PC following close of publication public review or advisory public review).

4.14.4.3 Records of Terminated PCs When the PC is discharged, all its records shall be forwarded to the MOS through the Chair who will remove non-pertinent and duplicate information.

4.15 Development of Educational MaterialsThe PC shall determine the need for educational materials, such as a user manual or professional development course, in support of the standard. If a need exists, the PC shall identify the educational materials needed and notify the SPLS Liaison and MOS. This notification may include a request that the PC be given responsibility for writing the educational materials. A subcommittee or working group may be created with responsibility for writing educational materials to support the standard. This subcommittee may suggest sources of funding or solicit help from other volunteers and organizations.

5 PC MEETINGS, VOTING AND CORRESPONDENCE

5.1 Meetings

5.1.1 Open MeetingsAll PC meetings are open, on a space-available basis, to observation by directly and materially interested persons who are not members of the PC; however, participation in the meeting is only by permission of the Chair.

5.1.2 PC MeetingsThe Chair of newly formed PCs should hold an organizational meeting of the PC at the first opportunity. In person meetings should be held in conjunction with the Annual and Winter Meetings of the Society and as frequently in between the Society meetings as the schedules and resources of the committee members allow. In addition, committees should also make use of teleconferences, e-mail, Internet file servers and collaboration sites to support their deliberations. The SPLS Liaison shall be invited to all meetings.

5.1.2.1 Quorum RequirementsIn order to take any action requiring a vote at a meeting of a PC or its subcommittees, a quorum must be present. A quorum exists if a majority of the voting membership is present.

5.1.2.2 PC Meetings Scheduled in Conjunction with ASHRAE Society MeetingsPCs shall meet in conjunction with the Annual and Winter Meetings of the Society, unless other arrangements are made as detailed in 5.1.2.4 Interim Meetings.

5.1.2.3 Reserving/Canceling Meeting SpacePC Chairs must request meeting space, scheduling the dates and times through the ASHRAE Conference Services Manager for PC meetings held in conjunction with ASHRAE Society



conferences. Meetings held in conjunction with Society conferences are announced on the ASHRAE Web Site. PC Chairs must contact the Conference Services Manager to cancel reserved space or to change the meeting date or time.

5.1.2.4 Concurrent Electronic and Physical (E&P) Meetings at Society Conferences A formal request must be made by the PC Chair in writing to the Manager of Standards at least 30 days prior to the scheduled Conference. This request must contain a list of the expected voting members participating remotely and bona fide substantiation of the reason(s) for the request. The request must also include the expected number of members and guests participating remotely. Final approval for concurrent electronic and physical meetings shall be by the SPLS Chair. If meetings are only physical meetings then the normal submission rules for meeting rooms shall apply. See PC MOP 5.1.2.3 Reserving/Canceling Meeting Space.

5.1.2.5 Executive Session ExclusionDiscussions of a sensitive, proprietary (such as votes on research proposals), or of a personal nature, that warrant executive session may not be conducted using electronic means or by phone once an open meeting has begun.

5.1.2.6 Voting at Concurrent E&P MeetingsPC Chairs must conduct all votes via roll call of all voting members in attendance, in person and remote. Similarly, all voting members, in person and remote must be called on individually and given equal opportunity to participate in discussion and provide input on any motion.

5.1.2.7 Supporting Materials for Concurrent E&P MeetingsAny supporting information that is available to those physically present at the Meeting must be made similarly available to those remote Member(s) intending to vote via electronic medium; and vice versa.

5.1.2.8 Interim Meetings a) PCs are encouraged to hold meetings between ASHRAE Society meetings. If the PC

requires interim meeting support from ASHRAE, an indication of the expected meeting schedule and the nature of the support needed must be included in the work plan.

b) Advanced approval is required for reimbursement and transportation funds. Limited funds may be available to reimburse facility, equipment and refreshment expenses. Limited reimbursement may be available for transportation expenses for critically needed members in hardship cases.

1. All funds must be requested by the PC Chair in advance of deadlines set by the MOS. This request shall include justification of the need.

2. Where exceptional support from an outside source may raise questions about the appearance of undue influence, the MOS may request that the PC Chair obtain approval from the SPLS Liaison and StdC Chair prior to the meeting. Exceptional support includes lodging and airfare and may include full meals (breakfast, lunch, and dinner). Exceptional support does not include providing: meeting rooms, audio-visual equipment, copies of committee materials for the meeting, snacks and refreshment, local shuttle service, access lines for conference calls, and a web server for the committee.

c) Authorization of the Chair’s request for interim meeting support must be recommended by the SPLS Liaison and StdC Chair, and approved by the Technology Council Chair.

5.1.2.8.1 Notice of Interim Meetings



The PC Chair shall advise the full PC roster and the MOS of all PC meetings or teleconferences between Society Meetings in time (minimum of 30 days for in person and 14 days for teleconference) to permit the MOS to notify known interested persons who may wish to participate. Information provided should include the date, time, location, principal purpose of the meeting, and person to contact for further information. Absent such notification, any action requiring a vote shall not take place at the meeting.

5.1.2.8.2 Funding For Interim MeetingsThe Society fiscal year is July 1 - June 30. PC Chairs who anticipate they will be requesting funding during the following fiscal year need to provide their funding needs to the SPLS Liaison and MOS by February 15th. The MOS is authorized to approve meeting requests if expenses do not exceed $500.00, if expenses exceed that amount, approval by the StdC Chair, Tech Council Chair and SPLS Liaison is required.

5.1.3 Subcommittee Interim MeetingsSubcommittees are encouraged to have interim meetings as needed subject to the same rules and constraints as PC meetings.

5.1.4 Conduct of MeetingsThe Chair shall preside over meetings of the PC. In the absence of the Chair the Vice Chair or other designee will preside. The conduct of a PC meeting or part of a meeting shall be governed by Robert’s Rules of Order Newly Revised (general guidance is provided by the ASHRAE booklet, The a-b-c’s of Parliamentary Procedure) whenever:

a) a PC meeting agenda item is intended to result in a standards action or an official interpretation of a standard; or

b) under other circumstances when a PC member requests that the meeting be conducted under Robert’s Rules.

5.1.5 Minutes of MeetingsMinutes shall be kept of all meetings of the PC. Minutes shall include date, time and place of meeting, member attendance, motions and resulting votes, and action items assigned. A list of visitors shall be attached. Minutes shall contain a record of what was done at a meeting, not what was said, and shall summarize significant discussions. Technical presentations or material made available to the PC upon which the PC is making a decision related to standards actions shall be included as an attachment to the minutes or the minutes shall indicate a publicly available source of material. All draft minutes distributed by a PC shall include the following notice on the bottom of the cover page:

“These draft minutes are not the official minutes until approved by this committee.”

5.2 Voting

5.2.1 Voting Rules for MeetingsUnless otherwise specified, actions of PCs and subcommittees require approval by a majority of those voting at a meeting. Standards actions, and issuance or revision of an official interpretation require affirmative votes of the majority of the membership and of at least two-thirds of those voting, excluding abstentions.

When recorded votes for standards actions are taken at meetings, members who are absent shall be given the opportunity to vote before or after the meeting before the ballot closes. Written reasons for any negative votes or abstentions shall be included within the continuation ballot. After the ballot closes any recirculation will be conducted in accordance with Clause 5.2.3. Negative votes and abstentions at a meeting of the committee should be explained in



writing. When negative votes are recorded without comments no response is required and the negative voter shall not be offered the right to appeal.

5.2.2 Voting Rules for Letter BallotsThe Chair of the PC (or its subcommittees) may authorize a letter ballot to be issued on any matter. Actions of the PC and subcommittees conducted by letter ballot require approval by a majority of the voting membership of the committee. Standards actions, and issuance or revision of an official interpretation require affirmative votes of the majority of the membership and of at least two-thirds of those voting, excluding abstentions. When a letter ballot is conducted via e-mail, rather than using “Reply to All,” all responders should reply only to the sender of the e-mail. A written response to objectors on a letter ballot vote shall be issued, advising each of the disposition of the objection and the reasons why.

5.2.3 Negative Votes on Letter Ballots of PCs and Project SubcommitteesPersons who cast negative votes on a letter ballot shall be asked if they wish to comment on reasons for their negative votes. 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 votes or to vote (by letter ballot or at the next meeting). If a reason is not provided for a negative vote, the eligible voters are informed of the negative vote by distribution of the letter ballot results.

The Chair of the entity voting by letter ballot may offer rebuttal to the comments of the negative voters. After the eligible voters have had ample opportunity (not in excess of two weeks if by letter ballot) to change their votes, the results shall be final. If negative votes with comments are received on the second round, all eligible voters will be informed but no further opportunities to change votes will occur. The comments of the negative voters shall be transmitted with the results of the votes to the higher level of approvals.

5.2.4 Rules for the Chair for Voting at a Meeting or by Letter BallotThe PC Chair shall vote yes, no or abstain on every motion before the committee and the result shall be recorded. If the PC Chair does not vote on a letter ballot it shall be recorded as unreturned.

5.2.5 Allowable Number of Individuals from One Organization Voting On Subcommittee MotionThere shall not be more than one person from any one company, association, agency, etc., voting on any subcommittee motion.

5.3 PC Correspondence

5.3.1 Minutes, Correspondence, Letter Ballots and DraftsThe Chair shall distribute, or see that the Secretary distributes, minutes of meetings, letter ballots and drafts of the standard to the full PC roster, including SPLS Liaison and Staff Liaison or the MOS.

5.3.2 Status Reports The Chair shall ensure that the SPLS Liaison receives reports covering the status of committee progress and future plans. These reports are due in time for the Liaison to report at the regularly scheduled StdC meetings.

5.4 PC and TC RelationshipsRelationships between PCs and TCs are established by designating cognizant TCs and TC Liaisons. For each ASHRAE standard or guideline, PPIS shall designate one or more cognizant TCs. When several cognizant TCs are appointed, one shall be designated as the Lead Cognizant



TC and the others shall be designated as a Co-Cognizant TC. TCs do not have approval rights over the work done by PCs for which they are cognizant. For all ASHRAE standards and guidelines, any TC may recommend to the PC Chair and SPLS Liaison that one of its members be appointed as a TC Liaison to the PC. The TC Liaison’s term shall expire at the end of the tenure of the TC Chair.

If the cognizant TC does not have a member on the PC or a liaison to the PC, the PC Chair shall ensure that the TC Chair is aware of the status of the standard. The PC Chair or TC Liaison should report on PC activity at an appropriate meeting of the TC.

6 PROPOSED DRAFT STANDARD, ADDENDUM OR REVISION

6.1 Working Draft(s)

6.1.1 PC Shall Develop Working DraftThe PC shall develop a draft of the proposed or revised standard or addendum using the approved structure and style for ASHRAE Standards given in the Guide for Writing Standards in Mandatory Language for the normative portions of the standard. For Code-Intended Standards, the normative portions of the draft shall also be written in accordance with the Guide for Writing Code-Intended Standards. The draft should be complete without unnecessary reference to other SCDs. All guidelines shall be written in informative language.

Working Drafts shall include these statements:

This is a working draft document intended for review only by the cognizant ASHRAE groups and other designated reviewers and is not for distribution to any private interests, individuals or third parties that are not designated as ASHRAE reviewers for this document.

This document may not be distributed in whole or in part in either paper or electronic form outside of the PC without the express permission of the MOS and shall include a statement indicating such.

The appearance of any technical data or editorial material in this draft document does not constitute endorsement, warranty or guaranty by ASHRAE of any product, service, process, procedure, design, or the like, and ASHRAE expressly disclaims such.

A copyright symbol “,” the month, the day, and year, and “ASHRAE,” shall be marked on the cover of all copies of working drafts.

6.1.2 Units PolicyASHRAE SCDs shall conform to the ASHRAE Units Policy. Official interpretations of SCDs shall be formatted in the same system(s) of units as the parent SCD. PC requests for waiver of these requirements shall be submitted to the SPLS Liaison for recommendation to SPLS. A waiver must be approved by StdC and granted by the ASHRAE Publisher/Director of Publications & Education. See Normative Annex C .

6.1.3 Contractual Language, Commercial References, Proprietary Sources of Material, and PatentsASHRAE SCDs shall not:

a) contain commercial references or contractual language;b) require proprietary materials or specific sources of supply or testing with no alternatives;

or



c) require use of a patented item with no alternatives, except as provided in the following normative annexes:Normative Annex D- Commercial Terms and conditions;Normative Annex E - Proprietary Materials, Specific Sources of Supply, or Individually Built Apparatus; andNormative Annex F - Patents in ASHRAE SCDs.

6.1.4 Criteria for Standards Intended for Use as Regulatory Documents or for Reference in Another American National Standard ASHRAE Standards or portions of SCDs intended for adoption in building codes or other regulatory documents or that are intended to be recognized as, or referenced by, an American National Standard (ANS), shall comply with the following criteria. All ASHRAE Standards shall comply with these criteria:

a) portions not intended to be enforced shall be incorporated in informative annexes, other advisory documents or notes;

b) all terms shall be defined when they deviate from an ordinarily accepted meaning or dictionary definition;

c) the scope or application of a standard shall be clearly described; d) a standard shall not require proprietary materials to the exclusion of others;e) a standard shall not prescribe a proprietary agency for quality control or testing;f) a standard which includes testing procedures shall describe, in detail, preparation of the

test sample and sample selection;g) a test standard shall prescribe the reporting format for the test results. The format shall

identify the key performance criteria of the element(s) tested; h) the measure of performance for which the test is conducted shall be clearly defined;i) an ASHRAE Standard shall not state that its provisions shall govern whenever it conflicts

with a standard that references the ASHRAE Standard; andj) standards referenced in ASHRAE Standards should be readily available.

6.1.5 Revision of Title, Purpose and Scope (TPS)If, during the course of developing a new or revisions to an existing standard or guideline, it is determined that changes to an approved TPS are warranted, a PC shall submit a request to the MOS for approval of proposed changes to the current approved TPS prior to submission of a standard, guideline or addendum for public review. The request shall indicate the proposed changes to the approved TPS with existing text to be deleted denoted by strikethrough and new text to be added denoted by double underline. The request shall also include the rationale supporting the proposed changes to the TPS, the PC vote and the date of the meeting or letter ballot associated with the PC vote. Editorial changes to a TPS may be approved by the MOS, otherwise the request shall be submitted to approving bodies in accordance with Normative Annex G.

6.1.5.1 Public Notice Notice of a proposal to revise an approved TPS shall be announced in ASHRAE Standards Actions. If it is determined that the revised TPS results in the identification of new stakeholder groups likely to be directly impacted by the standard, a notice shall also be placed in the ANSI Standard Actions. Such notices shall invite public comment for a minimum period of 30 days. If any substantive public review comments are received, the cognizant PC will review and respond to the comments as outlined in Section 7. If necessary the PC may revise the TPS following provisions outlined in Clause 6.1.5. If no public review comments are received, the revised TPS automatically becomes approved on the close of the public comment date.



6.1.6 Criteria for Approval of a Standard With respect to any proposal to approve, revise, or reaffirm an ASHRAE standard, PCs shall ensure that:

a) due process requirements were met;b) consensus was achieved;c) the standard is within the purpose and scope approved by the Standards Committee;d) any identified significant conflict with another ASHRAE Standard or American National

Standard was resolved; e) other known national standards were examined with regard to harmonization and

duplication of content;f) any proposed American National Standard was provided to the administrator(s) of the

appropriate U.S. Technical Advisory Group(s);g) ANSI’s patent policy is met; h) StdC prohibitions of commercial references, exclusive use of proprietary materials, or

prescribing a proprietary agency for quality control or testing are met; andi) any appeal meeting the criteria of B1 through B6 of Annex B (PASA) was completed.

In addition, PCs shall consider any evidence provided that the proposed standard is contrary to public interest, contains unfair provisions, is unsuitable for national use, contradicts federal law(s), or is technically inadequate.

PCs shall not recommend approval of standards that duplicate an existing or proposed ANS unless there is a compelling need.

6.1.7 Criteria for Approval of a GuidelineApproval of a guideline is a standards action and shall be preceded by a formally voted recommendation of the PC in accordance with Clause 5.2 .

6.2 Public Review Drafts PCs may recommend a draft SCD to SPLS for one of two types of public review: an "Advisory Public Review" (APR) or a "Publication Public Review" (PPR).

Public Review Drafts shall include:

This draft is covered under ASHRAE copyright. The appearance of any technical data or editorial material in this publication document does not constitute endorsement, warranty, or guaranty by ASHRAE of any product, service, process, procedure, design or the like and ASHRAE expressly disclaims such. Permission to republish or redistribute must be obtained from the MOS.

A copyright symbol “,” the month, the day, and year, and “ASHRAE,” shall be marked on the cover of all copies of public review drafts.

6.2.1 Approval Cycles for Public Review Drafts. PCs that are developing code-intended standards may submit APR packages at any time, but PPR package submission shall adhere to deadlines established by MOS in order that the public review process be coordinated with the code change cycles of the ICC. See http://www.ashrae.org/pc-chairs-meeting-deadlines. PCs that are developing non-code intended standards may submit APR and PPR Public Review packages at any time. The duration and timing of the review will be established by the MOS.

6.2.1.1 Notifications for Draft Standards not Published Within One Year of Public ReviewFor standards being revised in full or standards on periodic maintenance, the PC Chair shall notify the ASHRAE MOS if publication will not occur within 12 months of the close of the most recent public review period.



http://www.ashrae.org/pc-chairs-meeting-deadlines

6.2.1.2 Notifications for Addenda to Standards on Continuous Maintenance not Incorporated into the Next Full Version of the StandardThe Chair of the SSPC shall notify the ASHRAE MOS when addenda to standards on continuous maintenance are not complete in time for the addenda to be incorporated into the next full publication of the standard in accordance with the timeline established in 6.2.1.

6.2.2 Jointly Sponsored Standards, Guidelines or AddendaThe draft shall be submitted to joint sponsors for action in accordance with the joint sponsorship agreement.

6.2.3 Review of PPR Draft by Standards StaffPrior to the PPR draft’s submittal for approval the Standards Staff will review it for compliance with the criteria outlined in Clause 6.2.5. If the draft meets these criteria it will be submitted for processing for public review. If the draft does not meet these criteria then it will be forwarded to SPLS for approval in accordance with Normative Annex G. If the draft is not approved by SPLS for public review, it will be returned to the PC with a statement of action required.

6.2.4 Advisory Public Review (APR)A PC may vote by majority of the voting membership to recommend to the SPLS Liaison and SPLS Chair that a draft SCD, or portion thereof, be subjected to an APR if the PC believes that the draft contains new, unusual or potentially controversial elements that the PC believes would benefit from increased public scrutiny prior to finalizing the draft for publication public review (no continuation letter ballot, no roll call vote record, no marked up roster, or submittal form is needed). Any comments received as a result of an APR are deemed to be "supportive" and do not need to be "resolved" as described in Clause 7. Apart from acknowledging receipt of each comment, communication with the commenters is optional but may be undertaken to clarify a comment's intent or to invite further participation in the standard development process. The underlying concept of the APR is to gain increased public participation early in the development process and thus to deal with, and potentially resolve, controversy before publication approval is sought.

6.2.5 Publication Public Review (PPR)When a PC believes that an SCD is ready for publication, the PC shall recommend publication public review approval by an affirmative vote of a majority of the PC membership and of at least two-thirds of those voting, excluding abstentions, in accordance with Clause 5.2. If no comments are received or if the received comments are entirely supportive, the PC Chair shall notify the MOS that the draft can proceed for publication approval as described in Clause 6.2.5.3. Otherwise, the comment resolution process in Clause 7 must be followed.

6.2.5.1 PreparationThe PPR draft shall include a foreword prepared by the PC Chair and may include informative and normative annexes. All forewords shall be labeled as informative.

6.2.5.2 PC Recommendation of Publication Public Review DraftWhen a suitable draft standard, guideline or addendum has been developed, the PC shall recommend publication public review approval. For voting requirements see Clause 5.2.2.

6.2.5.3 Submittal of the Approved Publication Public Review Draft to MOS Once the PC has achieved consensus on their draft for publication and processing for public review the PC shall submit to the SPLS Liaison and Standards Staff the information requested in Clause 6.2.5.3.1. Staff will then process the draft for public review, which is normally thirty to sixty days, provided that:



a) there are no negative votes within the PC;b) no credible threat of legal action (in writing) against ASHRAE has been made

related to the proposed draft;c) the proposed draft is not related to a Policy Level Standard (Policy Level PC

Chair may request an exception. The SPLS Chair must grant or deny the exception within ten working days of submittal); and

d) the SPLS Liaison has not notified the MOS within ten calendar days, from the receipt of the package, with specific justification, that the PC has violated due process.

Meeting the above criteria constitutes a Fast Track SCD.

For all other cases (known as a Normal Track SCD) SPLS must approve the document before it can be issued for public review. If after public review no substantive changes are required, (i.e., there were no public review comments or only editorial changes are required), there is no need for the PC to vote to approve the PPR draft for publication — ASHRAE staff will process the draft and forward it for publication approval. If substantive changes are required, the project committee will incorporate those changes and again approve the document for publication public review and submit it to staff and its SPLS Liaison. One or more subsequent public reviews would follow until no further substantive changes are required, whereupon staff will process the draft and forward it for publication approval, in accordance with Normative Annex G.

In response to public review, the PC may approve an Independent Substantive Change (ISC) for publication public review. A vote for publication public review for an ISC is considered to supersede the previous votes for publication public review. The ISC is processed as a publication public review.

If the draft is not approved by SPLS for public review, it will be returned to the PC with a statement of action required.

6.2.5.3.1 Documentation Required with Submittal The following items shall be forwarded by the PC Chair to the MOS prior to approval:

a) PC Chair’s Publication Public Review Draft Submittal Form;b) final electronic copy of draft in Microsoft Word format;c) draft marked to show all changes made since last public review (if there was a prior

public review), preferably using the Track Changes feature of Microsoft Word;d) for an ISC public review, all documentation of communications between project

committee members and commenters from the last full public review and any subsequent ISC reviews that are outside of the messages exchanged through the OCD.

e) artwork (legible, reproducible and electronic)—in JPEG, TIFF, 600 dpi or better and native file format; and

f) letter ballot responses from each member of the PC or a roll call vote if at a meeting.g) written response to objectors on letter ballot vote advising each of the disposition of the

objection and the reasons why.

7 PC CONSIDERATION OF COMMENTS AND RESPONSE TO PUBLIC REVIEW COMMENTERS

All comments to public review drafts shall be submitted electronically via the online comment database (OCD) accessed through the ASHRAE Web Site. An exception to this rule may be granted by the MOS if the commenter can demonstrate that they do not have access to the Internet. Failure to bring procedural violations to the attention of the MOS will eliminate the violations as subject for acceptable public review comments.



7.1 Determining if a Comment Falls Within the Scope of a Public ReviewThe PC shall review all comments received and determine if they are within scope. In order to be considered within scope, a comment on the substance of the public review draft must cite a specific clause, table or figure, and provide a description of the claimed deficiency or error. For public reviews of ISCs the cited section must be within the stated scope of the review.

When the basis of a comment is procedural, the commenter shall identify the specific requirement in the Procedures for ASHRAE Standards (PASA) that was not followed.

7.2 PC Consideration of CommentsFor in-scope comments received during the public review period, the PC shall decide whether to incorporate them in the draft or take other appropriate action.

Comments received after the public review period has closed, or have been determined to be out of scope, may be considered by the PC or may be deferred for consideration at a later time as a new proposal. If the comment is deferred the commenter shall be notified.

New proposals for standards under continuous maintenance will be processed in accordance with Continuous Maintenance Procedures. New proposals for standards under periodic maintenance will be retained by the MOS until the next revision or reaffirmation.

7.3 Burden of ProofComments submitted during open public review may be based upon procedural or substantive grounds or both. When a substantive comment is submitted, it shall be the burden of the commenter to identify one or more acceptable changes that would resolve the comment and to show the reason for the change. When the basis of a comment is procedural, the commenter shall identify the specific requirement in the Procedures for ASHRAE Standards (PASA) that was not followed and why. Procedural violations of the Standards Committee MOP and PC MOP are not appealable to the Board.

7.4 Response, Reply and Resolution of Comments

7.4.1 Steps In Processing Public Review Draft Comments

a) Assign Comments to Selected Committee Members. Comments should be grouped (e.g., by section of the public review draft) and then distributed among the PC members assigned to draft recommended responses for approval by the PC. Options for response are limited to:

Accepted comment as submitted; Accepted , with minor changes (same approach to the issue); Accepted in principle (a different response to the issue is proposed); Rejected, except as noted (majority of comment is not accepted); Rejected; More information is needed Deferred, Out-of-Scope Deferred, Late

The response shall provide reasons for any recommendation other than the first option “accepted comment as submitted.”

b) Identify Commenter’s Intent/Resolution Potential. Before recommending a PC response, the responder should determine the commenter’s intent and what change(s)



the commenter would require for resolution of the comment. This may require direct communications with the commenter.

c) PC Votes on Draft Responses. Before responses are formally sent to the commenters, they must be approved by an affirmative vote of the PC. See Clause 5.2. Once approved, official responses shall be sent by the PC Chair to the commenters via the OCD.

d) PC Reviews Commenter Replies. The PC shall review the commenter replies to determine if the submitted response has resulted in a resolved comment. If not, further iterations of the response/reply cycle shall be undertaken until the commenter is resolved or it is determined that a resolution is not possible. If a reply to the committee response is not received within the reply deadline date set by the PC Chair on the commenter response form (a reply time less than 14 days shall be approved by the MOS), the commenter shall be considered to be unresponsive and ASHRAE will record their comment as resolved. The commenter shall be notified of this action and informed that an appeals process is available in accordance with PASA.

e) Document Communications with Commenters. The PC shall maintain a record of communications with commenters that are outside of the messages exchanged through the OCD. Examples include telephone calls, e-mail, and in person discussion. This documentation also becomes part of the record submitted when requesting publication approval.

7.4.2 Effort to Resolve CommentsThe PC shall respond to each commenter indicating the proposed disposition of comments and provide a rationale for the project committee decision via the OCD. The PC shall also inform commenters of the disposition of editorial comments via the OCD.

In cases where the PC has proposed not to incorporate a comment, the commenter shall be notified and given an opportunity to present additional arguments supporting the proposal via the OCD. The PC shall attempt to resolve all comments. All contacts with commenters via the OCD shall become a part of the file.

7.4.3 Resolving Comments Through Personal Discussion With CommenterAt any time during the comment resolution process the PC Chair can invite the commenter to personally participate in a meeting of the committee. The commenter is to be given an opportunity to present supporting information and materials and discuss any issues directly with committee members. After a full airing of views with participation of the commenter, the PC can vote a final disposition of the comment. The commenter then makes a determination whether or not the comment is resolved.

The commenter’s decision on whether or not the comment is resolved is entered into the online database when the commenter replies to the PC response. At that point the resolution process for this comment is completed.

7.4.4 Resolving Comments on Standard Requirements that are Based on Professional JudgmentIn cases where consensus for a requirement in a standard is based on professional judgment, a summary rationale for arriving at such a judgment shall be documented and provided to the commenter via the OCD as part of the PC response. Where the professional judgment of the committee relies on research data, the source of the data and a summary analysis of the degree of applicability to the case presented in the standard shall be provided.



7.4.5 Unresolved CommentersIf attempts to resolve a comment fail and the commenter is still unresolved, the commenter and comment shall be listed as unresolved in the PC Chair’s Final Publication Submittal Form.

7.5 PC Recommendation for Publication/Discontinuance Following Close of Publication Public Review and Resolution of CommentsFor SCDs where comments were submitted during a publication public review, the PC must process the comments and then determine whether to reconsider their prior vote for publication public review. The PC has four choices:

1. The PC may find that no changes need to be made to the publication public review draft. If there are unresolved comments, the PC shall confirm, by another vote, its recommendation for publication. If there are no unresolved comments, the prior PC recommendation for publication public review still stands.

2. The PC may find that only non-substantive (e.g., editorial) changes need to be made to the publication public review draft. The PC shall confirm by a vote that all changes made as a result of the public review were non-substantive. If there are unresolved comments, the PC shall confirm, by another vote, its recommendation for publication. If there are no unresolved comments, the prior PC recommendation for publication public review still stands.

3. The PC may find that substantive changes need to be made to the previous publication public review draft. In this case, the PC must then vote for a revised publication public review. This second vote automatically supersedes the previous recommendation for publication public review.

4. The PC may find that the previous publication public review document should be discontinued. In this case, the PC must rescind their previous recommendation for publication and vote for discontinuance subject to SPLS approval.

8 REVISION OF PUBLICATION DRAFT

8.1 Substantive Changes Requiring Subsequent Full Public ReviewAfter consideration of comments or because of new information received, the PC may decide on changes in the draft that the PC considers substantive and that require another publication public review of the complete draft. In this case, the commenters from the publication public review shall be notified via the OCD comment acknowledgment email that no formal response will be sent by the project committee to the commenter, another full publication public review will take place, and the dates of the public review will be announced in the ASHRAE Standards Actions. The PC is not required to respond to each comment. Any substantively changed draft must be approved and resubmitted by the PC for publication public review.

8.2 Revised Draft with Independent Substantive ChangesAfter consideration of comments or because of new information received, the PC may decide on changes in the draft that the PC considers substantive and that require another publication public review of only ISCs. Comments on sections that are addressed by the ISCs need not be resolved. The PC shall approve and submit a revised draft identifying the ISCs, and a publication public review limited to ISCs shall be conducted.

8.3 Updating of ReferencesThe PC shall review appropriate sections of the latest version of normative references used in the draft SCD to determine if the version should be updated. Normative reference updates shall be processed under Clause 8.1, or under Clause 8.2.



8.4 Format of ISC Public Review DocumentsThe MOS, in coordination with the PC Chair, shall determine the format of publication public review of ISCs, i.e., whether to review the changes alone or as incorporated in revised sections, subsections, pages or the full draft standard, guideline or addendum. The ISC draft shall clearly indicate which portions are subject to public review and comment.

9 SUBMISSION OF FINAL PUBLICATION DRAFT

9.1 Preparation of Final Draft for Publication RecommendationAfter the comment resolution process has concluded, the PC Chair shall notify the MOS that the draft can proceed for publication approval. Staff shall then process the draft and move it forward for approval in accordance with Normative Annex G. The final draft may include only non-substantive or editorial changes. All changes shall be marked for staff review. In cases where the PC and staff disagree on whether the changes are editorial or substantive, the final decision shall be made by SPLS. The PC shall send each commenter a copy of any changes made subsequent to actions taken in response to the comment.

9.2 Criteria for Recognizing Contributors in Published SCDThe list of contributors to a published SCD should normally consist of all voting and non-voting members who served on the PC during the development of the SCD. All voting members at the time of the PC vote for publication will be designated as such. PC Chairs may request removal of specific names from the list if there is supporting documentation to prove the individual never actively participated in the development of the SCD. PC Chairs may also request the addition of specific names of individuals who made significant contributions to the development of the SCD even though they were not officially members of the PC.

9.3 Final Publication PackageThe following items must be forwarded by the PC Chair to the MOS prior to publication approval:

a) PC Chair’s Final Publication Submittal Form; b) final electronic copy of draft in Microsoft Word format;c) final draft marked to show changes made since last public review, preferably using the

Track Changes feature of Microsoft Word; d) artwork (legible, reproducible and electronic) in JPEG, TIFF, 600 dpi or better and native

file format;e) list of contributors; andf) record of final letter ballot, PC roll call, and any recirculation vote recommending

publication in accordance with Clause 7.5.

10 PC PROCEDURES UPON PUBLICATION OF STANDARD OR GUIDELINE

10.1 Discharge of PCUpon publication of the standard or guideline, the PC will be discharged unless the life of the PC has been temporarily extended for a stated purpose.

10.2 Preparation of an AddendumWhen a PC identifies a need to immediately develop an addendum to a recently published standard or guideline, the life of the PC may be extended to process the addendum.

10.3 Recommendation for an SSPC or SGPCA PC may recommend that an SSPC or SGPC be established. A principal reason could be the need for revision more frequently than the normal five-year cycle.



11 CONTINUOUS MAINTENANCE OF STANDARDS AND GUIDELINESAn SSPC or SGPC approved to operate under continuous maintenance procedures shall follow the procedures in this section. Change proposals may be submitted at any time by the public using the procedures indicated in the published standard or guideline or by a PC member. Substantive changes to standards or guidelines under continuous maintenance must undergo the same procedures as addenda or revisions under periodic maintenance, in addition to the procedures in this clause.

11.1 Processing Change ProposalsThe MOS shall forward proposed changes received to the SSPC or SGPC Chair for committee action and response. The SSPC or SGPC shall communicate with the proposer as needed to clarify the intent of the proposal.

11.1.1 Responding to the ProposerA committee responder shall draft a recommended SSPC or SGPC response, including any potential changes to the standard and submit it to the SSPC or SGPC Chair. Options for SSPC or SGPC responses are limited to:

a) proposed change accepted for public review without modification;b) proposed change accepted for public review with modification;c) proposed change accepted for further study; andd) proposed change rejected.

The response shall provide reasons for any recommendation other than option a) “accepted for public review without modification.”

Option c) “proposed change accepted for further study” shall not be used unless the further study can be completed within 7 months of approval of the option. Upon completion of the further study, the PC shall approve response option a, b, or d above.

The SSPC or SGPC Chair shall ensure that the approved committee response is conveyed to the proposer within thirteen months of receipt by the MOS.

11.1.2 Revisions to the Standard or Guideline based on Change ProposalsThe SSPC or SGPC shall follow the procedures in Clauses 6 through 10 for processing revisions to the standard or guideline.

11.2 Time Limits for Revision of Standards or Guidelines under Continuous MaintenanceIf no revisions or addenda are approved for publication within four years of the prior publication date of a standard or guideline under continuous maintenance, action to revise, reaffirm, or withdraw the standard or guideline shall be initiated. If no revisions or addenda are approved for publication within 5 years of the prior publication date, then the method of maintenance shall be changed from continuous to periodic.

11.3 Publication of New Edition Publication approval of a new edition of a standard or guideline under continuous maintenance shall occur within five years of the prior publication date. The new edition may be a complete revision or shall incorporate any addenda approved for publication since the publication of the previous edition. Timing of the publication of a new edition that only incorporates previously approved addenda is determined by the SSPC or SGPC Chair in consultation with the MOS and does not require any other approvals.



11.4 Withdrawal of SCDIf the TC/TG/TRG/PC determines that the SCD is no longer appropriate, the TC/TG/TRG/PC may recommend that it be withdrawn. Withdrawal procedures are defined in the StdC Reference Manual Section 17.2.

12 CHANGING THE METHOD OF MAINTENANCE The method of maintenance of a standard or guideline may be changed at any time from periodic to continuous maintenance or from continuous to periodic maintenance by recommendation of SPLS and approval by StdC. The change, the effective date, and any necessary instructions shall be announced.

13 PUBLICATION OF ERRATA When it is determined that a published SCD contains errors, such as those listed in the definition of errata in Normative Annex A , an errata sheet may be prepared at the discretion of the MOS. Published errata are posted on the ASHRAE Web Site.

14 RESPONSE TO INTERPRETATION REQUESTSInterpretation requests for a standard or guideline must be submitted to the MOS in writing. The response will be in accordance with StdC Reference Manual Section 10.3.

15 EMERGENCY INTERIM STANDARDS ACTION When a proposal for Emergency Interim Standards Action is received by an existing PC from the MOS, the committee shall submit a recommendation within 14 days to the MOS on what, if any, standards action should be taken. A proposed Emergency Interim Standards Action may also be initiated by the project committee.

16 USER MANUALSUser manuals may be beneficial for end users of certain standards or guidelines and may be requested by the PC.

17 VIOLATIONS OF ASHRAE PROCEDURESClaims that violations of ASHRAE procedures that have been, or are occurring, should be immediately brought to the attention of the MOS, who will inform the StdC Chair, the PC Liaison and the PC Chair for prompt corrective action, if justified. See PASA 6.3.4.2 and StdC MOP 1.7 for specific requirements.



NORMATIVE ANNEX A: DEFINITIONS, ABBREVIATIONS, ACRONYMS, AND CLASSIFICATIONS

A1 DEFINITIONS

addenda: revisions to a standard or guideline in the form of a supplement.

alternate (system of) units: see unit conversions – definitions.

alternate organizational representative (AOR): an individual empowered by an organizational member of a project committee to act on their behalf in the activities of the project committee when the representative of the organizational member is absent.

annex: an appendix or attachment. See informative annex and normative annex.

American National Standards Institute (ANSI): an organization responsible for the identification and approval of a single consistent set of voluntary standards designated as American National Standards; and for the coordination among standards developers to ensure that national standards needs are met without conflict or unnecessary duplication in their requirements

ANSI’s membership includes companies, government agencies and organizations interested in standards promulgation and use.

ANSI, as the U. S. member body of international standards organizations like the International Organization for Standardization (ISO) and the International Electro Technical Commission (IEC), coordinates the activities of U. S. standards writing organizations participating in international standards writing projects.

balance: a condition existing when a) no single interest category constitutes more than one-third of the membership of a consensus body dealing with safety, or b) no single interest category constitutes a majority of the membership of a consensus body dealing with all other standards.

Board of Standards Review (BSR): a board of the American National Standards Institute (ANSI) that is responsible for approval and withdrawal of American National Standards. ANSI Essential Requirements require use of the designation “BSR” as part of the designation of any draft American National Standard or addendum submitted for public review. If the draft is approved as an American National Standard, the “BSR” designation is replaced by “ANSI” in the designation of the approved standard or addendum.

clause: the basic component in the subdivision of the text of a standard. See subclause and paragraph.

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. The data contained in the code change proposal shall be technically equivalent, but not necessarily identical to the Standard from which it is prepared and shall be of an easy to follow format. (See ROB 1.201.004)

code intended standard: A standard intended to be adopted as a code using code language.

code language document: A document that presents a set of requirements related to the design, application, or use of HVAC&R and related technologies where all or portions of the



document may be enacted as mandatory enforceable requirements by a political jurisdiction. Portions intended to be enforced (normative) are written in mandatory, enforceable language. Portions not intended to be enforced are identified as informative and are usually located in informative annexes (appendices) or other advisory documents. See annex, informative annex and normative annex.

cognizant TC, TG or TRG: the ASHRAE technical committee, task group, or technical resource group within whose scope a particular standard committee document’s technical content most logically falls. The cognizant TC, TG or TRG provides technical advice to the Standards Committee when a standard project committee does not exist.

compliance: the act of complying with rules or requirements.

comply: to act in accordance with a requirement.

conflict (between standards): refers to a situation where, viewed from the perspective of an implementer, the terms of one standard are inconsistent with the terms of another standard such that implementation of one standard necessarily would preclude proper implementation of the other standard in accordance with its terms.

conflict of interest: It is essential that the work of committees not be compromised by any significant conflict of interest, or in some circumstances the significant appearance of conflict of interest, on the part of any member of a committee or anyone associated with the work of a committee (e.g., consultants, staff, etc.). For this purpose, the term "conflict of interest" means any financial or other interest which conflicts with the service of an individual because it (1) could impair the individual's objectivity or (2) could create an unfair competitive advantage for any person or organization. The existence of a significant conflict of interest ordinarily disqualifies an individual from service.

consensus: 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. It is not required that each separate interest subcategory reach consensus on the standard. For ASHRAE standard projects and any jointly sponsored standard projects that use ASHRAE Procedures, the project committee is the consensus-forming body. “Duly appointed authority” means the Board of Directors of ASHRAE and, in the case of jointly sponsored standards, the Boards of Directors of ASHRAE and the joint sponsor(s). For American National Standards, “duly appointed authority” means the ANSI Board of Standards Review.

continuous maintenance: maintenance of a standard or guideline by a standing project committee for which procedures have been established to consider and process proposed changes as they are received.

design standards: see A3 Classification of Standards.

dominance: 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.

draft types: advisory public review draft: a draft submitted for public review that contains unusual, potentially controversial or new elements that the project committee believes would



benefit from increased public scrutiny prior to finalizing the draft for publication public review.

publication public review draft: a draft approved for public review that will proceed directly to publication if, as a consequence of the review, no substantive changes are made to the draft.

working draft: an unapproved draft produced for consideration by the project committee or a subcommittee.

due process: a course of proceedings carried out in accordance with established rules and principles. Due process allows for equity and fair play for all participants. It means that any person with a direct and material interest in a standard has a right to participate by (a) expressing a position and its basis, (b) having that position considered, and (c) appealing if adversely affected.

Emergency Interim Standards Action: action taken by the society President, without completing all elements of due process, on an ASHRAE standard or guideline that has been published or has received publication approval by the Board of Directors. An emergency interim standards action has effect for limited duration and is for the exclusive purpose of correcting errors, other than errata, when failure to take timely corrective action would: substantively undermine the purpose or technical credibility of the standard or guideline, taken as a whole; or constitute undue risk to health or safety of the public or users of the standard or guideline.

equivalent: see unit conversions – definitions.

errata: a list of errors discovered after a document is published such as:typographical errors;misprints;misspellings;grammatical errors;omission of material approved by the Standards Committee; anderroneous inclusion of material.

fast track: an approval procedure for a standards committee document that meets these criteria:

a. there are no negative votes within the PC;b. no credible threat of legal action (in writing) against ASHRAE has been made

related to the proposed draft;c. the proposed draft is not related to a Policy Level Standard (Policy Level PC Chair

may request an exception. The SPLS Chair must grant or deny the exception within ten working days of submittal); and

d. the SPLS Liaison has not notified the MOS within ten calendar days, from the receipt of the package, with specific justification, that the PC has violated due process.

(See normal track)

five-year review: a review of need for standards action, scheduled so that processing and final approval of the resulting recommended action may reasonably be expected within five years from the date of Board approval of publication of ASHRAE Standards and Guidelines, or within five years of ANSI approval as an American National Standard.

foreword: introductory remarks, not part of the standard.



guideline project committee (GPC): a committee of technically qualified individuals whose function is to formulate, review or revise ASHRAE Guidelines.

guideline: A document written in informative language that provides state-of-the-art design or best practice guidance. Guidelines provide information on system selection, design approaches, practices and goals as well as setting optimum achievable performance levels. Guidelines 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. (See ROB 1.201.004)

independent substantive change (ISC): a substantive change that is independent of any other substantive change and that does not significantly affect any other requirement in the standard. See substantive change.

informative annex: additional information of a non-mandatory nature. Changes to informative annexes are considered non-substantive. Informative annexes can be changed or deleted without requiring public review. See annex, normative annex and notes.

informative language: language used in those elements of an SCD for which compliance is not required, often characterized by the use of “should” or “may.”

interest: the perspective of a member of a project committee, as judged by his or her present and past sources of income, fees, or reimbursements of related expenses, in the context of the purpose and scope of the project committee. The perspective may also be judged by the recorded views of the individual, or of any organization he/she is employed by or of which he/she is a member.

interest categories: a classification of project committee member interests. For some projects, it may be appropriate to designate subcategories of one or more interest category. Default interest categories are:

Producer: A member who represents the interest of those that produce materials, products, systems, or services covered in the project scope.

User: A member who represents the interest of those that purchase or use materials, products, systems, or services other than for household use covered in the project scope.

General: A member who cannot be categorized in any other approved interest category covered in the project scope.

Additional examples of interest categories and subcategories that have been used can be obtained from the MOS.

International Organization for Standardization (ISO): an international non-treaty standards organization based in Geneva, Switzerland. Its members, national standards bodies, promulgate standards covering all fields except electrical. The American National Standards Institute is the U.S. member body.

international organizational liaison (IOL): a non-voting representative of an international trade or professional organization, international standards committee, or other group with an interest in the work of the PC.



interpretation: the written explanation of the meaning of specific provisions of a standard or guideline, as determined by the project committee or the interpretations committee in response to an inquiry.

interpretations committee (IC): a committee of technically qualified individuals whose function is to interpret an ASHRAE standard or guideline.

mandatory language: language that prescribes the requirements of a standard in a manner that is clear and unambiguous. It provides a basis for determining, without a doubt, whether or not compliance with the standard has been achieved. It is often characterized by the use of “shall” or “must.”

method of test and classification standards: see A3 Classification of Standards.

non-substantive changes: non-substantive changes are limited to:a) changes to the main body of text of the standard or guideline to update information

references; to correct errata, punctuation or grammar, typographical errors or style; or to add equivalent SI or I-P values;

b) changes to the foreword, membership rosters, or other adjuncts not part of the standard or guideline; and

c) changes to informative appendices or annexes not part of the standard or guideline.

normal track: an approval procedure applied to a standards committee document that meets one or more of these criteria:

a) receives one or more negative votes upon approval for publication orb) where ASHRAE receives a written legal threat or c) is a policy level standard.

(See fast track)

normative annex: additional information of a mandatory nature which, for reasons of convenience, is placed after the main body of the document. See annex and informative annex.

non-voting member (NVM): a member of a project committee not organized into subcommittees, who are not eligible to vote on project committee motions.

notes: explanatory information, appearing in a standard, that does not contain requirements or any information considered indispensable for the use of the standard. Notes are to be placed at the end of the clause or subclause, or after the paragraph, to which they refer. If the “note” is more than a few sentences then it should be an informative annex.

organization: a group of people representing a particular interest such as a trade association, public interest group, or government agency.

organizational member: an organization with a voting representative on the project committee that represents the interests of that particular organization rather than serving as an individual.

organizational representative (OR): an individual empowered by an organizational member to act on their behalf in the activities of the project committee.

paragraph: an unnumbered subdivision of a clause or subclause.



periodic maintenance: review and action on a nominal 5-year cycle to revise, reaffirm, or withdraw a standards committee document.

policy level document: a standards committee document designated as “policy level” by the Board of Directors or the Board’s designee.

primary (system of) units: see unit conversion – definitions.

project committee (PC): a standard or guideline project committee or a standing standard or guideline project committee.

project committee voting member (PCVM): a project committee member eligible to vote on motions. If subcommittees are used, a PCVM is also eligible to vote on motions of subcommittee(s) to which the PCVM is appointed.

project subcommittee voting member (PSVM): a project committee member eligible to vote on motions of a subcommittee to which the PSVM is appointed, but not on project committee motions.

protocol standards: see A3 Classification of Standards.

public review comment: statement, objection or proposed revision to standards, guidelines or addenda submitted in accordance with procedures specified in the public review draft during a public review.

rating: the assigned values of those performance characteristics, under stated conditions, by which a piece of equipment may be chosen to fit its application. These values apply to all equipment of like nominal size and type (identification) produced by the same manufacturer.

standard rating: a rating based on tests performed at standard rating conditions.

application rating: a rating based on tests performed at application rating conditions (other than standard rating conditions).

rating conditions: a set of operating conditions under which a level of performance is determined or measured.

standard rating conditions: rating conditions used as the basis of comparison of performance characteristics.

rating standards: see A3 Classification of Standards.

rational units: see unit conversions - definitions.

reference, informative: a reference to a document that provides additional information not necessary to comply with the referencing standard. The fact that a reference is informative (as opposed to normative) shall be made clear by the way in which it is referred to in the text.

reference, normative: a reference to a document that establishes a requirement necessary to comply with the referencing standard. The fact that a reference is normative (as opposed to informative) shall be made clear by the way in which it is referred to in the text.

shall: a verb used to indicate a requirement.



should: a verb used to indicate a recommendation.

SPLS liaison: a member of the Standards Project Liaison Subcommittee (SPLS) assigned to act as a Standards Committee advisor to a project committee.

standard: a document established by authority or rule that defines properties, processes, dimensions, materials, relationships, procedures, concepts, or nomenclature. Adherence to due process in its development and achievement of consensus are conditions of approval. See A3 Classification of Standards.

standard project committee (SPC): a committee of technically qualified individuals with a balanced representation of interests whose function is to formulate, review, reaffirm, or revise an ASHRAE standard. The SPC is the consensus-forming body and is responsible for the technical content of the standard. It is discharged upon publication of the standard.

standards action: an action recommending or approving publication of a new, revised, or reaffirmed standard or guideline, or withdrawal of a standard or guideline.

Standards Action: a periodical published by the American National Standards Institute to inform interested persons about American National Standards (ANSs), including proposals to initiate projects to develop or revise ANSs, announce intent to reaffirm or withdraw existing ANSs, communicate status of international standards, announce public review of proposed or revised procedures of ANSI accredited standards developers, etc.

standards committee documents (SCD): standards, guidelines, user manuals, or code change proposals.

Standards Project Liaison Subcommittee (SPLS): a subcommittee of the Standards Committee, which is responsible for coordinating and supervising the development and revision of ASHRAE standards and addenda. The members of this subcommittee are designated SPLS liaisons to specific project committees.

standing guideline project committee (SGPC): a committee similar in membership and function to a guideline project committee except that the committee has a continuing assignment of duties and responsibilities with respect to a guideline. It is expected to provide addenda as needed, generate revisions on a regular basis, and render interpretations.

standing standard project committee (SSPC): a committee similar in membership and function to a standard project committee except that the committee has a continuing assignment of duties and responsibilities with respect to a standard. It is expected to provide addenda as needed, generate revisions on a regular basis, and render interpretations.

subclause: a numbered subdivision of a clause. A primary subclause may be further subdivided into secondary subclauses.

substantive change: a change that involves an important (has value, weight or consequence), fundamental (is the foundation, without which it would collapse), or essential (belongs to the very nature of a thing) part or changes the meaning of the material or that directly and materially affects the use of the standard. Changes that may be found substantive when examined in context include:

a) “shall” to “should” or “should” to “shall”;b) addition, deletion or revision of mandatory requirements, regardless of the number of

changes; orc) addition of mandatory compliance with referenced standards. See independent

substantive change.



Changes or deletions made to portions of a draft not intended as part of the approved standard (e.g., a foreword, informative annex or note), are not considered substantive.

system of units: inch-pound units (I-P) or International System of Units (SI).

unit conversions - definitions:

alternate system of units: the system of units listed second (expressed in parentheses when dual systems, I-P and SI are used, expressed in either consistent rational or equivalent values.)

equivalent: exact arithmetic conversions, also called “soft conversion.”

primary system of units: the system of units listed first (expressed in rational values).

rational: based on, or derived from, logical or coherent numbers. Rational values are usually, but not necessarily, rounded numbers. Rational values are not necessarily bound by mathematical equivalency of the primary and secondary units systems. The conversion process is sometimes called “hard conversion.”

unresolved public review commenter: an individual who, during the comment period, submitted public review comments to a proposed or revised draft standard, guideline or addendum, was not satisfied with the committee response to those comments and, within the time period and procedure specified in the response, requested to remain “unresolved”.

user manual: a document that provides detailed design guidance with practical examples and solutions to assist a practitioner in complying with the standard or guideline. A user manual is not necessarily the standard of care and does not cover all potential alternatives. (See ROB 1.201.004)

A2 ABBREVIATIONS AND ACRONYMS

ANS American National Standard

ANSI American National Standards Institute

AOR alternate organizational representative

APR advisory public review

ASHRAE American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc.

BOD ASHRAE Board of Directors

CIS Code Interaction Subcommittee

IC interpretations committee

IOL international organizational liaison

I-P inch-pound units: units using inches, pounds, and other designations; as opposed to SI units in the metric system. Examples are: foot, Btu, horsepower, gallon.



ISC independent substantive change

ISO International Organization for Standardization

MOP manual of procedures

MOS Manager of Standards

NVM non-voting member

OCD online comment database

OM organizational member

OR organizational representative

PC project committee

PCVM project committee voting member

PPIS Planning, Policy and Interpretations Subcommittee of the Standards Committee

PPR publication public review

PSVM project subcommittee voting member

SCD standards committee document SI Le Systeme International d’Unites; the international agreement on the metric

system of units. A practical system of units divided into three classes: base units, derived units and supplementary units. The base units are composed of the units of the following seven quantities: length (meter), mass (kilogram), time (second), electric current (ampere), thermodynamic temperature (Kelvin), amount of substance (mole), and luminous intensity (candela).

The second class of SI units contains derived units, i.e., units that can be formed by combining base units according to the algebraic relations linking the corresponding quantities. The names and symbols of some units thus formed in terms of base units can be replaced by special names and symbols which can themselves be used to form expressions and symbols of other derived units.

A third class of SI units, called supplementary units, contain the SI units of plane and solid angle. (Ref. Le Systeme International d’Unites)

SPC standard project committee.

SPLS Standards Project Liaison Subcommittee of the Standards Committee

SRS Standards Reaffirmation Subcommittee

SSPC standing standard project committee

StdC Standards Committee



TAC Technical Activities Committee

TC technical committee appointed by TAC

TG task group appointed by TAC

TPS title, purpose and scope

TRG technical resource group appointed by TAC

UFP Units Format Plan

WP work plan



A3 CLASSIFICATION OF STANDARDS

A project committee (PC) may be requested by the StdC to write standards in any of the following subcategories (See ROB 1.201.004) Method of Test and Classification: Method of Test and Classification Standards shall typically provide a uniform set of procedures and processes for determining the performance of a system, equipment or thermal fluids/refrigerant. The standards typically identify a uniform method of testing, identification of test equipment for performing such tests, identification of data required and calculations to be used, as well as establishing definitions and terminology. Method of Test and Classification Standards shall define minimum requirements for code application. (Examples: ASHRAE Standards 41 Series, 74, and 93.)

Design: Design Standards shall 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. Alternative performance compliance paths may be outlined in the standard but shall be detailed separately in normative appendices. Standards shall provide cost effective solutions while defining minimum compliance requirements for code applications. The basic compliance standard shall only address the primary scope issue. It may identify related issues of concern, but these should be addressed separately. Recommendations for systems and equipment, construction and startup, operation and maintenance, etc. and all other design related data shall be included in separate Protocol Standards or Guidelines. (Examples: ASHRAE Standards 55, 62, and 90 Series.)

Protocol: Protocol Standards shall typically provide uniform practice, procedure or performance requirements as well as establishing reference information. The requirements may include, but are not limited to: calculations, construction, inspection, installation, maintenance, services and operation. The reference information may include, but is not limited to: conditions, data, definitions, descriptions, designations, factors, identifications, terminology and symbols. (Examples: ASHRAE Standards 100 and 135.)

Rating: 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.)



NORMATIVE ANNEX B: POLICY STATEMENT APPROVED BY ASHRAE BOARD OF DIRECTORS RE: LIABILITY OF PROJECT COMMITTEE AND SUBCOMMITTEE MEMBERS

1.201.028 Indemnification Resolution (Reprint of ROB 1.201.028)Resolved, that this Corporation, as a matter of policy to the full extent permitted by the law of the State of New York, shall indemnify any member, director, officer, employee, agent or volunteer of the Corporation made, or threatened to be made, a party to an action or proceeding, whether civil or criminal, including an action by or in the right of any other corporation serves or served in any capacity at the request of this Corporation, by reason of the fact that he or she is or was a member, director, officer, employee, agent or volunteer of this Corporation, against judgments, fines, amounts paid in settlement and reasonable expenses, including attorneys’ fees, actually and necessarily incurred as a result of such action or proceeding, or any appeal therein, if such member, director, officer, employee, agent or volunteer acted in good faith for a purpose which he or she reasonably believed to be in the best interests of this Corporation and, in criminal actions or proceedings, in addition, had no reasonable cause to believe that his or her conduct was unlawful, except that no indemnification shall be made in respect of any claim, issue or matter as to which such member, director, officer, employee, agent or volunteer shall have been adjudged to be liable for gross negligence or willful misconduct in the performance of his duty to this Corporation. 1-0-126-001 (79-09-17-LB/88-05—21-49/95-02-54/97-06-29-23)



NORMATIVE ANNEX C: ASHRAE UNITS POLICY IN STANDARDS AND GUIDELINES

C1 UNITS POLICY (Reprint of ROB 1.201.002)

The units use or application policy shall include, as a minimum, time-dated directions on the use of SI and I-P in all ASHRAE publications.

TC 1.6 shall serve as the authority on SI and I-P usage and application.

Research projects; codes, standards, guidelines and addenda thereto; special publications; Insights articles; Journal articles; and Handbooks shall be prepared using the International System of Units (SI) and/or inch-pound units (I-P) in formats approved by the Publishing and Education Council.

The Publishing and Education Council shall review annually the approved formats to be used in ASHRAE publications, considering suggestions from members and committees, and shall establish any changes in the approved formats.

The Publishing and Education Council shall consider this Units Policy annually and shall recommend to the Board of Directors the formats to be used in ASHRAE publications.

(a) The format for ASHRAE publications shall be dual units, except in cases determined by the Publishing and Education Council, where two separate versions are to be published, where

one is rational SI and the other is rational I-P. For selected ASHRAE standards and guidelines,

the Standards Committee may approve use of SI units only.

(b) In dual unit publications, the units used in calculating the work being reported shall be listed first. The alternate system of units should follow in parentheses. Authors shall round off equivalents in the alternate system of units so that they imply the same accuracy as is implied with the primary system of units.

(c) Exceptions require the approval of the Director of Publishing and Education.

Handbook volumes shall be published in separate SI and I-P editions.

C2 Basic Approach. For standards and guidelines, the policy is satisfied by use of dual units. Immediately after formation of the PC, the PC must develop a Units Format Plan (UFP) based on the prioritized options listed in Table C-1. If dual units are to be used, the PC must identify in the UFP which system of units will be primary (i.e., listed first). The UFP will be submitted as part of the Work Plan to the SPLS Liaison for recommendation to SPLS.

If the UFP includes any approach not allowed by the Units Policy, an exception must be justified in writing and attached with the UFP for recommendation by the SPLS Liaison and approved by SPLS. If SPLS approves the UFP and request for waiver, SPLS will request that the waiver be granted by the Director of Publications and Education in writing. The waiver should be obtained before the PC begins work to develop or revise the standard or guideline. This will help to assure approval of a non-conforming draft by the SPLS when the PC ultimately recommends public review.

C3 Steps if Incorporating Dual Rational Units. The PC may use dual rational systems of units in a standard or guideline by using the following steps:



(a) Review the options listed in Table C-1.(b) Decide whether the primary system of units is to be SI or I-P. See Table C-1.(c) Identify in the UFP whether the primary and secondary systems are to be

included in a single document or in separate documents. Approval must be obtained if separate documents are recommended.

(d) If introducing SI units for the first time, decide which units are most appropriate (or preferred) for each parameter. See C.5.

(e) Determine rational values for the subject parameters. See “definitions” below.(f) Determine an appropriate level of precision (i. e., number of significant

figures) for the values and tolerances used. In the case of dual rational systems of units, check that the level of precision is approximately comparable for the two systems of units. See “Resources” below.

(g) List the primary system of units first followed by the secondary system of units in parenthesis.

C4 Steps If Incorporating Equivalent Units. Follow Steps a, b, d (if the primary system of units is SI), and f above. Paragraph 5(b) of the ASHRAE Units Policy gives requirements for rounding to be used in Step f.

C5 Resources. For step d above, page 5 of the ASHRAE publication SI for HVAC&R, May 1999, lists the preferred SI units for typical HVAC equipment. The same information is given under the heading SI UNITS for HVAC and R Catalogs on p. 139 of the ASHRAE Terminology of HVAC&R, Second Edition, 1991. Conversion factors are given on page 6 of SI for HVAC&R and p. 140 of the ASHRAE Terminology of HVAC&R.

C6 Designating Types of Conversions. The terms “hard” and “soft,” with respect to conversions between SI and I-P systems of units, are not self-explanatory. More descriptive terms for hard and soft conversions would be “rational” vs. “equivalent” conversions.

TABLE C-1: Preferred Systems of Units for ASHRAE Standards and Guidelines

(A)Standards/Guidelines Not Intended for Use as Regulatory Documents

(B)Standards/Guidelines Intended for Use as Regulatory Documents

1. Preferred Primary system: SI RationalSecondary system: I-P Rational

Primary system: I-P RationalSecondary system : SI Rational

2. Acceptable (Requires Justification)

Primary system: SI RationalSecondary system: None

Primary system: SI RationalSecondary System : None

3. Acceptable (Requires Justification)

Primary system I-P RationalSecondary system: SI Rational

Primary system: SI RationalSecondary system: I-P Rational

Notes:1. If an I-P only system of units or two versions (both SI and I-P) in separate

publications are proposed to be used, a request for waiver must be approved by SPLS and the waiver must be approved by the Director of Publications and Education.

2. All primary systems of units shall be in rational format. Secondary units shall be in rational format unless justification is approved to use equivalent units.



NORMATIVE ANNEX D: COMMERCIAL TERMS AND CONDITIONS

D1 Provisions involving business relations between buyer and seller such as guarantees, warranties, assignment of responsibilities for compliance and other commercial terms and conditions shall not be included in an ASHRAE Standard. This does not exclude provisions concerning the determination of conformity with a standard. D2 An ASHRAE standard shall not prescribe a proprietary agency for quality control or testing to the exclusion of other qualified agencies.

D3 Requests for waiver of these requirements must be approved by the StdC.



NORMATIVE ANNEX E: PROPRIETARY MATERIALS, SPECIFIC SOURCES OF SUPPLY, OR INDIVIDUALLY BUILT APPARATUS

E1 Proprietary MaterialsAn ASHRAE standard shall not have the effect of requiring proprietary materials to the exclusion of others, except as allowed under E2.2.

E2 Use of Trademarks and Specific Sources of Supply for Apparatus, Reagents, and Reference MaterialsTo ensure the widest possible use of ASHRAE standards, it is imperative that sources of supply exist for apparatus, reagents and reference materials. This is particularly important for unique, unusual, or difficult-to-obtain items.

E2.1 It is the responsibility of the project committee to assure that apparatus, reagents, and reference materials are available to the public so that a specific procedure can be performed. Each time an existing standard is reviewed or revised, and at the time a new standard is proposed, the committee shall make such a determination.

E2.2 The PC shall provide to the MOS the names and addresses of sources of supply and shall update this information at the times indicated in E2.1. When specific trademarks are used or specific sources of supply are given, the following rules shall apply:

1) Reference to specific trademarks shall be permitted only when it has been found necessary to write part or all of the standard or guideline on the basis of a single commercial apparatus, reagent, or reference material in order to obtain sufficiently reproducible results. References to specific commercial sources of supply shall be permitted only when one source, or a few sources, of supply are known and the source or sources are not likely to be generally known.

2) Generally, the trademarks of apparatus, reagents, or reference materials should not appear in the title of methods. When the name of the apparatus is in the public domain such as “Rockwell” or “Saybolt Viscometer,” such names may appear in the titles if approved by the Standards Committee. Specific trademarks or apparatus, when necessary, may be included in the section on apparatus or in the scope, or in both, as determined by the project committee in consultation with the MOS. Where it is possible to describe the apparatus and limiting parameters in the main text and to give the trademarks only in notes and footnotes, this should be done.

3) Where compliance with a standard is based on the use of a specific primary apparatus, but the test method or other requirement can be modified to permit the use of an alternate apparatus, a note shall be included after the description of the primary apparatus stating this. When an alternative test method is given, the project committee shall include applicable calibration procedures to permit the user of the alternate test method to ensure that the alternate test results are comparable to those that would have been obtained using the primary apparatus.

4) The decision as to how references to specific apparatus, reagents, and reference materials or to source of supply should appear in the standard will be left to the PC involved, in consultation with the MOS.

5) Information on sources of supply, when necessary, shall be included in footnotes.6) The decision as to whether alternative apparatus, reagents, or reference materials are

equivalent shall be determined by the PC involved.7) When a mutually agreeable decision cannot be reached by the MOS and the PC, the

matter shall be referred to the StdC.



E3 Individually Built Apparatus In those cases where the test apparatus cannot be purchased but is required to be built, full information on the construction shall be included or referenced in the SCD.



NORMATIVE ANNEX F: PATENTS IN ASHRAE SCDs

F1 IntroductionWhen a project committee proposes to require the use of a patented item in a standard and there are no known alternatives, the committee shall include statements in public review draft(s) and in a footnote in the standard indicating a willingness to consider acceptable alternatives.

F2 Recommended StatementsThe following statements are recommended. However, the committee may choose other wording more appropriate for specific circumstances.

F2.1 Statement in Instructions for Public Review CommentsThe instructions to the public for preparing comments on a public review draft shall include a request for acceptable alternatives. The following is suggested wording:

The (name of material, product, process, apparatus) is claimed to be covered by a patent held by (name and address of company). If you are aware of an acceptable alternative(s) to the patented item, please attach to your comment form a description of the alternative. All suggestions will be considered by the PC.

F2.2 Statement in Footnote of DocumentIf acceptable alternatives are not identified, a footnote shall be included in the standard. The following is suggested wording:

The (name of material, product, process, and apparatus) is claimed to be covered by a patent held by (name and address of company). Interested parties are invited to submit information regarding the identification of acceptable alternatives to this patented item to the MOS, ASHRAE, 1791 Tullie Circle, N.E., Atlanta, GA 30329.

The footnote shall be cited in the specific section of the document where the patented item is first mentioned. When the entire document is written around a patented item, the footnote shall be cited in the scope.

F2.3 ASHRAE Disclaimer of Liability as to Patented InventionsNeither ASHRAE nor an ASHRAE project committee shall be responsible for identifying all patents under which a license is required in using an ASHRAE standard nor for conducting inquiries into the legal validity of such patents. Each ASHRAE standard, where applicable, shall include a note worded as follows:

Note: The user’s attention is called to the possibility that compliance with this standard may require use of an invention covered by patent rights. ASHRAE takes no position respecting the validity of any such claim (s) or of any patent rights asserted in connection with any item mentioned in this standard. If a patent holder has filed a statement of willingness to grant a license under these rights on reasonable and nondiscriminatory terms and conditions to applicants desiring to obtain such a license, then details may be obtained from the MOS. Users of this standard are expressly advised that determination of the validity of any such patent rights, and the risk of infringement of such rights, are entirely their own responsibility.

F3 Statement from Patent Holder

F3.1 StatementPrior to approval of such a proposed ASHRAE standard or guideline, the MOS shall receive from the patent holder (in a form approved by ASHRAE) either assurance in the form of a general disclaimer to the effect that the patent holder does not hold and does not anticipate



holding any essential patent claim(s) , or assurance that a license to use the material, product, process, or apparatus claimed to be covered by the patent will be made available to applicants desiring to utilize the license for the purpose of implementing the standard either:

(a)under reasonable terms and conditions that are demonstrably free of any unfair discrimination or

(b)without compensation and under reasonable terms and conditions that is demonstrably free of any unfair discrimination.

Record of Statement. A record of the patent holder’s statement (and a statement of the basis for considering such terms and conditions free of any unfair discrimination) shall be placed and retained in the files of ASHRAE and ANSI during the life of the standard.



NORMATIVE ANNEX G –APPROVAL OF STANDARDS COMMITTEE DOCUMENTSThis normative annex is part of the Standards Committee MOP

Table G-1 Standards Development Approval Process

Action InitiatorRecomme

nding Entity

Affirmative Vote

Required

Approving

Entity

Affirmative Vote

Required

Other Appro

valInitiate Development of a New Standard or Guideline

Submit to PPIS proposed title,

purpose and scope (TPS) and

recommendation for a chair (ASHRAE

member) & roster (min 4 + chair)

TC/TG/TRG (or a

responsible entity or person)

PPIS *Majority StdC *Majority BOD

Select Project Committee Chair and Members

Select Chair SPLS Liaison SPLS *Majority StdC *Majority

Recommend Membership - Policy

Level PC

SPLS Liaison & PC

ChairSPLS *Majority StdC *Majority

Recommend Membership - Non-

Policy Level PCPC Chair PC Chair SPLS *Majority

Work PlansRecommend

approval of new or revised work plan –

SSPC or SGPCPC Chair

SPLS Liaison &

SPLS*Majority StdC *Majority

Recommend approval of new or revised work plan –

SPC or GPCPC Chair SPLS SPLS *Majority

Advisory Public Review (APR)

Recommend advisory public review PC PC *Majority

SPLS Liaison & SPLS Chair

Publication Public Review (PPR)Recommend Fast Track Processing PC or SRS # PC or SRS +Standard

s ActionRecommend Normal

Track Processing PC or SRS # PC +Standards Action SPLS *Majority

Respond to CommentsRespond to

comments submitted via online database

PC or SRS # PC or SRS # *Majority PC or

SRS # *Majority

Publication Recommend

publication following PPR

PC or SRS # PC or SRS #

+Standards Action StdC *Majority BOD

Appeal



Uphold or deny an Objector's appeal

Appeals Panel

Appeals Panel *Majority

Revise an Existing Standard or GuidelineRecommend revision

within 5 year cycleTC/TG/TRG

or SRS SRS *Majority StdC *Majority

Reaffirm an Existing Standard or GuidelineRecommend

reaffirmation and review updated

references

PC PC *Majority StdC *Majority

SRS to Reaffirm Standard or GuidelineRecommended

reaffirmation and review updated

references

TC/TG/TRG TC/TG/TRG *Majority SRS *Majority

Withdraw an Existing Standard or Guideline

Recommend withdrawal

Cognizant Committee or SSPC + Standards

Action

SRS +Standards Action StdC *Majority BOD

Revise a Title, Purpose and Scope (TPS)Recommend revised

TPSPolicy Level

PC SPLS *Majority StdC *Majority TechC

Recommend revised TPS Other PC SPLS *Majority StdC *Majority

NotesStdC Standards CommitteePC Project Committee

PPIS Standards Committee - Policy, Planning and Interpretations SubcommitteeSPLS Standards Committee - Standards Project Liaison SubcommitteeSRS Standards Committee - Standards Reaffirmation Subcommittee

TechC ASHRAE Technology CouncilBOD ASHRAE Board of Directors

Quorum at a meeting More than 50% of voting membership present

# SRS can act as the revision committee under certain circumstances

* For a normal committee vote: majority of those voting at a meeting; Letter ballot – majority of the voting membership

+

For a standards action: affirmative votes by the majority of the voting membership and affirmative votes from at least two-thirds of those voting at a meeting, excluding abstentions. When recorded votes are taken at meetings, project committee members who are absent shall be given the opportunity to vote before or after the meeting. See example below.Letter Ballot -- Affirmative votes by the majority of the voting membership and affirmative votes from at least two-thirds of the voting membership, excluding abstentions.Negative votes with reason shall be ‘recirculated’ to all voting members with time limit in case anyone wants to change vote. Results are final upon expiration of time limit.



Example Project Committee Standards Action voting requirements

For Standards Actions, ALL voting members of a Standard/Guideline Project Committee MUST be given a chance to vote whether they are at a meeting or not (This rule does not apply to Standards Committee and higher bodies). If there are negative votes with reason given, the reasons MUST be provided to ALL voting members who have not seen or heard the reasons (not at a meeting or negative vote resulting from a letter ballot). This is called a ‘recirculation ballot’ and is only done one time to give everyone a chance to change their vote if they want to. After this, no more votes are required and the action is final.

For the motion to pass, both must be met Affirmative vote of majority of the voting membership (1/2 voting members + 1,

Chairperson included) AND Affirmative vote of at least 2/3 of those voting, (Yes + No)

Note: Abstentions DO NOT count in the total number of members voting.

In the example below, the committee has 22 PCVMs. First, there must ALWAYS be at least 12 yes votes for the motion to pass.

In the table below, the first example shows: There are only 12 members present at a meeting. All 12 must vote “yes” for the motion

to be approved. Members not present did not respond to a letter ballot and are recorded as ‘not voting’.

The recorded vote would then be 12-0-0-10 (yes-no-abstain-not voting). This vote also meets the second part (affirmative votes from 2/3 of those voting): yes +

no = 12 + 0 = 12 and 2/3 x 12 = 8. Thus the motion passes. Other examples show various ways a motion could pass or fail depending on the number of members voting. Remember all 22 members have been given a chance to vote and this is the final result after any required recirculation ballot.

Recorded Vote(yes-no-abstain-not voting)

Total number voting (yes + no)

affirmative votes required for 2/3

Motion Passed or Failed (because)

12-0-0-10 12 + 0 = 12 2/3 x 12 = 8 Passed22-0-0-0 22 + 0 = 22 2/3 x 22 = 15 Passed 21-1-0-0 21 + 1 = 22 2/3 x 22 = 15 Passed 20-2-0-0 20 + 2 = 22 2/3 x 22 = 15 Passed 14-8-0-0 14 + 8 = 22 2/3 x 22 = 15 Failed (Not 2/3 YES)12-1-0-9 12 + 1 = 13 2/3 x 13 = 9 Passed12-2-0-8 12 + 2 = 14 2/3 x 14 = 10 Passed12-3-0-7 12 + 3 = 15 2/3 x 15 = 10 Passed12-4-0-6 12 + 4 = 16 2/3 x 16 = 11 Passed12-5-0-5 12 + 5 = 17 2/3 x 17 = 12 Passed12-6-0-4 12 + 6 = 18 2/3 X 18 = 12 Passed12-7-0-3 12 + 7 = 19 2/3 x 19 = 13 Failed (Not 2/3 YES)12-8-0-2 12 + 8 = 20 2/3 x 20 = 14 Failed (Not 2/3 YES)12-9-0-1 12 + 9 = 21 2/3 x 21 = 14 Failed (Not 2/3 YES)11-1-0-10 11 + 1 + 12 2/3 x 12 = 8 Failed (Majority not

YES)



SUMMARY OF PC MOP CHANGESThe Table below gives a summary of PC MOP changes beginning June 2000. Previous

changes to the original release are provided in the PC MOP dated October 2009.

Revision Changes Approval Date

OriginalRelease

The original edition of the PC MOP (formerly called MPAS and PC Guidance) was approved by Technology Council on June 29, 1994.

Tech CouncilJune 29, 1994

Total Revision

The PC MOP was revised and approved in its entirety on June 28, 2010.

StdCJune 28, 2010

5.2.1.2 The PC MOP was revised to remove redundancy from this paragraph. The voting requirements for an official interpretation are already presented in Section 5.2.1.

StdCOctober 14,

20106.2.4 The PC MP was revised to clarify the APR procedures.

Changes will never be submitted to ANSI, therefore requiring documentation is unnecessary. The changes made reflect no additional documentation such as continuation letter ballot, roll call vote, marked up roster or submittal form is needed.

StdCOctober 14,

2010

5.2.1.2 The PC MOP was revised to delete the title of the paragraph, Voting Rules for SCD’s. This section specifies only what is required when a vote for standards action is taken at a meeting

StdCJanuary 29,

2011

6.1.8 The PC MOP was revised to define guideline as a standards action and update the clause.

StdCJanuary 29,

20116.2.5 The PC MOP was revised to re-insert the 2/3 requirement

and update the clause.StdC

January 29, 2011

5.1.2.4 The PC MOP was revised to clarify and strengthen the requirements regarding advance approval of funding requests.

StdCJanuary 29,

20116.2.5.3 The PC MOP was revised to clarify the duties of a chair

when no public review comments are received.StdC

February 2, 2011

4.12 The PC MOP was revised to make it more consistent with PASA and the ROB changes.

StdCJune 29, 2011

5.1.5 The PC MOP was revised to ensure draft minutes were not recorded as official minutes.

StdCJune 29, 2011

7.3 The PC MOP was revised and added this section back to the PC MOP.

StdCJune 29, 2011

14 The PC MOP was revised to offer consistency between the other MOPs and PASA.

StdCJune 29, 2011

Annex G The PC MOP was revised to reflect the same change made in the StdC MOP.

StdCJune 29, 2011

4.11 The PC MOP was revised in response to members requesting an interpretation of interest categories. A

StdCJanuary 25,



Revision Changes Approval Datestrategic review was conducted and our procedures offer a clear consistency with the ANSI ER for interest categories.

2012

4.12 The PC MOP was revised in response to members requesting an interpretation of interest categories. A strategic review was conducted and our procedures offer a clear consistency with the ANSI ER for interest categories.

StdCJanuary 25,

2012

4.12.1 The PC MOP was revised in response to members requesting an interpretation of interest categories. A strategic review was conducted and our procedures offer a clear consistency with the ANSI ER for interest categories.

StdCJanuary 25,

2012

6.2.1 Informative Annex H was deleted and a direct link to the web page/document was inserted.

StdCJanuary 25,

2012Annex A1 Definitions for user, producer and general were updated to

provide greater clarity. StdC

January 25, 2012

4.8 The PC MOP was revised to allow an OM representative to serve as a subcommittee chair without having to seek a waiver of the rule.

StdCMarch 23, 2012

Annex G Applied the “Gloria Rule” to update Annex G. It is now consistent with the changes made to the StdC MOP and Reference Manual. Changes were deemed editorial by Bill Walter, PPIS Chair.

April 16, 2012

4.8.9 The PC MOP was revised to offer greater clarification to the IOL process.

StdCJune 27, 2012

5.1.2.4.2 The PC MOP was revised to streamline the process of approving meeting requests.

StdCJune 27, 2012

4.4.1 This section was revised to include a succession plan for a future Chair and Vice Chair.

StdCJanuary 30,

20134.14.3 This section adds “any conflict of interest”. StdC

January 30, 2013

4.14.3.2 This section was added to offer clarification to the MOP for Removal for Cause by SPLS.

StdCJanuary 30,

2013Annex A The definition of “conflicts of interest” were added. This

definition matches what is in the ASHRAE Potential Sources of Bias/Conflict of Interest Statement of Inclinations, Interests and Affiliations.

StdCJanuary 30,

2013

Annex G Editorial change – included work plan approval step in Annex G. It is already stated in section 4.4.2.

March 12, 2013

6.1.66.1.6.1

Revised section 6.1.6, Revision of Title Purpose or Scope to include guidance for revising TPS and added a new section 6.1.6.1, Public Notice to inform and document the TPS approval process to align with ANSI.

StdC June 22, 2013

7.4.35.1.5

Revised section 7.4.3, Resolving Comments Through Personal Discussion With Commenter and 5.1.5 Minutes

StdC June 22, 2013



Revision Changes Approval Dateof Meetings. Section 7.4.3 was revised to remove and replace information into section 5.1.5 regarding capturing technical material in the minutes.

11.4 Section 11.4 Withdrawal of Standard was revised to 11.4 Withdrawal of SCD and the approval process of discontinuance is clarified.

StdCJune 22, 2013

4.14.4.27.5

Section 4.14.2, Termination for Cause or Due to Lack of Performance and Section 7.5 PC Recommendation for Publication/Withdrawal/Discontinuance Following Close of Publication Public Review and Resolution of Comments. Section 7.5 title was revised to PC Recommendation for Publication/Discontinuance Following Close of Publication Public Review and Resolution of Comments and was revised to address the approval process once a PC vote for discontinuance is established.

StdCJune 26, 2013

4.14.3 Section 4.14.3 Removal for Cause was revised to include SPLS as a body that may recommend removal for cause.

StdC June 26, 2013

Electronic

Meetings

New sections regarding electronic meetings have been incorporated into the MOP.

StdC June 26, 2013

9.16.2.1.16.2.1.2

Section 9.1 Preparation of Final Draft for Publication Recommendation was revised to remove a process that is not required by ANSI. Due to this change new sections were created 6.2.1.1, Notification for Draft Standards not Published within One Year of Public Review and 6.2.1.2, Notifications for Addenda to Standards on Continuous Maintenance not Incorporated into the Next Full Version of the Standard.

StdC June 26, 2013

6.1.16.1.2

Section 6.1.1, PC Shall Develop Working Draft was updated to direct readers to the Guide for Writing Standards in Mandatory Language. Section 6.1.2, Standards Committee Document Language was deleted and the last sentence was included in section 6.1.1.

StdCSeptember 26,

2013

7.4.1Annex G

Section 7.4.1 was revised to include a list of choices as shown on the Online Comment Database.Annex G was revised to include an approval process of Standard Committee Documents by the Standards Reaffirmation Subcommittee.

StdCJanuary 18,

2014

6.1.1 Changes to Section 6.1.1 clarified the requirements for PCs developing working drafts.

StdCJune 28, 2014

