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

2. TOPICS 1.SPLS Overview 2.SPLS Liaison Responsibilities 3.Policy & Procedures 4.PC Maintenance – Some Details 5.The Forms – Things to Know 6.Meeting Procedures 7.Development Process – Basic Steps 8.Best Practices 9.Standards Staff 2

3. SPLS OVERVIEW Responsibilities & Authority Project Committees Cognizant TC 3

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

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

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

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

8. SPLS LIAISON RESPONSIBILITIES Read & Understand the PC MOP Coordinate Monitor & Report Guide 8

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

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

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

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

13. POLICY AND PROCEDURE The Rules Due Process Openness Balance 13

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

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

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

17. Openness Participation shall be open to all persons who are directly and materially affected by the activity in question Participation in a process is not necessarily the same as membership or vote on a committee Participation can be as simple as submitting a public review comment There shall be no undue financial barriers to participation 17

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

19. PC MAINTENANCE – THE DETAILS Membership Work Plans Liaison Reports 19

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

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

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

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

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

25. Removal for Cause The PC Chair may recommend removal of a PC member from the roster for due cause, including: 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. SPLS approves recommendations for removal as part of the membership ballot You should work with your PC chairs so this action is never required 25

26. PC Requirements A new PC must have an approved roster within 12 months of project approval If not, a waiver of PC MOP 4.14.4.1 must be requested (by the PC Chair or SPLS Liaison), or the project will be automatically be discontinued A PC may be discharged by SPLS if the PC reports that it cannot prepare an acceptable SCD or addendum within a reasonable period of time If the PC has not officially met for 12 months, or is not advancing the development of the SCD in a timely manner, then the SPLS Liaison should determine if another Chair should be sought or if the matter should be sent back to PPIS to re-evaluate the need for the project committee 26

27. THE FORMS – THINGS TO KNOW… PC Application Bias/Conflict of Interest Statement Chair’s Recommendation Form IOL Form PC Work Plan SPLS Liaison Report 27

28. Membership Package PC Member applications are submitted to and processed by ASHRAE staff Applicant information is forwarded to the PC Chair for consideration The PC Chair recommends or declines applicants and submits a Chair’s Recommendation Form SPLS Liaisons review membership packages for new PC Chairs and submit a Chair’s Recommendation Form for SPLS and StdC approval The 3 forms on the following pages must be received by the published application deadline or the package will be held for the next SPLS meeting 28

29. Application for Individual Project Committee Membership – this form can be found on the ASHRAE website under Membership Forms. IMPORTANT: the application must be completed in full and signed by hand and faxed or a PDF document may be emailed to ASHRAE at the number/email address noted on the form. 29 Look for: 1. PC # 2. Dates for bio and Bias form updates 3. Interest Category 4. Signa- ture

30. 30 Membership Interest Categories

31. 31 Bias/Conflict of Interest Statement - this form can be found on the ASHRAE website under Membership Forms. IMPORTANT: the Bias/Conflict of Interest form will not be accepted unless all sections are filled in. The use of “None,” “N/A,” or a no response to any question will render this form unacceptable. Must be signed by hand! This form is to be updated annually!

32. ASHRAE Biographical Report (Bio)– this report is generated by ASHRAE staff from the information provided in the “My Profile” section on the ASHRAE website. IMPORTANT: The bio “Review Date “must be within the last 12 months from the membership application deadline to be accepted. 32

33. 33 Standing PC Chair’s Recommendation Form Things to look for: 1. Voting Status 2. Interest Categories 3. Term (if SSPC) 4. Reason for declined applicants 5. Reason for change of status 6. Reason for Removal for Cause * 7. Proposed membership balance 8. Additional notes *see notes

34. Membership Ballot Example Final Ballot for SPLS Voting 34 Present BalanceProposed Balance

35. IOL Form 35 The Invitation is is the only form needed to appoint an IOL No PC Member application… No ASHRAE bio … No Bias/Conflict of Interest Stmt… The intent is to make this easy for the IOL

36. PC Work Plan New PCs’ draft WPs are to be submitted for approval no later than one year from the date the full PC roster is approved SSPCs’ and SGPCs’ updated draft work plans are to be submitted for approval no later than six months from the publication of a new edition WPs submitted by SSPCs and SGPCs must also be approved by the StdC PCs and SSPCs can vote to approve the WP either before or after being submitted to SPLS for approval 36

37. 37 Sample PC Work Plan Things to look for: 1.Both boxes checked in units format – or a waiver must be requested 2.Interest categories 3.Project milestones and dates 4.Plans for interim meetings and any support needed 5.A communication plan 6.For SSPC’s - key objectives with specific, changes, updates, or revisions noted with dates. Note: there is an SSPC/SGPC WP template available on the ASHRAE website

38. Liaison Reports Liaison reports are used to ensure project committees are making progress according to their work plans as well as to highlight issues of concern Liaison reports are due to the SPLS Staff Liaison prior to each regular meeting – January Winter Meeting, June Annual Meeting and October Tech Weekend Reports are to be given to the new SPLS Liaison when PC responsibility is reassigned 38

39. Sample Liaison Report 39

40. MEETING PROCEDURES Quorum Consensus Voting Rules Consent Agenda Letter Ballots 40

41. PC Meetings and Correspondence All PC meetings are open to observation by directly and materially interested persons PC working meetings are to be held at least once per year. Normally these are held in conjunction with the Annual and Winter Society Meetings. PC Chairs must advise their SPLS Liaison and the Manager of Standards (MOS) of all meetings or teleconferences between Society Meetings in time to announce the interim meeting in Standards Actions – 30 days before in-person meetings and 14 days for conference calls. 41

42. Quorum Quorum is required to conduct business at a meeting of the Standards Committee, its Subcommittees, or PCs Quorum Requirements: More than 50% of the voting membership of the committee present 42

43. Consensus Consensus defined: Substantial agreement, in the judgment of a duly appointed authority, reached by directly and materially affected interest categories Substantial agreement means much more than a simple majority – but not necessarily unanimity Consensus requires that all views and objections be considered, and that an effort be made toward their resolution 43

44. Voting Rules Unless otherwise specified, actions of the SPLS and PCs require approval by a majority of those voting at a meeting Recommendations or approvals for standards actions require affirmative votes of a “supermajority” of SPLS and the PC: this is a majority of the membership and at least two-thirds of those voting, excluding abstentions and unreturned ballots (for letter ballots) 44

45. Majority Vote Examples Examples of non-standards action votes for SPLS: PC membership and related PC MOP waivers TPS changes PC classification (change to CM, PM, discontinuance) Standard or guideline number changes Requests for User Manuals and funding Examples of non-standards action votes for PCs TPS, Work Plan and meeting minutes approval Sections of the draft standard Advisory Public Review Responses to public review commenters 45

46. Standards Action Votes For SPLS: Approving publication public review (PPR) of a new or revised standard, guideline or addendum For PCs: Recommendation for PPR and publication of a draft standard, guideline or addendum (SCD) Recommendation for discontinuance of a new SCD following public review Issuance or revision of an official interpretation 46

47. PC Standards Actions Vote Requirements All PCVMs must be given the opportunity to vote, either before (via letter ballot), during, or after the meeting (via continuation letter ballot) Negative votes & abstentions explained in writing When negative votes with reasons given via letter or continuation ballot, a recirculation ballot must be conducted with reasons for the negative votes provided If no reasons are given for negative votes in a letter or continuation ballot, a recirculation ballot is not necessary and the results are final When a standards action vote is taken at a meeting, a continuation ballot must be sent to absent members 47

48. Letter Ballots The Chair may authorize a letter ballot to be issued on any matter Please do not use “Reply to All” when voting Persons who cast a negative vote on a letter ballot are requested to comment on reasons for negative vote If the vote passes with one or more negative votes, the results shall be held in abeyance until the comments are transmitted to all eligible voters and they are given an opportunity to change their vote through a recirculation ballot The Chair may offer a rebuttal to the comments from negative voters 48

49. Abstentions Common reasons for abstentions: An individual - has not adequately reviewed the material and there is not enough information in the discussion to enable them to vote was not in the room during the discussion of the motion would prefer to abstain with a reason rather than cast a negative vote on the motion The motion involves a PC in which the person is a current or recent past member of, e.g., membership, PPR approvals Other potential conflicts of interest 49

50. Consent Agenda When several related items are likely to pass without question, debate, negative votes or abstentions, a consent agenda may be used A consent agenda allows for the approval of a group of items with one motion and one vote – without discussion Items may be pulled from the consent agenda for any reason at the request of a voting member Removed items may be taken up immediately after the consent agenda or placed later on the agenda 50

51. DEVELOPMENT PROCESS THE BASIC STEPS Advisory Public Review Publication Public Review Substantive Changes Approval 51

52. Public Reviews PCs vote to recommend a draft SCD for one of two types of public review: "Advisory Public Review" (APR) or "Publication Public Review" (PPR) 52

53. APR Allows a PC to put out all or portions of an SCD for comment PC recommends an APR for approval by its SPLS Liaison and the SPLS Chair with a majority vote Length of PR period determined by the PC in consultation with SPLS Liaison and manager of standards (MOS) Receipt of each comment is acknowledged but communication with the commenters is optional Communication may be undertaken to clarify a commenter's intent or to invite further participation in the standard development process A subsequent full public review is required 53

54. Publication Public Review When the draft SCD is complete, the PC votes to recommend publication public review The document must be approved by SPLS before it can be issued for public review through the Fast Track or Normal Track Process Non-policy level PPR packages can be submitted at any time and a public review will be issued once approved Code-intended standards can be processed at any time but will be issued for public review 2 times per year to coordinate with the code change cycles of the ICC 54

55. Fast Track Drafts that meet the following criteria are considered to be on Fast Track: There are no negative votes within the PC No credible threat of legal action (in writing) against ASHRAE related to the draft Not a Policy Level Standard (PCs may request an exception from the SPLS Chair for this criterion for non- contentious issues) The public review package will then be sent to the SPLS Liaison for review, who has ten calendar days to notify the MOS that due process has not been violated 55

56. Normal Track For all other cases, known as the Normal Track, SPLS must review the submittal package for due process and approve the draft before it can be issued for public review 56

57. PPR Review - What to Look For Membership on the committee was accurately maintained and balanced Meetings and conference calls of the committee were open to all materially affected individuals The vote for publication public review was correctly taken (all PC members had the opportunity to vote) and recorded (letter ballot or meeting) If the PPR vote was taken at a meeting, a quorum was present and the minutes are on record There were NO negative PC votes (if on fast track). Comments were dealt with fairly and the PC made an attempt at resolution (if the submittal is an ISC) 57

58. Public Review Comments PC reviews PR comments received, decides on their validity, and determines whether to incorporate them into the draft Comments received on items not subject to PR may be considered by the PC separately from those received in response to the public review The PC votes to approved draft responses and then the chair responds to each commenter (via the OCD) indicating the rationale and proposed disposition of the comment Commenters reply, indicating whether issue is “resolved” or “unresolved” Non-responding commenters are considered “resolved” if they do not respond within 30 days after being notified, that they must indicate in writing, whether or not the PC response resolves their comment 58

59. Public Review Comments The PC has four choices when considering public review comments: 1. No changes are needed, reject the comments 2. Only editorial changes are needed 3. Substantive changes are needed 4. Draft should be discontinued 59

60. Public Review Comments 1. No changes needed, reject the comments – PC must vote responses to commenters and await the commenter reply After deadline for reply has passed the PC vote for publication stands and Staff can process the draft for publication approval For unresolved objections (comments), the PC vote for publication needs to be re-circulated so all voting members have the opportunity to change their vote in response to an unresolved objection 60

61. Public Review Comments 2. Only editorial changes are needed – PC must vote responses to commenters and await commenter reply After reply deadline, the PC vote for publication stands and Staff can process the revised draft for publication approval For unresolved objections (comments), the PC vote for publication needs to be re-circulated so all voting members have the opportunity to change their vote in response to an unresolved objection 61

62. Public Review Comments 3. Substantive changes are needed – PC must vote on the revised publication public review and another publication package must be submitted to the MOS for processing This vote automatically supersedes the previous publication vote 62

63. Public Review Comments 4. Draft should be discontinued – In this case the PC must rescind their previous vote for publication and vote for discontinuance 63

64. Substantive Changes Revision of Publication Draft After consideration of comments or because of new information received, the PC may decide to make changes to the draft. Substantive changes require an additional public review and another PC vote for publication, either: A complete revision (another full public review), or Independent Substantive Changes (ISC is a substantive change that is independent of any other substantive change and does not significantly affect any other requirement in the document) PC again considers public review comments and attempts to reach resolution with any unresolved commenter 64

65. Sidebar: What is a Substantive Change? Official definition: 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 Rule of thumb: A substantive change is anything that changes the requirements of the standard 65

66. Sidebar (cont.) Examples of substantive changes: Changing “shall” to “should” or “should” to “shall” Adding, deleting or revising mandatory requirements, regardless of number of changes Adding mandatory compliance with referenced standards Updating year of reference material (e.g., changing 2001 Fundamentals Handbook to 2005 Fundamentals Handbook) 66

67. Development Process Approval If no substantive changes are made, the PC Chair submits the publication package for approval by Standards Committee and the Board If there are unresolved commenters or negative PC voters (with reason), they are informed of their right to appeal after Board approves the Standard for publication If they appeal, an appeals panel is formed to hear and decide on the appeals received. Once appeals are closed, staff requests ANSI approval of the standard The standard is published and the PC is dissolved or approved for continuous maintenance at the request of the PC 67

68. Maintenance of Standards Periodic Maintenance (PM) - maintained under a 5-year cycle whereby the entire standard is either revised, reaffirmed, or withdrawn Continuous Maintenance (CM) – Standing PCs (SSPCs/ SGPCs) designated as operating under CM revise the standard or guideline more frequently than the normal five-year cycle A PC may recommend that an SSPC or SGPC be established 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 68

69. BEST PRACTICES 69

70. Best Practices To be a successful SPLS Liaison: 1. Build a relationship with your PC Chairs – make frequent contact with them 2. Go to their meetings! 3. Educate PC members about the standards development process 4. Give the Meeting Deadlines sheet to your PC Chairs and remind them of key dates before every ASHRAE meeting 5. Thank committee members for the work they do for ASHRAE! 6. Come prepared to SPLS meetings – review your Action Items and know your motions 70

71. STANDARDS STAFF 71

72. Standards Staff Direct line 678.539.xxxx Standards Committee Stephanie Reiniche, Manager of Standards........................ext. 1143 sreiniche@ashrae.org Status of Standards & Guidelines, SPLS and Std. 201 Susan LeBlanc, Standards Administrator………….............ext. 1175 sleblanc@ashrae.org Procedures, PPIS, and Appeals Tanisha Meyers-Lisle, Procedures Administrator.................ext. 1111 tmlisle@ashrae.org Staff Review of Drafts Carmen Manning, Standards Analyst........…….................ext. 1145 cmanning@ashrae.org cmanning@ashrae.org 72 PC Chairs Training: Getting Started

73. Standards Staff American Standards, including Standards 62.1 and 62.2 Mark Weber, Asst. Mgr. of Standards - American………….....ext. 1214 mweber@ashrae.org Codes, CIS, Standards 90.1, 90.2 and 189 Steve Ferguson, Asst. Mgr. of Standards - Codes………….…ext.1138 sferguson@ashrae.org International Standards and Standard 34 Doug Tucker, Asst. Mgr. of Standards - Int’l…………………..ext. 1209 dtucker@ashrae.org Standard 189.1 Bert Etheridge, Asst. Mgr. Special Projects…………….....…..ext. 1125 betheridge@ashrae.org Project Committee Membership Beverly Fulks, Standards Coordinator....................................ext. 1151 bfulks@ashrae.org 73 PC Chairs Training: Getting Started

74. Standards Staff Project Committee Membership SSPC 34 Angela McFarlin, Admin. Asst.....................................................ext. 1177 amcfarlin@ashrae.org Project Committee Membership SPCs 90.1, 90.2 and 189.1 Katrina Shingles, Admin Asst. ….................................................ext. 1159 kshingles@ashrae.org 74 PC Chairs Training: Getting Started

75. QUESTIONS? 75