1. ASME C&S Training Module B7 MODULE B - PROCESS SUBMODULES B1. Organizational Structure B2. Standards Development: Roles and Responsibilities B3. Conformity Assessment: Roles and Responsibilities B4. Initiating Standards Projects B5. Consensus Process for Standards Development B6. The Basics of Parliamentary Procedure B7. The Appeals Process B8. International Standards Development B9. ASME Conformity Assessment Programs

2. ASME C&S Training Module B7 DATESLIDECHANGE 1/15/049 Notes 10, 11, and 17 Notes 18 & Notes 19 Notes 23 Notes 27 & Notes Both bulleted items revised. First bulleted item revised. Last item revised. First bulleted item under "Objections to committee or panel membership:" and second bulleted item under "Request for a closed hearing:" revised. Item under "The deliberations" revised. First item in slides and notes revised. REVISIONS

3. B7. The Appeals Process

4. ASME C&S Training Module B7 Slide 3 OBJECTIVES This submodule will –Review the process for appealing standards actions, administrative actions, or inactions

5. ASME C&S Training Module B7 Slide 4 AGENDA I.Appeals Overview II.Standards Committee Appeal

6. ASME C&S Training Module B7 Slide 5 I. APPEALS OVERVIEW

7. ASME C&S Training Module B7 Slide 6 DUE PROCESS Due process means ensuring that every materially interested party, whether individual or organization –Has the opportunity to express a position –Can be confident that the position will be considered –Has the right to appeal both technical and procedural issues if adversely affected

8. ASME C&S Training Module B7 Slide 7 DUE PROCESS Procedural implementation –Proposed standard submitted for committee vote & public review and comments solicited –Effort made to resolve objections –Written response made to objections –Unresolved objector notified of appeals process

9. ASME C&S Training Module B7 Slide 8 APPEALS PROCESS Levels of appeal—from first to last –Standards Committee –Supervisory Board –Board on Hearings and Appeals (BHA) –ANSI (cont’d)

10. ASME C&S Training Module B7 Slide 9 APPEALS PROCESS Levels of appeal—from first to last (cont’d) –Standards Committee First level of appeal for both administrative and technical actions, or inaction Can revise the standard –Supervisory Board –Board on Hearings and Appeals (BHA) –ANSI (cont’d)

11. ASME C&S Training Module B7 Slide 10 APPEALS PROCESS Levels of appeal—from first to last (cont’d) –Standards Committee –Supervisory Board Can overrule administrative or procedural decisions Must refer technical issues back to the Standards Committee Can hold or suspend appealed actions –Board on Hearings and Appeals (BHA) –ANSI (cont’d)

12. ASME C&S Training Module B7 Slide 11 APPEALS PROCESS Levels of appeal—from first to last (cont’d) –Standards Committee –Supervisory Board –Board on Hearings and Appeals (BHA) Reviews procedural due process issues only Will decline to hear an invalid appeal –ANSI (cont’d)

13. ASME C&S Training Module B7 Slide 12 APPEALS PROCESS Levels of appeal—from first to last (cont’d) –Standards Committee –Supervisory Board –Board on Hearings and Appeals (BHA) –ANSI American National Standards only

14. ASME C&S Training Module B7 Slide 13 POP QUIZ #1 a.Standards Committee b.Supervisory Board c.Board on Hearings and Appeals 1.Which of the following will consider appeals of procedural due process issues? a.Standards Committee b.Supervisory Board c.Board on Hearings and Appeals 2.Which of the following will consider appeals of technical issues? (cont’d)

15. ASME C&S Training Module B7 Slide 14 POP QUIZ #1 (cont’d) a.Standards Committee b.Supervisory Board c.Board on Hearings and Appeals 3.Which of the following can change a technical standard?

16. ASME C&S Training Module B7 Slide 15 II. STANDARDS COMMITTEE APPEAL

17. ASME C&S Training Module B7 Slide 16 STANDARDS COMMITTEE APPEAL Steps 1.Notification of Appeal 2.Pre-Hearing Activities 3.The Appeal Hearing 4.Post-Hearing Activities

18. ASME C&S Training Module B7 Slide 17 NOTIFICATION OF APPEAL Written notice of intent to appeal –Filed with Secretary of relevant Standards Committee –Stops further action on standard Appeal statement –Detailed objection or appeal statement –Must follow notice within 10 days

19. ASME C&S Training Module B7 Slide 18 PRE-HEARING ACTIVITIES Standards Committee tasks –Committee Chair appoints Respondents –Respondents prepare Committee Response –Committee schedules hearing for full consensus committee or hearing panel

20. ASME C&S Training Module B7 Slide 19 PRE-HEARING ACTIVITIES Objections to committee or panel membership –Should be submitted 10 working days before –Must be resolved before hearing –Ref: Society Policy P-15.8, Conflicts of Interest Request for a closed hearing –Limits hearing to voting committee members, appellants, respondents, ASME staff and legal counsel –Must be made in writing –Must be submitted 10 working days before

21. ASME C&S Training Module B7 Slide 20 PRE-HEARING ACTIVITIES Hearing Agenda –Secretary prepares Appeal Hearing Agenda Contents: –Order of presentations of position –Order of rebuttal presentations –Recommended time limits Ref: ASME C&S Guidelines for Appeal Hearing Agendas* * NOTE: Not applicable to accreditation, certification or registration hearings

22. ASME C&S Training Module B7 Slide 21 PRE-HEARING ACTIVITIES Hearing Documentation –Secretary distributes to all concerned parties: Appeal Statement Committee Response Hearing Agenda NOTE: Must be distributed at least 15 working days prior to hearing

23. ASME C&S Training Module B7 Slide 22 POP QUIZ #2 a.Challenge the assigned Respondents b.Challenge the hearing panel membership c.Request a different hearing date d.Request a closed hearing e.Skip the committee and appeal directly to the Supervisory Board An appellant may (select all that apply):

24. ASME C&S Training Module B7 Slide 23 THE APPEAL HEARING Steps –Presentation of positions, rebuttals and closing remarks –Questions and Answers –Deliberations (Executive Session) Limited to voting members, ASME staff and counsel Administrative issue: majority vote required Technical issue: 2/3 vote required –Announcement of Decision Read at hearing Officially transmitted within 7 days

25. ASME C&S Training Module B7 Slide 24 POST-HEARING ACTIVITIES Hearing Notes –Ref: ASME Guidelines for Appeal Hearing Notes* Distribution limited to –Committee members who heard appeal –ASME staff –ASME legal counsel * NOTE: Not applicable to accreditation, certification or registration hearings

26. ASME C&S Training Module B7 Slide 25 POP QUIZ #3 True or False. The committee’s deliberations in an appeal hearing are always conducted in open session. _______

27. ASME C&S Training Module B7 Slide 26 SUMMARY I.Appeals Overview II.Standards Committee Appeal

28. ASME C&S Training Module B7 Slide 27 REFERENCES –Procedures for ASME Codes and Standards Development Committees, Section 11 www.asme.org/cns/departments/GuideProcDevCtes.pdf –C&S Guidelines for Appeal Hearing Agendas and Notes –Supervisory Board Procedures –Procedures of the Board on Hearings and Appeals