1. ASME C&S Training Module B5 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 B5 Slide 2 DATESLIDECHANGE 2/6/03 9 11 & Notes, 17, 21, 29, 32-34 & Notes, 36, 38 33 Notes 35 Add new slide, “Key Principles of Consensus Process” Change “Supervisory Board review” to “Supervisory Board approval” First bulleted item, change to read “… action to the Supervisory Board for approval.” Last Note, change to read, “If, during final Board consideration for approval, a member…” First line, change “review” to “consideration for approval” LATEST REVISIONS

3. ASME C&S Training Module B5 Slide 3 DATESLIDECHANGE 2/6/03 39 Notes 45 First bullet, delete “successful” and change “review” to “approval” Second bullet, change “review” to “consideration for approval” Fourth item, change “Policy for Review…” to “Policy for Consideration…” LATEST REVISIONS

4. B5. Consensus Process for Standards Development

5. ASME C&S Training Module B5 Slide 5 OBJECTIVES This submodule will: –Explain ASME’s ANSI-accredited procedure for developing standards by consensus

6. ASME C&S Training Module B5 Slide 6 AGENDA I.Introduction II.Steps in the Consensus Process III.Additional Information

7. ASME C&S Training Module B5 Slide 7 I. INTRODUCTION

8. ASME C&S Training Module B5 Slide 8 WHAT IS CONSENSUS? ASME standards are consensus standards. Consensus means –Substantial agreement by affected interest categories –Consideration of views, attempted resolution –Unanimity not required NOTE: The Standards Committee is responsible for developing consensus on proposed standards actions.

9. ASME C&S Training Module B5 Slide 9 KEY PRINCIPLES OF CONSENSUS PROCESS Openness Transparency Balance of Interest –Manufacturers –Installers –Enforcing Authorities & Inspection Agencies –Specialists having expert knowledge –Designers –Users or owners of equipment Due Process

10. ASME C&S Training Module B5 Slide 10 STANDARDS ACTIONS Types –New standard –Revision –Reaffirmation No substantive changes or additions Non-substantive changes noted in a foreword –Withdrawal NOTE: Updating references in an American National Standard requires a Revision, rather than a Reaffirmation

11. ASME C&S Training Module B5 Slide 11 THE STANDARDS DEVELOPMENT PROCESS Consensus requirements –Standards Committee approval –Public review –Supervisory Board approval –ANSI approval (usually) NOTE: These apply to all standards actions.

12. ASME C&S Training Module B5 Slide 12 THE STANDARDS DEVELOPMENT PROCESS Standards Maintenance Requirements –American National Standards must be reaffirmed or revised within 5 years If not, ANSI may administratively withdraw –ANSI will administratively withdraw standards not reaffirmed or revised after 10 years

13. ASME C&S Training Module B5 Slide 13 THE STANDARDS DEVELOPMENT PROCESS Council or Board oversight –May delay or suspend a standards action –May withdraw a standard –May act without committee recommendation

14. ASME C&S Training Module B5 Slide 14 THE STANDARDS DEVELOPMENT PROCESS Standards Committee procedures –Must be based on ASME’s generic, ANSI- accredited procedures –Must not be less stringent than the accredited procedures –Must be kept current with changes in the generic procedures Source: www.asme.org/codes/

15. ASME C&S Training Module B5 Slide 15 POP QUIZ #1 1.A consensus standard requires approval by everyone voting on it. _____ 2.Once approved, a standard remains current until specifically revised. _____ 3.Consensus means consensus within the membership of the ASME committee. ____ True or False?

16. ASME C&S Training Module B5 Slide 16 II. STEPS IN THE CONSENSUS PROCESS

17. ASME C&S Training Module B5 Slide 17 THE CONSENSUS DEVELOPMENT PROCESS Development of standards action Recorded vote Public review Supervisory Board approval Appeals ANSI approval

18. ASME C&S Training Module B5 Slide 18 THE CONSENSUS DEVELOPMENT PROCESS Development of standards action –Request received –Project Team created Project Technical Manager Project Administrative Manager (Staff Secretary) Project Team members –Priority determined –Scope developed (for new code or standard) –Draft developed (cont’d)

19. ASME C&S Training Module B5 Slide 19 THE CONSENSUS DEVELOPMENT PROCESS Development of standards action (cont’d) –Draft made available for review and comment by interested parties May be waived or conducted concurrently with Standards Committee vote If substantive comments received, must be circulated to committee members –Project Team considers comments; prepares responses –Draft accepted by Project Team submitted for Standards Committee vote

20. ASME C&S Training Module B5 Slide 20 POP QUIZ #2 a.Supervisory Board members _____ b.Standards Committee members _____ c.Members of subordinate groups ____ d.Interested members of the public _____ Before submitting its proposed standard to the Standards Committee for a vote, a Project Team will make its draft available to other interested parties for comment. “Other interested parties” include:

21. ASME C&S Training Module B5 Slide 21 THE CONSENSUS DEVELOPMENT PROCESS Development of standards action Recorded vote Public review Supervisory Board approval Appeals ANSI approval

22. ASME C&S Training Module B5 Slide 22 THE CONSENSUS DEVELOPMENT PROCESS Recorded vote –Votes may be taken at a meeting or by letter, fax, or electronic means. –Normal voting period is 4 weeks. –All members must have opportunity to vote. –Voting options: Approved Disapproved Abstain Not Voting (cont’d)

23. ASME C&S Training Module B5 Slide 23 THE CONSENSUS DEVELOPMENT PROCESS Recorded vote (cont’d) –“Disapproved” requires Submission of comments and an alternative Action by committee to attempt to resolve objections –“Not Voting” Indicates conflict of interest Reduces committee membership –“Abstain” Indicates lack of expertise or sufficient review Does not reduce committee membership (cont’d)

24. ASME C&S Training Module B5 Slide 24 THE CONSENSUS DEVELOPMENT PROCESS Recorded vote (cont’d) –Resolution of “Disapproved” votes Required unless vote not accompanied by comments related to proposal Response is prepared Technical changes to proposal are circulated to committee and board Unresolved Disapproved votes are circulated to the committee Changing votes (next slide) (cont’d)

25. ASME C&S Training Module B5 Slide 25 THE CONSENSUS DEVELOPMENT PROCESS Recorded vote (cont’d) –Resolution of “Disapproved” votes (cont’d) Committee members may change votes –Reconsideration vote Notification of Appeals Process –Unresolved Disapproved votes Action passes –Minimum of 2/3 Affirmative Vote

26. ASME C&S Training Module B5 Slide 26 POP QUIZ #3 A Standards Committee has 21 members. After addressing objections to the standard currently under consideration, the final vote is: Approve 13 Disapprove 3 Abstain 2 Not Voting 3 Does this action have enough votes to proceed? ____

27. ASME C&S Training Module B5 Slide 27 POP QUIZ #4 (Extra Credit) A Standards Committee has 21 members, but only 15 can attend the meeting where the committee votes on a proposed new standard. Assuming there are no “Not Voting” members, how many members will be asked to vote on this standard? ____

28. ASME C&S Training Module B5 Slide 28 THE CONSENSUS DEVELOPMENT PROCESS Approval of editorial (= non-substantive) revisions –May be approved using recorded vote (same as for standards actions) –Alternative: Two-week review –Members may object to revision being considered editorial –Action approved if fewer than 1/5 object –If not approved, must be processed as standards action

29. ASME C&S Training Module B5 Slide 29 THE CONSENSUS DEVELOPMENT PROCESS Development of standards action Recorded vote Public review Supervisory Board approval Appeals ANSI approval

30. ASME C&S Training Module B5 Slide 30 THE CONSENSUS DEVELOPMENT PROCESS Public review –All proposed standards actions must be announced for public review ME magazine C&S Web site ANSI’s Standards Action –Recommend that be conducted concurrently with committee vote (cont’d)

31. ASME C&S Training Module B5 Slide 31 THE CONSENSUS DEVELOPMENT PROCESS Public review (cont’d) –Comment period determined by accessibility of details (60, 45, 30-day) –Attempted resolution of comments –Revised proposals require another public review –Unresolved objections are circulated to the committee –Notification of appeals process

32. ASME C&S Training Module B5 Slide 32 THE CONSENSUS DEVELOPMENT PROCESS Development of standards action Recorded vote Public review Supervisory Board approval Appeals ANSI approval

33. ASME C&S Training Module B5 Slide 33 THE CONSENSUS DEVELOPMENT PROCESS Supervisory Board approval –Conducted after standards committee approval –Verifies adherence to policies, procedures and charter (cont’d)

34. ASME C&S Training Module B5 Slide 34 THE CONSENSUS DEVELOPMENT PROCESS Supervisory Board approval (cont’d) –By Two-Week Review or Recorded Vote Objections and Disapproved votes considered Re-circulation of unresolved objections and Disapproved votes Recorded vote: approval by 2/3 of Board Two-week Consideration: fewer than 1/3 supporting objections Reference: CSP-52, Consideration of Standards Actions by Supervisory Boards

35. ASME C&S Training Module B5 Slide 35 POP QUIZ #5 a.Procedures followed _____ b.Policies followed _____ c.Technical details of the standard ____ d.Proposal is within the Standards Committee’s charter _____ The Supervisory Board’s consideration for approval should verify

36. ASME C&S Training Module B5 Slide 36 THE CONSENSUS DEVELOPMENT PROCESS Development of standards action Recorded vote Public review Supervisory Board approval Appeals ANSI approval

37. ASME C&S Training Module B5 Slide 37 THE CONSENSUS DEVELOPMENT PROCESS Appeals –ASME appeals process Covered in Submodule B7 –ANSI appeals process Not heard until –Developer’s appeal process completed –ANSI has taken action on approval May also appeal developer’s ANSI accreditation

38. ASME C&S Training Module B5 Slide 38 THE CONSENSUS DEVELOPMENT PROCESS Development of standards action Recorded vote Public review Supervisory Board approval Appeals ANSI approval

39. ASME C&S Training Module B5 Slide 39 THE CONSENSUS DEVELOPMENT PROCESS ANSI approval –Proposed action submitted to ANSI Board of Standards Review (BSR) –Information provided includes committee roster and votes –Technical issues not considered –Formal/Administrative approval Formal: Requires BSR vote Administrative: No vote; granted only if no Disapproved votes and no public objections

40. ASME C&S Training Module B5 Slide 40 III. ADDITIONAL INFORMATION

41. ASME C&S Training Module B5 Slide 41 ROLE OF ANSI Functions –Accreditation of standards developers –Public review of proposed standards actions –Approval of proposed standards actions (Board of Standards review) –Audits of standards developers approximately every 5 years

42. ASME C&S Training Module B5 Slide 42 DOCUMENT RETENTION Requirements –Periodic Maintenance Standard: one complete standards cycle or until standard revised –Continuous Maintenance Standard: minimum of 5 years, or until approval of revision or reaffirmation of complete standard References –CSP-38, Document Retention –Table CSP-38, Retention Time (Years)

43. ASME C&S Training Module B5 Slide 43 POP QUIZ #6 True or False. All standards developed by ASME must be submitted for ANSI approval. _____

44. ASME C&S Training Module B5 Slide 44 SUMMARY I.Introduction II.Steps in the Consensus Process III.Additional Information

45. ASME C&S Training Module B5 Slide 45 REFERENCES –C&S Development Committee Procedures* (Primarily Section 6) –Manual for Development of ASME Codes and Standards* (Primarily Section 3) –Supervisory Board Procedures www.asme.org/cns/departments/CCindex.html –Codes and Standards Policy CSP-52, Policy for Consideration of Standards Actions by Supervisory Boards* –Codes and Standards Policy CSP-38, Document Retention* * Available on C&S Web Site at www.asme.org/cns/departments/procedures.html