1 ACCREDITED STANDARDS COMMITTEE ASC 137 Lighting Systems Operating Procedures (Month/Year Approved by ASC)
2 ASC Operating Procedures 1 TABLE OF CONTENTS FOREWORD GENERAL Compliance with ANSI Essential Requirements Patent Policy Commercial Terms and Conditions Records Retention Policy to Determine Evidence of Compliance Metric Policy Standards Interpretation Policy Written Requests for Interpretation Interpretations Rendered by the ASC Format of Interpretation Requests Direct Response by ASC Secretary Appeals Policy and Process Right to Appeal Complaint Response Hearing Appeals Panel Conduct of the Hearing Decision Coordination and Harmonization Good Faith Effort Definition of Conflict ORGANIZATION OF THE ASC ASC Title and Scope ASC Composition ASC Officers Interest Categories Balance RESPONSIBILITIES ASC Membership Secretariat and Secretary ASC Officers Chair Vice Chair MEMBERSHIP General Application Consideration of New Applications Diverse Interests Combined Interests Review of Member Participation Membership Categories See B Resignations ASC Roster... 12
3 ASC Operating Procedures 2 5 SUBGROUPS CREATED BY THE ASC COMMUNICATIONS Electronic Means Formal Internal Communication External Communication MEETINGS General Open Meetings Quorum VOTING AND COMMENTING General Single Vote Vote of Alternate Proxy Vote See B Authorization of Letter Ballots Letter Ballot Voting Period and Follow-up Actions Requiring Approval by a Majority Actions Requiring Approval by Two-Thirds Voting on an American National Standard Opportunity to Vote and Voting at Meetings Vote Choices Handling of Negative Votes Reporting of Voting Results ADMINISTRATIVE PROCEDURES FOR AMERICAN NATIONAL STANDARDS Notification of, and Public Comment on, Standards Activity Project Initiation Notification System (PINS) BSR-8 Submittal and Public Review Disposition of Views and Objections on Standards Activity ANSI Approval Information Submitted to ANSI Criteria for ANSI Approval Discontinuance of a Standards Activity Withdrawal of an American National Standard Withdrawal Initiated by the ASC Withdrawal Initiated by a Third Party TERMINATION OF THE ASC PARLIAMENTARY PROCEDURES ANNEX A DEFINITIONS (INFORMATIVE) ANNEX B OPERATING PROCEDURES SPECIFIC TO ASC C137 (NORMATIVE) B.1 General Information B.1.1 Preparation, Approval, and Revision History of ASC Operating Procedures B.1.2 Inquiries, Comments, and Proposed Revisions B.2 ASC Title and Scope B.3 Patent Policy... 23
4 ASC Operating Procedures 3 B.3.1 Definitions B.3.2 No Requirement to Search Patent Portfolio B.3.3 Disclosures of Essential Patent Claims B.3.4 Timing of Disclosure Statements B.3.5 Record of Statement B.3.6 Notice B.3.7 Responsibility for identifying patents B.3.8 Discussions of patent issues at ASC C137 meetings B.4 Interest Categories B.5 Membership Categories B.5.1 Voting Members B.5.2 Observers and Inactive Members B.5.3 Advisory Participant B.6 Participation Fees B.7 Subgroups B.7.1 Types of Subgroups B.7.2 Officers and Members of Subgroups B.7.3 Subgroups Functioning as Consensus Body B.7.4 Voting in Subgroups B.8 Quorum B.9 Proxy Votes B.10 Letter Ballot Voting Period and Follow-Up... 30
5 ASC Operating Procedures 4 FOREWORD These operating procedures are divided into two main parts: 1) a set of procedures common to all standards committees accredited by the American National Standards Institute (ANSI) that are administered by the National Electrical Manufacturers Association (NEMA); and 2) a set of procedures specific to a particular NEMA-administered ANSI Accredited Standards Committee (ASC).
6 ASC Operating Procedures 5 1 GENERAL 1.1 Compliance with ANSI Essential Requirements These procedures meet the requirements for due process and development of consensus for the approval of American National Standards as given in the most recent edition of the ANSI Essential Requirements: Due process requirements for American National Standards. 1.2 Patent Policy See B Commercial Terms and Conditions The ASC shall comply with ANSI's Commercial Terms & Conditions Policy as contained in the most recent edition of the ANSI Essential Requirements: Due process requirements for American National Standards. 1.4 Records Retention Policy to Determine Evidence of Compliance The ASC secretary shall prepare and maintain records to provide evidence of compliance with these procedures. Records concerning new, revised, or reaffirmed American National Standards maintained under the periodic maintenance option shall be retained for one complete standards cycle, or until the standard is revised. Records concerning withdrawals of all American National Standards shall be retained for at least five years from the date of withdrawal. Records and correspondence related to proposed changes to American National Standards, to Requests for Interpretations, and to Tentative Interim Amendments shall be maintained by the ASC secretary. For each Request for Interpretation, records and correspondence shall be maintained until the Committee has taken action, the person submitting the request has been advised, and the next ANSI audit is completed. In addition, the ASC secretary shall maintain a log or listing documenting every Request for Interpretation question, the Committee response, date of the response, and Section of the Standard that applies to the question. This listing shall be maintained for the life of the Standard and shall be provided to anyone requesting it. 1.5 Metric Policy The International System of Units (SI) is the preferred unit of measurement in American National Standards. Except for trade sizes, the equivalent US Units of Measurement (inch/pound) values shall be provided in parentheses. Trade sizes shall be expressed without the requirement for an equivalent size. 1.6 Standards Interpretation Policy Written Requests for Interpretation
7 ASC Operating Procedures 6 The ASC secretary and members shall encourage requesters for interpretations of the language in the ASC's approved American National Standards to submit their requests directly to the ASC secretary. The ASC secretary shall promptly acknowledge receipt of the request to the requester with written information on the actions that will be taken. For a standard developed by an organization outside of the ASC, the ASC secretary shall request interpretation from the standard developing body responsible for the maintenance of the document. For a standard developed within the ASC, the ASC chair shall form an ad hoc panel to review the request and prepare a response for the ASC to approve before it is submitted to the person making the inquiry Interpretations Rendered by the ASC An interpretation shall be limited to providing clarification and explanation of the existing Standards. Interpretations should not give rise to lengthy explanations that may inadvertently modify or amend the Standards. An interpretation prepared by the ad hoc panel shall be approved per B.11. The ASC secretary shall advise the requester in writing of the approved interpretation and maintain a record of all formal interpretations rendered Format of Interpretation Requests The ASC secretary shall encourage requesters to avoid open-ended questions and pose their interpretation question in a form such that it can be answered with a yes or no response (for example: "Does the standard allow for..." as opposed to "Explain the meaning of...") Direct Response by ASC Secretary The ASC secretary may directly respond to a request for interpretation if the question posed can be answered by making a direct citation to the standard. 1.7 Appeals Policy and Process Right to Appeal Directly and materially affected interests who believe they have been or will be adversely affected by a standard within the ASC's jurisdiction, or by the lack thereof, shall have the right to appeal procedural actions or inactions of the ASC or the ASC secretary Complaint The appellant shall file a written complaint with the ASC secretary within 30 days after the date of notification of action or at any time with respect to inaction. The complaint shall state the nature of the objection(s) including any adverse effects, the section(s) of these operating procedures or the standard that are at issue, actions or inactions that are at issue, and the specific remedial action(s) that would satisfy the appellant's concerns. Previous efforts to resolve the objection(s) and the outcome of each shall be noted.
8 ASC Operating Procedures Response Within 30 days after receipt of the complaint, the ASC secretary shall respond in writing to the appellant, providing the plan that will be used to address the complaint and a schedule of the events that will occur. The total time for a detailed response by the ASC secretary to the appellant s complaint shall not exceed 60 days Hearing If the appellant and the respondent are unable to resolve the written complaint informally in a manner consistent with these procedures, the ASC secretary shall schedule a hearing with an appeals panel on a date agreeable to all participants, giving at least ten working days notice Appeals Panel The appeals panel shall consist of three individuals who have not been directly involved in the matter in dispute, and who will not be materially or directly affected by any decision made or to be made in the dispute. At least two members shall be acceptable to the appellant and at least two shall be acceptable to the respondent Conduct of the Hearing The appellant has the burden of demonstrating adverse effects, improper actions or inactions, and the efficacy of the requested remedial action. The respondent has the burden of demonstrating that the ASC and its secretary took all actions in compliance with the ASC operating procedures and that the requested remedial action would be ineffective or detrimental. Each party may adduce other pertinent arguments, and members of the appeals panel may address questions to individuals. For the hearing, Robert's Rules of Order (latest edition) shall apply to questions of parliamentary procedure not covered herein Decision The appeals panel shall render its decision in writing within 30 calendar days, stating findings of fact and conclusions, with supporting reasons, based on a preponderance of the evidence. Consideration may be given to the following positions, among others, in formulating the decision: a) Finding for the appellant remanding the action to the ASC secretary with a specific statement of the issues and facts in regard to which fair and equitable action was not taken; b) Finding for the respondent, with a specific statement of the facts that demonstrate fair and equitable treatment of the appellant and the appellant's objections; c) Finding that new, substantive evidence has been introduced, and remanding the entire action to the ASC secretary for appropriate reconsideration.
9 ASC Operating Procedures Coordination and Harmonization Good Faith Effort The ASC shall make good faith efforts to resolve potential conflicts between and among existing American National Standards and candidate American National Standards. The ASC shall also coordinate standardization activities intended to result in harmonized American National Standards. A good faith effort shall require substantial, thorough and comprehensive efforts to harmonize a candidate ANS and existing ANSs. Such efforts shall include, at minimum, compliance with all relevant sections of these procedures. The ASC secretary shall retain evidence of such efforts in order to demonstrate compliance with this requirement to the satisfaction of the appropriate ANSI body Definition of Conflict Conflict within the American National Standards process refers to a situation where, viewed from the perspective of a future implementer, the terms of one standard are inconsistent or incompatible with the terms of the other standard such that implementation of one standard under terms allowable under that standard would preclude proper implementation of the other standard in accordance with its terms. 2 ORGANIZATION OF THE ASC 2.1 ASC Title and Scope The current title and scope of this ASC is given in B ASC Composition The ASC shall consist of its members, its officers, and the secretary appointed by the secretariat. The ASC shall have a title, a scope, and an interest category system. 2.3 ASC Officers The officers shall consist of a Chair and Vice Chair who shall be appointed by the secretary subject to majority approval per B.11. The Chair and Vice Chair shall serve until successors are appointed, approved, and ready to serve. 2.4 Interest Categories All appropriate interests that might be directly and materially affected by the standards activity of the ASC shall have the opportunity for fair and equitable participation without dominance by any single interest. Each member shall propose his own interest category as appropriate and in accordance with the ASC's established categories specified in B.4. Where appropriate, the ASC may consider additional interest categories. 1 1 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 or
10 ASC Operating Procedures Balance Where possible, the following balance of interests should be maintained: a) no single interest category constitutes more than one-third of the membership when dealing with safety-related standards; b) no single interest category constitutes a majority of the membership when dealing with standards other than safety-related standards. If the consensus body lacks balance as described above, outreach to achieve balance shall be undertaken. 3 RESPONSIBILITIES 3.1 ASC Membership Members shall be responsible for: a) Developing proposed American National Standards within the ASC's scope; b) Voting on approval of proposed American National Standards within the ASC's scope; c) Maintaining the standards developed by the ASC; d) Voting on approval of ASC policy and procedures for responding to requests for interpretations of standards developed by the ASC; e) Developing and voting on approval of responses to requests for interpretations of standards developed by the ASC; f) Voting on approval of ASC operating procedures and revisions thereof; g) Considering and acting on proposals for termination of the ASC; h) Other matters requiring ASC member action as provided in these procedures. 3.2 Secretariat and Secretary The secretariat shall sponsor the ASC and appoint the secretary who shall: a) Organize the ASC; b) Apply for accreditation by ANSI and maintain accreditation in accordance with ANSI requirements, including submittal of the ASC roster; c) Oversee the ASC's compliance with these procedures; d) Maintain the ASC roster and a list of standards for which the ASC is responsible; commercial; e) Insurance; f) Labor; g) Professional society; h) Regulatory agency; i) Testing laboratory; j) Trade association.
11 ASC Operating Procedures 10 e) Perform administrative and secretarial services, including issuance of meeting notices and arrangements, preparation and distribution of meeting agendas, minutes, ballots and draft standards, and maintenance of adequate records; f) Submit candidate standards approved by the ASC, with supporting documentation, for ANSI review and approval as American National Standards; g) Publish, or arrange with ANSI for publication of, its standards, revisions, errata, and addenda; h) Perform other administrative functions as required by these procedures. If the secretariat is composed of more than one organization (i.e., a co-secretariat situation), there shall be a written agreement between the organizations explicitly defining the division of secretariat and secretary responsibilities. 3.3 ASC Officers Chair The Chair shall be responsible for: a) Knowing and executing the provisions of the ASC's operating procedures; b) Reviewing participation performance of ASC members and recommending any corrective action; c) Conducting regular and special meetings of the ASC; d) Conducting meetings of ad hoc panels formed to consider responses to requests for standards interpretation; e) Conducting meetings of an ASC Executive Committee, if one exists; f) Reporting to the ASC the actions and directives of an ASC Executive Committee, if one exists; g) Appointing officers of a subgroup formed by the ASC; h) Monitoring the schedule of the ASC's standardization work; i) Monitoring external communications relating to the ASC that was directed to the ASC secretary or was issued by the ASC secretary in accordance with the ASC's operating procedures; j) Fulfilling other duties as specified in the ASC's operating procedures or, if such exist, in ASC guidelines for its officers Vice Chair The Vice Chair shall be responsible for: a) Knowing and assisting, as needed, in the execution of the provisions of the ASC's operating procedures;
12 ASC Operating Procedures 11 b) Assisting, as needed, in preparing for, and conducting parts of, regular and special meetings of the ASC; c) Conducting ASC meetings should the Chair not be able to attend; d) Reporting to the ASC in cases where the Chair cannot; e) Fulfilling other duties as specified in the ASC's operating procedures or, if such exist, in ASC guidelines for its officers. 4 MEMBERSHIP 4.1 General ASC members shall consist of organizations (preferably national in scope), companies, government agencies, individuals, etc., having a direct and material interest in the activities of the ASC. The ASC secretariat may impose fees for membership; however, there shall be no undue financial barriers to participation. See B.5 for additional information regarding participation fees. 4.2 Application A request for membership shall be addressed to the secretariat or, preferably, directly to the secretary and shall indicate the following: a) The applicant's direct and material interest in the ASC's work; b) The applicant's willingness to participate actively; c) The qualifications of the applicant or, if the applicant is an organization, company, or government agency, the qualifications of its principal representative and, if desired, one or more of its alternate representatives; d) The applicant s interest category. Membership applications shall not be sent to the committee for consideration until after the potential member has attended two committee meetings. Until such a point, the member may be added to the committee as an observer. 4.3 Consideration of New Applications When receiving an application for membership, the ASC secretary shall consider: a) The need for active participation by each interest; b) The potential for dominance by a single interest category; c) The extent of interest expressed by the applicant and the applicant's willingness to participate actively; d) The representative(s) identified by the applicant organization, company, or government agency; e) Reasonable limits on the size of the ASC. The secretary shall forward applications, with his considerations, to the ASC membership for approval.
13 ASC Operating Procedures Diverse Interests If distinct divisions of an organization can demonstrate independent interests and authority to make independent decisions in the area of the activity of the ASC, each may apply for membership. For example, one division or operating company of a private corporation may show a producing or selling interest while another may show a buyer/user interest; or a government agency may show a buyer/user interest in one department and a separate regulatory concern in another department. 4.5 Combined Interests When appropriate, the secretary may recommend that an applicant seek representation through an organization which is already a member and represents the same or similar interest. 4.6 Review of Member Participation Members are expected to participate actively in the ASC by attending meetings regularly, responding to correspondence, and returning letter ballots. The secretary shall record members' performance relative to meeting attendance, correspondence response, and letter ballot returns. The officers of the ASC and subgroups, if any, shall review this performance at least on an annual basis and may direct the ASC secretary to take corrective actions such as notifying a member in writing of his inactivity and encouraging active participation, or for a notified member whose participation has not improved, reclassifying him as an inactive member. 4.7 Membership Categories See B Resignations ASC members, including observers, may resign by notifying the ASC secretary in writing. The secretary shall issue an official written notification to the ASC confirming the resignation. 4.9 ASC Roster The ASC secretary shall maintain current and accurate rosters of the ASC and its subgroups, if any. The secretary shall distribute the rosters to the ASC and subgroup membership at least annually and otherwise on request. A roster shall include the following: a) Title of the ASC and its designation; b) Secretariat name of organization, name of secretary, and contact details; c) Officers names of the chair and vice chair, their respective organizations or agencies, and respective contact details;
14 ASC Operating Procedures 13 d) Members for each representative, his name, the name of his organization or agency, status as a principal or alternate representative as applicable, and contact details; e) Interest category classification of each member organization or agency in the ASC or in a subcommittee that votes directly on American National Standards. 5 SUBGROUPS CREATED BY THE ASC See B.7. 6 COMMUNICATIONS 6.1 Electronic Means Where used in the ASC operating procedures, the terms in writing and by correspondence shall include the use of electronic means, such as electronic mail ( ), facsimile (fax), or other electronic means. In addition, electronic means may be used to authorize letter ballots, issue letter ballots, issue voting results, and issue the disposition of views and objections. 6.2 Formal Internal Communication If correspondence between subcommittees or between working groups of different subcommittees involves issues or decisions (i.e., non-routine matters) affecting other subcommittees, copies shall be sent to the ASC secretary, the ASC officers, and the officers of the affected subcommittees. 6.3 External Communication The ASC secretary and members shall encourage those outside the ASC to direct inquiries to the secretary. All replies to inquiries shall be made through the secretary. 7 MEETINGS 7.1 General Meetings of the ASC and its subgroups, if any, shall be held annually or as decided upon by a majority of active ASC or subgroup members as appropriate, the ASC or subgroup chair as appropriate, the ASC or subgroup secretary as appropriate, or by petition of five or more ASC or subgroup members as appropriate. Meetings for the conduct of business such as making assignments, receiving reports of work, considering draft standards, resolving differences among subgroups, and considering views and objections from any source, shall also include telephone conference calls and other electronic means, such as internet conferencing calls.
15 ASC Operating Procedures Open Meetings Meetings of the ASC shall be open to all active and inactive members, observers, and others having direct and material interest. At least four week's notice of regularly scheduled meetings shall be given by the ASC secretary in ANSI's Standards Action or in other media designed to reach directly and materially affected interests, or in both. The notice shall describe the purpose of the meeting and shall identify a readily available source for further information. An agenda shall be available and shall be distributed in advance of the meeting to members and to others expressing interest. The ASC secretary may optionally maintain a permanent mailing list of other interests. 7.3 Quorum The requirements for attaining a quorum to conduct business at a meeting are specified in B.8. If a quorum is not present at a meeting, actions taken at the meeting shall be approved either by letter ballot or at the scheduled meeting at which a quorum is present. Observers and inactive members shall not be included in the calculations to determine meeting quorums. 8 VOTING AND COMMENTING 8.1 General Single Vote Generally no representative shall have more than one vote. However, if two or more organizations appoint the same individual to represent each of them, that individual may cast a separate vote for each organization represented. The organizations shall confirm in writing to the ASC secretary that they are aware of and will accept the results. Additionally, representation of more than one organization by the same individual shall require approval either by a majority of the active ASC members at a meeting where a quorum is present, or by a majority of all active ASC members if done by letter ballot Vote of Alternate The vote of an alternate representative is counted only if the principal representative fails to vote Proxy Vote See B Authorization of Letter Ballots A letter ballot may be authorized by any of the following: a) Majority of active ASC members at a meeting where a quorum is present; b) The ASC chair; c) The ASC Executive Committee, if one exists; d) The ASC secretary;
16 ASC Operating Procedures 15 e) Petition of five or more active ASC members whose names shall be circulated to the ASC. ASC members who decline to use electronic communications for receipt and response to electronic letter ballots shall request that the ASC secretary issue a paper ballot for their use Letter Ballot Voting Period and Follow-up See B Actions Requiring Approval by a Majority See B Actions Requiring Approval by Two-Thirds See B Voting on an American National Standard Opportunity to Vote and Voting at Meetings All active ASC members shall have the opportunity to vote on approval of a document, or portion thereof, as a candidate American National Standard. If a vote on a proposed American National Standard is taken at a meeting, all active ASC members shall be given the opportunity to vote before or after the meeting in the event they are not able to attend the meeting. ASC members not present during a meeting vote shall be provided at least two weeks to respond to an absentee letter ballot Vote Choices Each active ASC member shall vote one of the following positions: a) Affirmative; b) Affirmative, with comment; c) Negative, with reasons (the reason for a negative vote shall be given and should include specific wording or actions which would resolve the objection); d) Abstain, with reasons (for example, "no interest") Handling of Negative Votes The ASC is not required to consider negative votes accompanied by comments not related to the proposal under consideration, or negative votes without comments. The ASC secretary shall indicate conspicuously on the letter ballot that negative votes must be accompanied by comments related to the proposal and that votes unaccompanied by such comments will be recorded as negative without comments without further notice to the voter. If comments not related to the proposal are submitted with a negative vote, the comments shall be documented and considered in the same manner as submittal of a new proposal.
17 ASC Operating Procedures 16 In the case where clear instruction is provided on the ballot and a negative vote unaccompanied by comments related to the proposal is received notwithstanding, the ASC secretary registers the vote as negative without comment. The secretary is not required to solicit any comments from the negative voter, nor is the secretary required to conduct a recirculation ballot of the negative vote. The secretary is required to report the no vote as a negative without comment when making the final submittal to the Board of Standards Review Reporting of Voting Results The ASC secretary shall report final results of member voting to the ASC by interest categories. 9 ADMINISTRATIVE PROCEDURES FOR AMERICAN NATIONAL STANDARDS 9.1 Notification of, and Public Comment on, Standards Activity Project Initiation Notification System (PINS) At the initiation of a project to develop or revise an American National Standard, the ASC secretary shall send notification to ANSI using the Project Initiation Notification System (PINS) form, or its equivalent, for listing in Standards Action. If it is the intent for the developed or revised American National Standard to be submitted to IEC or ISO for consideration, this shall be stated on the PINS form. A PINS form may be submitted, but is not required, at the initiation of a project to reaffirm or withdraw an American National Standard. If the project intent, stakeholders or scope summary changes substantively, a new PINS form shall be submitted. Comments received in connection with a PINS announcement shall be handled in accordance with these procedures. If the ASC secretary receives written comments within 30 days from the publication date of a PINS announcement in Standards Action, and said comments assert that a proposed standard duplicates or conflicts with an existing American National Standard (ANS) or a candidate ANS that has been announced previously in Standards Action, a mandatory deliberation of representatives from the relevant stakeholder groups shall be held within 90 days from the comment deadline. Such a deliberation shall be organized by the ASC secretary and the commenter and shall be concluded before a draft standard may be submitted for public review. If the deliberation does not take place within the 90-day period and the ASC secretary can demonstrate that it has made a good faith effort to schedule and otherwise organize it, then the secretary will be excused from compliance with this requirement. The purpose of the deliberation is to provide the relevant stakeholders with an opportunity to discuss whether there is a compelling need for the proposed standards project. The outcome of such a deliberation shall be conveyed in writing by the ASC secretary and commenter (ideally as a joint submission) to the ANSI Board of Standards Review (BSR) for consideration should the developer ultimately submit the related candidate standard to ANSI for approval. While the outcome is not binding, participants are encouraged to develop a consensus on whether and how the standards development project should proceed.
18 ASC Operating Procedures BSR-8 Submittal and Public Review Proposals for new American National Standards and proposals to revise, reaffirm, or withdraw approval of existing American National Standards shall be transmitted by the ASC secretary to ANSI using the BSR-8 form, or its equivalent, for listing in Standards Action in order to provide an opportunity for public comment. The comment period shall be one of the following: a) A minimum of 30 days if the full text of the revision(s) can be published in Standards Action; b) A minimum of 45 days if the document is available in an electronic format, deliverable within one day of a request, and the source (e.g., URL or an address) from which it can be obtained by the public is provided to ANSI for announcement in Standards Action; or c) A minimum of 60 days, if neither of the aforementioned options is applicable. Such listing may be requested at any stage in the development of the proposal, at the option of the standards developer, and may be concurrent with final balloting. However, any substantive change subsequently made in a proposed American National Standard requires listing of the change in Standards Action Disposition of Views and Objections on Standards Activity Prompt consideration shall be given to the written views and objections of all participants, including those commenting on either the PINS announcement or public comment listing in Standards Action. In connection with an objection articulated during a public comment period, or submitted with a vote, an effort to resolve all expressed objections accompanied by comments related to the proposal under consideration shall be made, and each such objector shall be advised in writing (including electronic communications) of the disposition of the objection and the supporting reasons. If resolution is not achieved, each such objector shall be informed in writing that an appeals process exists contained in the ASC's operating procedures. In addition, each objection resulting from public review or submitted by a member of the consensus body, and which is unresolved must be reported to the ANSI BSR. When this process is completed in accordance with the ASC operating procedures, the ASC secretary may consider any comments received subsequent to the closing of the public review and comment period, or shall consider them in the same manner as a new proposal. Timely comments that are not related to the proposal under consideration shall be documented and considered in the same manner as submittal of a new proposal. The submitter of the comments shall be so notified. Unresolved objections, along with attempts at resolution, and any substantive change made in a proposed American National Standard shall be reported to the consensus
19 ASC Operating Procedures 18 body. All members of the consensus body shall be given at least 15 days to respond, reaffirm, or change their vote. 9.2 ANSI Approval Information Submitted to ANSI The ASC secretary shall submit the information to ANSI as listed on the American National Standard Formal Submittal Checklist (BSR-9) Criteria for ANSI Approval The criteria for approval by the ANSI Board of Standards Review for a new, revised, or reaffirmed American National Standard are as contained in the most recent version of ANSI Essential Requirements: Due process requirements for American National Standards. 9.3 Discontinuance of a Standards Activity The ASC may abandon the processing of a proposed new or revised American National Standard or portion thereof if it has followed its accredited operating procedures. Should the ASC secretary receive within 60 days of the date of final action a request for an explanation of the discontinuance, the secretary shall provide a written justification upon receipt of the request. The ASC secretary shall inform ANSI of discontinuances approved by the ASC. Appeals of discontinuance actions shall be made to the Executive Standards Council based on procedural noncompliance. 9.4 Withdrawal of an American National Standard Withdrawal Initiated by the ASC If the ASC, in compliance with its operating procedures for the withdrawal of a standard, decides to withdraw one or more of its American National Standards prior to a five-year review, the ASC secretary shall submit a request for withdrawal to ANSI immediately. The secretary of the ANSI Board of Standards Review shall review the request for withdrawal and notify the ASC secretary if additional information is required. Once ANSI has sufficient information, a 30-day public review announcement shall be made in Standards Action and at the close of the 30-day period, the standard shall be withdrawn. Appeals of such actions shall be made to the Board of Standards Review based on procedural noncompliance Withdrawal Initiated by a Third Party Requests for withdrawal of any of the ASC's American National Standards may be made by a materially interested party or by the ANSI Executive Standards Council on
20 ASC Operating Procedures 19 the basis of cause. A withdrawal for cause shall be approved by the ANSI Board of Standards Review only upon a sufficient showing that one or more of the following conditions applies: a) The ASC's patent policy was violated; b) ANSI s requirements for designation, publication, and maintenance were violated; c) An American National Standard is contrary to the public interest; d) An American National Standard contains unfair provisions; e) An American National Standard is unsuitable for national use; f) The ASC has failed to make a good faith effort to resolve conflicts. g) If it is determined by the ANSI ExSC as a result of an audit or appeal that ANSI s due process provisions were not satisfied. In such cases: a) The secretary of the BSR shall refer the request for withdrawal to the ASC secretary who shall respond within 30 calendar days to the requester and the BSR secretary; b) If the ASC concurs, in accordance with its operating procedures, with the proposed withdrawal, public notice shall then be given and the standard shall be withdrawn; c) If the ASC does not concur, in accordance with its operating procedures, with the proposed withdrawal, the ASC secretary shall inform the requester and the BSR secretary and include reasons; d) The requester shall advise the BSR secretary and the ASC secretary, within 30 calendar days of their receipt of the ASC secretary's response, either that the requester wishes to continue the withdrawal process or not; e) If the requester wishes continuance of the withdrawal process, the matter shall be referred to the BSR via letter ballot for decision on subsequent action. Extensions of time to submit documentation related to a withdrawal for cause shall be granted at the discretion of the chair of the BSR, or if the chair is unavailable, by the secretary of the BSR. Extensions shall be requested prior to the deadline date and shall include a justification therefore. If the BSR determines, based on the weight of the evidence presented, that one or more of the above-stated conditions existed, approval of the standard as an American National Standard shall be withdrawn. If the BSR determines, based on the weight of
21 ASC Operating Procedures 20 the evidence presented, that none of the above-stated conditions existed, then approval of the standard as an American National Standard shall be maintained. The decision of the BSR in this regard shall not be appealed to the BSR, but may be appealed to the ANSI Appeals Board pursuant to the section on appeals process in the most recent edition of the ANSI Appeals Board Operating Procedures. 10 TERMINATION OF THE ASC A proposal to terminate the ASC may be made by a directly and materially affected interest. The proposal shall be submitted in writing to the ASC secretary and to ANSI and shall include at least the following: a) Reasons why the ASC should be terminated; b) The name of the organization(s) that will assume responsibility for maintenance of any existing American National Standard(s) that are the responsibility of the ASC. If it appears by discussion between the proponent of the action and the ASC secretary that the desired objectives can best be reached by termination, the proposal and supporting documentation shall be submitted to the ASC with a letter ballot to terminate the ASC and transfer responsibility, as appropriate, for the affected standards. Concurrently, the proposal shall be announced for comment in Standards Action. The ASC secretary shall inform ANSI of the results of the ASC letter ballot and public comment period, and the appropriate actions to be taken based on the results. 11 PARLIAMENTARY PROCEDURES On questions of parliamentary procedure not covered in these procedures, Robert's Rules of Order (latest edition) may be used to expedite due process.
22 ASC Operating Procedures 21 Annex A Definitions (Informative) ANSI Accreditation: The approval by the ANSI Executive Standards Council (ExSC) of the written procedures submitted by a standards developer relative to the development and documentation of evidence of consensus in connection with standards that are expected to be approved as American National Standards. Accreditation by ANSI signifies that the procedures submitted by the standards developer satisfy the ANSI Essential Requirements. Continuous maintenance: Continuous maintenance is defined as the maintenance of a standard by consideration of recommended changes to any part of it according to a documented schedule for consideration and action by the consensus body. Consensus: Consensus means substantial agreement has been reached by directly and materially affected interests. This signifies the concurrence of 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. Consensus body: The group that approves the content of a standard and whose vote demonstrates evidence of consensus. Periodic maintenance: Periodic maintenance is defined as the maintenance of a standard by review of the entire document and action to revise or reaffirm it on a schedule not to exceed five years from the date of its approval as an American National Standard. Proxy: A written and signed document by which a voting member of a consensus body authorizes another person to vote in the member s stead, if allowed by the developer s procedures. Resolved: A negative vote cast by a member of the consensus body or a comment submitted as a result of public review where the negative voter agrees to change his/her vote or the negative commenter accepts the proposed resolution of his/her comment. Substantive Change: A substantive change in a proposed American National Standard is one that directly and materially affects the use of the standard. Examples of substantive changes are: o shall to should or should to shall ; o addition, deletion or revision of requirements, regardless of the number of changes; o addition of mandatory compliance with referenced standards. Unresolved: Either a negative vote submitted by an active ASC member or written comments submitted by a person during public review expressing disagreement with some or all of the proposed standard, that have not been satisfied and/or
23 ASC Operating Procedures 22 withdrawn after having been addressed by the ASC in accordance with its operating procedures.
24 ASC Operating Procedures 23 Annex B Operating Procedures Specific to ASC C137 (Normative) B.1 General Information B.1.1 Preparation, Approval, and Revision History of ASC Operating Procedures These operating procedures were prepared by Accredited Standards Committee (ASC) C137, (Lighting Systems), in conformance with the most recent edition of ANSI Essential Requirements: Due Process Requirements for American National Standards. These operating procedures were approved on (approval date) by (if approval was done by letter ballot, then use these words: "by letter ballot with at least two-thirds of all active ASC members voting, excluding abstentions"; if approval was done at a meeting with quorum, use these words: "at least two-thirds of all active ASC members, excluding abstentions, at an ASC meeting with a quorum present"). B.1.2 Inquiries, Comments, and Proposed Revisions Inquiries, comments, and proposed or recommended revisions should be submitted to the ASC (ANSI designation) secretariat at the following address: ASC (C137) Secretariat c/o Vice President, Technical Services National Electrical Manufacturers Association 1300 North 17th Street, Suite 1752 Rosslyn, Virginia B.2 ASC Title and Scope The current title for ASC C137 is: Lighting Systems The current scope for ASC C137 is: To develop standards and specifications for lighting systems installed in an application with consideration of human health and comfort, the physical environment, energy consumption and daylight integration. Such a system is comprised of components (e.g., luminaires, sensors/controllers, and windows or skylights) and associated software designed to minimize energy use while maintaining lighting quality and that may be interconnected to provide control and monitoring functions. B.3 Patent Policy There is no objection in principle to drafting a standard in terms that include the use of an essential patent claim if it considered that technical reasons justify this approach. Participants in the development of an ASC C137 standard are encouraged to identify
25 ASC Operating Procedures 24 and disclose early in the standards development process essential patent claims of which the participant has knowledge. No participant in the development of an ASC C137 standard or proposed standard shall knowingly conceal from the committee or the other organizations participating in the development of an ASC C137 standard or proposed standard any patent containing an essential patent claim that the participant (or any affiliate) owns, controls, or has the ability to license. Each participant in the development of an ASC C137 standard or proposed standard is encouraged to bring to the attention of the committee and other participants at any time during and after the development of the standard any patent(s) or published patent application(s) that are believed to contain an essential patent claim, which (a) the participant owns, controls, or has the ability to license, or (b) is owned by others in the manner set forth in this policy. B.3.1 Definitions A. Essential Patent Claim An essential patent claim means a claim contained in a patent or published patent application, the use of which is necessary to create a compliant implementation of the mandatory portions of the normative clauses of the ASC C137 standard or proposed standard when there is no commercially and technically feasible non-infringing alternative. An essential patent claim does not include any claim that is essential only for enabling technology (technology that may be necessary to make a product that complies with the standard, but is neither explicitly required by nor expressly set forth in the standard) or any claim other than that set forth above even if contained in the same patent as the essential patent claim. B. Knowledge or Knowingly Knowledge or knowingly means or refers to the actual personal awareness by an individual of information relating to a particular matter. Knowledge shall not be deemed to include knowledge held by other personnel of the relevant individual participants sponsor or employer; provided however, that such sponsor or employer will not deliberately withhold relevant information from individual participants in ASC C137 s standardization activities for the purpose of avoiding disclosure or licensing under this policy. C. Participant or Individual Participant Participant means an ASC C137 member authorized to develop an ASC C137 standard, and it also refers to an individual participant. Individual participant means the individual person representing or employed by a participant in the development of an ASC C137 standard. D. Affiliate Affiliate means an entity that directly or indirectly through one or more intermediaries, controls, is controlled by, or is under common control with such
26 ASC Operating Procedures 25 entity. Control means ownership of or ability to direct more than 50% of the voting power of a corporation or other organization. E. Development Development means the entire effort in proposing, drafting, meeting and discussing, voting upon, revising and reaffirming an ASC C137 standard or proposed standard. B.3.2 No Requirement to Search Patent Portfolio Participants in the development of an ASC C137 standard or proposed standard do not have an affirmative duty to search their patent portfolio to determine if they own a patent containing an essential patent claim. B.3.3 Disclosures of Essential Patent Claims To implement the policy of B.3, the procedures in B shall be followed. B Self-Disclosure by Patent Holder A participant in the development of an ASC C137 standard or proposed standard, on behalf of itself and its affiliates, shall disclose in writing to the ASC secretariat essential patent claims that they own, control, or have the ability to license as expeditiously as possible after that participant recognizes it has an obligation of disclosure under this policy. The disclosure shall be accompanied by the written statement required by B.3.3.3B below. A participant may also submit to the ASC C137 secretariat at any time a written disclaimer as provided in B.3.3.3A below. B Disclosure at Request of ASC C137 At the request of any firm or person who states that another identified party owns, controls, or has the ability to license an essential patent claim, the ASC C137 secretariat shall request, without coercion, that the identified party, on behalf of itself and its affiliates, provide the statement required by B.3.3.3A or B.3.3.3B below. B Written Disclosure Statements A participant or an identified party providing a written statement under B or B shall submit a written communication addressed to the ASC secretariat containing either: A. A statement containing an assurance in the form of a general disclaimer to the effect that such party (including any affiliate) does not own, control or have the ability to license patents or published patent applications containing essential patent claim(s), but in the event that it is later discovered that such party (including any affiliate) does own, control or have the ability to license such patents, a license will be made available as prescribed in B.3.3.3B(c); or B. A statement: (a) Identifying the patent registration or application number(s) of the patent(s) or published patent application(s) that is believed to contain essential patent claim(s);