CSA Directives and guidelines governing standardization, Part 4: Development of ANSI Standards
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Standards Update Service CSA-SDP-2.4-15 April 2015 Title: Part 4: Development of ANSI Standards To register for e-mail notification about any updates to this publication go to shop.csa.ca click on CSA Update Service The List ID that you will need to register for updates to this publication is 2423942. If you require assistance, please e-mail techsupport@csagroup.org or call 416-747-2233. Visit CSA Group s policy on privacy at www.csagroup.org/legal to find out how we protect your personal information.
CSA Directives and guidelines governing standardization, Part 4: Development of ANSI Standards American National Standards Institute, Inc. TM A trade-mar k of the Canadian S tandards Association and CSA America Inc., operating as CSA Group ISBN 978-1-4883-0089-9 Published in April 2015 by CSA Group A not-for-profit private sector organization 178 Rexdale Boulevard, Toronto, Ontario, Canada M9W 1R3 To purchase standards and related publications, visit our Online Store at shop.csa.ca or call toll-free 1-800-463-6727 or 416-747-4044. 2015 CSA Group All rights reserved. No part of this publication may be reproduced in any form whatsoever without the prior permission of the publisher.
Contents Preface 4 1 Scope 5 2 Technical committee composition, participation and responsibilities 5 2.1 Openness 5 2.2 Interest categories 5 2.3 Balance of representation 5 2.4 TC membership 6 2.4.1 TC voting membership 6 2.4.2 Request for membership 6 2.4.3 Approval of membership 6 2.4.4 Action on application for membership 6 2.4.5 TC non-voting membership 6 2.5 Alternates 6 2.6 Membership roster 6 2.7 Member conduct 7 2.7.1 Support for achieving consensus 7 2.7.2 Ethics Policy 7 2.7.3 Patent Policy 7 2.7.4 Commercial Terms and Conditions 7 2.7.5 Antitrust Policy 7 2.7.6 Member indemnity 7 2.8 Termination of membership 7 2.9 Role and responsibilities of chairs and vice-chairs 7 2.10 CSA Group staff 8 3 TC Operations 8 3.1 Function of TC 8 3.2 Elections of chair and vice-chair(s) 8 3.2.1 Nominations 8 3.2.2 Approval 9 3.3 Conduct of business 9 3.4 Meetings 9 3.4.1 Call of meetings 9 3.4.2 Quorum 9 3.4.3 Public notice 9 3.4.4 Openness 9 3.4.5 Parliamentary Authority 9 3.5 Voting procedures 10 3.5.1 General 10 3.5.2 Actions requiring approval by a majority and two-thirds vote of a TC voting membership 10 3.5.3 Actions requiring approval of a majority of a TC voting membership 10 4 Program Administration 10 4.1 Function 10 April 2015 2015 CSA Group 1
4.2 Records 11 5 Development of Standards 11 5.1 General 11 5.2 Notification of standards development and coordination 11 5.2.1 Project Initiation Notification (PINS) 11 5.2.2 Assertions of conflict or duplication 11 5.2.3 PINS deliberation report 12 5.3 Drafting standards 12 6 Approval of CSA standards 12 6.1 Conducting a ballot 12 6.1.1 General 12 6.1.2 Ballot period 12 6.1.3 Review of results of a ballot 12 6.2 Technical approval by recorded vote at a meeting 12 6.2.1 General 12 6.2.2 Absent members 12 6.2.3 Voting 13 6.2.4 Recorded vote summary 13 6.3 Negative votes 13 6.4 Disposition of negative votes 13 6.4.1 Actions by the TC chair 13 6.4.2 Ruling by the TC 13 6.4.3 Notification to negative voter 14 6.5 Recirculation ballot 14 7 Public Review (BSR-8) and submittal to ANSI (BSR-9) 14 7.1 Public Review 14 7.2 Final submission for ANSI ANS status 15 8 Review of Standards 15 8.1 Revisions of standards 15 8.2 Reaffirmation and withdrawal of standards 15 8.2.1 Reaffirmation of standards 15 8.2.2 Withdrawal of standards 15 9 Discontinuance of a Standard Project 16 10 Appeals 16 10.1 General 16 10.2 Appeal process 16 10.3 Appeals panel 17 11 Interpretations 18 11.1 General 18 11.2 Submitting requests for interpretation 18 11.3 Responsibility 18 11.4 Preparing a proposed interpretation 18 11.5 Approval of an interpretation 19 April 2015 2015 CSA Group 2
11.6 Publication of an interpretation 19 12 Metric Policy 19 Annex A (Normative) Definitions of membership categories for a TC 20 April 2015 2015 CSA Group 3
Preface This is the second edition of CSA-SDP-2.4, Part 4: Development of ANSI standards. This document was approved by the American National Standards Institute Inc. on April 15, 2015. Interested parties may request copies from CSA staff. Notes: 1) Use of the singular does not exclude the plural (and vice versa) when the sense allows. 2) All inquiries regarding this publication should be addressed to CSA Group, 8501 East Pleasant Valley Road, Cleveland, OH 44131-5575 April 2015 2015 CSA Group 4
CSA-SDP-2.4-15 CSA Directives and guidelines governing standardization, Part 4: Development of ANSI Standards 1 Scope This Directive describes the policies and procedures of CSA Group as an ANSI Accredited Standards Developer (ASD); the scope of work extends to all areas in which CSA Group conducts business. The procedures establish the method by which evidence of consensus is developed, and due process is provided during the development of proposed draft standards for submittal to the American National Standards Institute (ANSI) for recognition as an American National Standard (ANS). The purpose of this procedure is to provide for a system and instructions to form, operate, and maintain CSA Group Technical Committees (TCs). The procedures are available to any interested person. Where the phrase in writing is used in the document, electronic means of communication is an acceptable alternative. This document provides evidence of compliance with the ANSI Essential Requirements. 2 Technical committee composition, participation and responsibilities 2.1 Openness Participation shall be open to all persons who are directly and materially affected by the activity in question. There shall be no undue financial barriers to participation. Membership shall not be conditional upon membership in any organization, nor unreasonably restricted on the basis of technical qualifications or other such requirements. 2.2 Interest categories The voting membership of any TC may be constituted from the following interest categories, but consideration shall be given to at least, producer; user and general interest (see Annex A): a) General Interest; b) Government Agency; c) Producer; d) Regulatory/Code Authority; e) Research or testing; f) Supplier; or g) User/Consumer. 2.3 Balance of representation To maintain a balance of interests, CSA Group strives to attain membership in its TCs where no one interest category constitutes more than one third of the total committee voting membership. April 2015 2015 CSA Group 5
2.4 TC membership 2.4.1 TC voting membership Representatives of organizations, including not-for-profit, federal, state and municipal agencies having a direct and material interest in the scope of the committee s work shall be eligible for membership on a TC. Voting member organizations shall designate their official representative(s) to a TC and may also designate an alternate to the representative. Individuals possessing knowledge in the field of a TC s work shall be eligible for membership. An organization should not be represented by more than one voting member on the TC. However, the TC may sometimes be better served by having more than one representative from the same organization. In such cases, each representative shall be from a separately identifiable segment of that organization and the organization shall provide CSA staff with its rationale for having multiple representation. Note: An organization may be, for example, an association, a corporation, or an institution. 2.4.2 Request for membership All requests for membership on a TC shall be addressed to CSA Group using the application process. The application shall include the applicant s qualifications and willingness to participate. 2.4.3 Approval of membership Members are approved by the TC Chair with the concurrence of the CSA Group project manager (PM). The PM for the TC shall review the applicant s information to determine whether an applicant has met the requirements for membership. The Chair and PM shall determine the member s voting interest category as applicable. If the applicant is requesting a voting position, the TC Chair and PM shall take into consideration the balance requirements of the TC. 2.4.4 Action on application for membership The applicant shall be notified of the result of the application. Applicants not approved for voting membership shall be advised of the reason for disapproval and their right to appeal. 2.4.5 TC non-voting membership Non-voting membership on a TC is open to selected individuals that represent and serve as a liaison with associations and organizations that have interest in CSA Group activities. 2.5 Alternates If a member is unable to attend a meeting, he/she may designate an alternate, which shall be subject to approval by the Chair and PM prior to the meeting. 2.6 Membership roster CSA Group shall maintain an accurate roster of each TC. April 2015 2015 CSA Group 6
2.7 Member conduct 2.7.1 Support for achieving consensus Committee members are expected to conduct themselves in a collaborative manner with the aim of achieving consensus. Inherent in this process is an obligation to: a) allow all members the opportunity to have their viewpoints expressed, b) respect the opinions presented during committee deliberations, c) refrain from behaviors that obstruct the progress of the work, and d) adhere to the requirements found in this Directive. 2.7.2 Ethics Policy It is the responsibility of committee members and CSA staff to disclose to CSA management actual or potential conflicts of interest connected with their role on a committee. 2.7.3 Patent Policy CSA Group and its committee members shall comply with the clause(s) regarding Patent Policy contained in the current edition of the ANSI Essential Requirements, including patent transfers. 2.7.4 Commercial Terms and Conditions CSA Group and its committee members shall comply with the clause(s) regarding Commercial Terms and Conditions in the current edition of the ANSI Essential Requirements. 2.7.5 Antitrust Policy CSA Group and its committee members shall comply with the clause(s) regarding Antitrust Policy in the current edition of the ANSI Essential Requirements. 2.7.6 Member indemnity The CSA Group by-laws include a provision for indemnification of committee members involved in CSA Group activities. 2.8 Termination of membership In consultation with the PM, the Chair (on behalf of the committee) should recommend that a committee member be removed from the committee if the member has failed to: a) comply with the CSA Group Member Code of Conduct; b) attend three consecutive meetings; c) respond to three consecutive ballots; or d) be actively and effectively involved in the work and responsibilities of the committee (per clause 2.7). Attendance by a designated alternate meets the above attendance requirement. 2.9 Role and responsibilities of chairs and vice-chairs 2.9.1 Chairs have an obligation to the committee to act impartially and to facilitate an impartial process. If at any time a chair finds himself/herself in an actual or potential conflict of interest, this shall be disclosed to the committee. Substantiated allegations of an undisclosed conflict of interest by a chair shall be cause for removal as chair. April 2015 2015 CSA Group 7
2.9.2 Chairs shall: a) provide the opportunity for all members of the committee to express their viewpoints; b) conduct periodic reviews of the membership and recommend changes as necessary; c) assist the committee in establishing the necessary task forces (TFs) and other subsidiary committees and discharge the same upon completion of their work; and d) assist the committee in establishing nominating committees as necessary. 2.9.3 Vice-chairs shall act for the chair when: a) the chair cannot attend a meeting; b) the chair wishes to participate in the discussion and therefore must relinquish the chair in order to maintain neutrality; c) dispositioning a negative vote cast by the chair; or d) otherwise requested by the chair or CSA staff to do so. 2.10 CSA Group staff CSA shall provide a Project Manager (PM) with the necessary expertise on CSA policies and processes to provide CSA committees with appropriate support in the standards development and review processes. CSA staff shall not be designated voting members of CSA committees. 3 TC Operations A TC is the principal consensus body in the CSA Group standards development process. A TC shall be administered as per the procedures outlined in this document. 3.1 Function of TC A TC shall have the following responsibilities: a) Approve the technical content of the standards under its scope of operation including: i) new standards or revisions to a standard, ii) amendments/addenda to existing standards, iii) reaffirmation or withdrawal of existing standards, and iv) interpretation of active standards. b) Manage supporting structures for standards development purposes including: i) creation of standing technical subcommittees (TSCs) to draft standards, amendments/addenda or revisions to an existing standard (within the TC s scope of operation); and ii) disbanding of standing TSCs. 3.2 Elections of chair and vice-chair(s) 3.2.1 Nominations The PM shall solicit for candidates for the office of Chair and Vice-Chair. Nominations of candidates shall be submitted in writing to the PM. The Director, Standards shall appoint a Nominations Committee (NC) comprising of the Director, the PM, and three TC members. The Chair of the TC should be included in the NC if he/she is not a candidate. April 2015 2015 CSA Group 8
TC chairs and vice-chairs shall be appointed for a three-year term and shall be eligible for reappointment. 3.2.2 Approval After reviewing the list of candidates and supporting documentation, interviewing candidates as necessary, the NC shall select its slate of one candidate for Chair and one candidate for Vice Chair. The slate selected by the NC may be different from the candidates submitted by CSA Group and the members of the TC. Names of additional candidates will not be accepted from the floor of a TC. Each position shall be approved by a simple majority vote of the TC members. 3.3 Conduct of business Business to be conducted by a TC shall be addressed at a meeting or by ballot, and may involve using various electronic media, on-line services and teleconferencing. A TC shall meet and vote on ballots as appropriate. 3.4 Meetings 3.4.1 Call of meetings A meeting shall be held at the discretion of the PM after reviewing with the TC chair the items of business pending consideration. 3.4.2 Quorum A simple majority of a TC s voting membership shall constitute a quorum for the purpose of conducting business at a meeting. 3.4.3 Public notice Public notice of a meeting of any TC relating to the development of a standard or consideration of a revision to an existing standard shall be published in a medium that will reach persons reasonably expected to have an interest in the standard. This notice shall appear at least 4 weeks prior to a scheduled meeting. The notice shall include a brief description of the purpose of the meeting and the contact information of the PM to request further information. Note: ANSI Standards Action, a weekly publication of the American National Standards Institute (ANSI), is considered such a medium. 3.4.4 Openness Meetings shall be open to all interested parties. The public notice of a TC meeting shall require that interested parties planning to attend the meeting notify the PM in advance of the meeting. Parties wishing to attend a TC meeting and present specific comments on an item of business, such as a recommended standards proposal, shall notify the PM in writing at least 3 weeks prior to the meeting date. Such notification shall include a copy of the commenter s written presentation. The PM shall forward copies of the comments to the TC chair. 3.4.5 Parliamentary Authority On questions of parliamentary procedure not covered in these procedures, Robert s Rules of Order (latest edition) shall apply. April 2015 2015 CSA Group 9
3.5 Voting procedures 3.5.1 General The technical content of draft CSA Standards shall be approved by a TC. 3.5.1.1 Each TC voting member has an obligation to vote. If voting by ballot, this shall be within prescribed time limits. No person shall cast a vote for more than one organization. 3.5.1.2 The final vote of a TC on a proposed draft standard or proposed revision to an existing standard shall be by recorded vote at a meeting, by ballot, or a combination thereof. Each voting member is expected to vote one of the following positions: a) approve; b) approve with comment; c) negative with reason (the reasons for a negative vote shall be given and should include specific wording or actions that would resolve the objection); or d) abstain. 3.5.2 Actions requiring approval by a majority and two-thirds vote of a TC voting membership The following actions require approval by a simple majority of the voting membership and by at least two-thirds of those voting: a) approval of a new standard or reaffirmation of an existing standard; b) revision to an existing standard; c) interpretation of a current standard s clause; and d) withdrawal of an existing standard. 3.5.3 Actions requiring approval of a majority of a TC voting membership The following actions require approval by a simple majority of the voting membership: a) formation or disbanding of a TSC including changes to a TC or TSC scope; b) formation or disbanding of a TF; c) establishing a TSC s scope and duties; and d) approval of minutes. 4 Program Administration 4.1 Function CSA Group is the Accredited Standards Developer (ASD) for the standards development program. Included within its responsibilities is the general management and operation of the program in accordance with these procedures. CSA Group shall also provide the administrative services required to develop standards in accordance with these procedures. Administrative responsibilities include: a) maintenance of program accreditation in accordance with ANSI procedures; b) monitoring the program, and TC activities for compliance with these procedures; c) administering meeting notices and meeting arrangements; April 2015 2015 CSA Group 10
d) preparation and distribution of meeting agendas, meeting minutes, ballots, draft standards, and standards revisions to existing standards; e) submittal of proposed standards approved by a TC, with supporting documentation, for ANSI public review (BSR-8) and approval as an American National Standard (BSR-9); f) publication of standards approved by a TC and as an American National Standard; g) maintenance of a list of standards under its programs; and h) other functions as required by the program and these procedures. 4.2 Records CSA Group shall maintain TC records to enable review and understanding of their activities, for at least one complete standards cycle or a minimum of five years for withdrawn standards. These records shall include but shall not necessarily be limited to: a) statements regarding patented items (if applicable); b) copyright release and permission (if applicable); c) written agreements pertaining to the development of Standards (if applicable); d) meeting notices, minutes, and agendas; e) voting records and appeals; and f) public review draft version(s) of CSA Standards and related correspondence. CSA Group shall maintain a formal records retention policy. 5 Development of Standards 5.1 General The procedures set forth in this section detail the manner in which standards are developed. They represent a process of development, public review and reconsideration for the purpose of determining consensus and providing due process in accordance with ANSI Essential Requirements. 5.2 Notification of standards development and coordination 5.2.1 Project Initiation Notification (PINS) At the initiation of a project to develop or revise an American National Standard, notification shall be transmitted to ANSI using the Project Initiation Notification System (PINS) form, for announcement in ANSI Standards Action. Comments received in connection with a PINS announcement shall be handled in accordance with the ANSI Essential Requirements. 5.2.2 Assertions of conflict or duplication If written comments are received within 30 days from the publication date of a PINS announcement in ANSI 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 (or concurrently) in ANSI 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 concluded before a draft standard is submitted for public review. If the deliberation does not take place within the 90-day period and CSA Group can demonstrate that it has made a good faith effort to schedule and otherwise organize it, then CSA Group will be excused from compliance with this requirement. April 2015 2015 CSA Group 11
5.2.3 PINS deliberation report The outcome of a PINS deliberation shall be conveyed in writing (the Deliberation Report ) within 30 days after the conclusion of the deliberation to the commenter and to ANSI. Once the Deliberation Report is submitted, CSA Group may continue with the submission of the draft standard for public review. If additional deliberations are needed, see ANSI Essential Requirements. All Deliberation Report (s) shall be submitted with the BSR-9 submittal. 5.3 Drafting standards Preference is to be given to the use of performance criteria, measurable by examination or testing when such criteria may reasonably be used in lieu of design, material or construction criteria. The TC shall consider all proposed draft standards, revisions to an existing standard, and any comments submitted to the TC on standard s proposal(s). The TC shall determine, in accordance with the voting procedures, if the draft standard or proposed revisions to an existing standard is to be submitted to ANSI for approval as an American National Standard. 6 Approval of CSA standards 6.1 Conducting a ballot A TC shall meet and vote on ballots as appropriate. 6.1.1 General Ballots shall be issued by CSA staff. 6.1.2 Ballot period The voting period for ballots shall end 30 days following the date of issue or as soon as all ballots are returned, whichever comes first. The ballot period may be shortened to 21 calendar days with the permission of the TC chair. Prior to the ballot s specified close date, the PM shall send a follow-up notification requesting return of the ballot before the close date to all members whose vote has not yet been received. 6.1.3 Review of results of a ballot The PM shall provide a summary of the balloting, including reasons for any negative votes and any other comments, to the TC chair. The PM shall attempt to resolve all outstanding issues (negatives and comments) with the appropriate chair(s). Technical input should be reviewed with the TC chair. Those items that need further attention from the TC should be addressed in correspondence or at a meeting. 6.2 Technical approval by recorded vote at a meeting 6.2.1 General Recorded votes shall be conducted by CSA staff only. 6.2.2 Absent members Voting members not present and not represented by their alternate at a meeting shall be balloted. The absent member ballot shall advise the absent members and their alternates of the actions of the TC, including the reasons for any unresolved, disapproving votes cast at the meeting. April 2015 2015 CSA Group 12
6.2.3 Voting All negative votes shall be dispositioned and comments considered in accordance with Clause 6.4.1. 6.2.4 Recorded vote summary Members votes (together with the reasons for and disposition of any negative votes) shall be recorded in the minutes in such a manner that each member s vote is identified. 6.3 Negative votes 6.3.1 All negative votes cast, and the reasons therefore, shall be recorded by the PM. The negative voter shall state specific wording or action that would resolve the negative vote. 6.3.2 For votes cast during a meeting, the member (or alternate) casting a negative vote shall provide the PM, documented in writing, reasons for their negative vote and specific wording or action that would resolve the negative vote within 2 weeks of the meeting. 6.4 Disposition of negative votes All negative votes, the reasons therefore, and any recommended solutions shall be reviewed by the TC Chair to determine how they will be considered. 6.4.1 Actions by the TC chair Acting on behalf of the TC and with the concurrence of the PM, the TC chair shall take one or more of the following courses of action, as appropriate, to respond to a negative vote: a) Rule the negative vote non-germane if: i) it is not accompanied by supporting reasons; or ii) the negative vote and supporting reasons are not relevant to the items being balloted. Such votes shall be considered as not cast when considering the requirement for at least two-thirds affirmative votes from the votes that have been cast. The cover letter of the ballot shall contain notice of this provision. b) Attempt to resolve each negative vote by editorial changes or explanation and thereby have the negative vote changed to affirmative. Note: Only the disapproving voter can change his/her vote. c) Rule the negative vote non-persuasive if the particular reasons for the vote have previously been considered and not accepted by the TC; this decision shall be supported by committee records. Negative votes that have been ruled non-persuasive shall not be counted as affirmative votes unless the member, after explanation, revises in writing his/her vote to affirmative. d) Direct the negative vote to the TC if the particular reasons for the vote have not previously been considered or if the vote has not been dispositioned under Items a), b), or c) above. 6.4.2 Ruling by the TC The TC may rule that: a) The negative vote is persuasive and should be accepted; b) The negative vote is persuasive but should be considered for future study. In this case, with the written consent of the voter, the vote shall be reclassified as affirmative; c) The draft standard or revisions to an existing standard should be put on hold for further study; or d) The negative vote is not persuasive. April 2015 2015 CSA Group 13
In all cases the ruling shall be documented. 6.4.3 Notification to negative voter The PM shall inform negative voters of the action taken in reference to their negative votes. The disapproving voter shall receive the decision in writing. The disapproving voter shall be given 2 weeks to respond stating that he/she will retain their negative vote or revise their vote to approve. 6.5 Recirculation ballot 6.5.1 If after consideration, a negative vote cannot be resolved, it shall be reported to the TC in a 30-day recirculation ballot with a copy of the reasons given for the negative vote along with the attempted resolution of the comments. 6.5.2 Each voting member who wishes to change his/her original vote shall so indicate the change in writing within 30 days. If a voting member does not respond to the recirculation ballot within 30 days, his/her original vote shall be retained. If such action occurs at a meeting, those members not attending shall be made cognizant of all votes, reasons for votes, discussions and substantive changes, and shall be requested to vote so that an expression from the full membership may be obtained. 6.5.3 If substantive changes have been made as a result of the negative vote with comment, a Public Review period of those changes shall take place. Note that a recirculation ballot also provides the opportunity for a voter to respond/vote if they had not already done so. 6.5.4 A negative vote shall not be changed for any reason unless so instructed by the voter. 7 Public Review (BSR-8) and submittal to ANSI (BSR-9) Note: Also see ANSI Essential Requirements 7.1 Public Review 7.1.1 Standards proposals approved for submittal to ANSI for consideration of recognition as an American National Standard shall be submitted, in proper form, by CSA Group to ANSI for its Public Review (BSR- 8) period. When the need exists to expedite approval of a standard s proposal, the ANSI Public Review process and TC consideration of the standard s proposal may take place concurrently. 7.1.2 CSA Group shall respond to all comments received as a result of ANSI Public Review. The response shall be based on the recorded actions of the TC or a subordinate body. Substantive changes made to a standard or proposed revision to a standard as a result of Public Review shall require additional April 2015 2015 CSA Group 14
consideration/ballot of the TC to give members the opportunity to respond, reaffirm or change their vote. Substantive changes shall require an additional Public Review period at ANSI. 7.2 Final submission for ANSI ANS status Following ANSI Public Review, response to all comments received, and approval by the TC, CSA Group shall submit appropriate documentation to the ANSI Board of Standards Review (BSR) for consideration of approval (BSR-9). Following approval by ANSI, CSA Group shall arrange to publish the standard and issue it as an American National Standard. 8 Review of Standards 8.1 Revisions of standards Each standard shall be reviewed, in light of request and recommendations, and revisions to standards initiated as warranted. Standards may be revised or amended as frequently as necessary in line with indicated needs, industry developments or current technology. 8.2 Reaffirmation and withdrawal of standards Standards approved as an ANS shall be maintained under periodic maintenance and shall be reaffirmed at least every 5 years or withdrawn/superseded before the end of the 5-year period. CSA Group shall request an extension of a standard that has not been revised or reaffirmed within five years following approval by ANSI if no PINS or BSR-8 has been filed for the standard. 8.2.1 Reaffirmation of standards Except for filing of PINS, all of the same procedural requirements apply to reaffirmations as they do for new and revised American National Standards. Reaffirmations shall be accomplished without any substantive change to the main text of the standard. An American National Standard undergoing an update of references to standards necessary to implement the American National Standard shall be processed as a revision unless the updated reference is only a reaffirmation of the referenced standard. Any substantive changes in such references require processing as a revision. The American National Standard shall clearly indicate on its cover or title page that it is a reaffirmation. 8.2.2 Withdrawal of standards CSA Group may choose to withdraw an American National Standard. It may do so by vote of the relevant TC. If the TC approves to withdraw a standard, Public Review shall be initiated and notice placed in ANSI Standards Action identifying that the standard is pending withdrawal. CSA Group, through the submittal of a BSR-9 form within 30 days of the close of Public Review, shall notify ANSI that the standard is to be withdrawn as an American National Standard. April 2015 2015 CSA Group 15
9 Discontinuance of a Standard Project CSA Group may cancel a standards project at its own discretion and without a vote of the relevant TC. ANSI shall be notified immediately of such actions, which will then be announced in ANSI Standards Action. 10 Appeals 10.1 General Directly and materially affected persons, including unresolved public review objectors, who believe they have been or will be adversely affected by any procedural action or inaction of the TC or CSA Group shall have the right to appeal. A fair, impartial appeals process is available to any party affected by a CSA American National Standard. 10.2 Appeal process 10.2.1 Appeals of inactions may be filed at any time. If an appeal is initiated, the appeal process shall be followed and processing of the document in question will be placed on hold until the appeal is resolved. 10.2.2 A member of a TC who casts an unresolved negative vote shall receive a Right to Appeal letter and will be given two weeks to respond. If the member states that they do not intend to appeal, or no response is provided within the 2 week time period, the PM shall submit the proposed draft standard or revision to an existing standard to ANSI for final approval as an American National Standard. 10.2.3 When an appellant notifies CSA Group in writing of the intent to file an appeal, CSA Group shall confirm receipt of the notification within two weeks of receipt. CSA Group shall inform the appellant of the information to be included in a formal appeal, the appeal process, and that he/she may be responsible for a fee of $1,000 to help defray administration costs. The appellant at that time will be required to confirm his/her agreement to pay the fee. The fee for an appeal may be waived or reduced if an appellant provides a written request to waive or reduce such fee. An adequate explanation to waive or reduce such fee shall also be provided by the appellant. 10.2.4 The appellant shall file a formal written appeal with CSA Group, including the administration fee payment, if applicable, by registered mail within 6 weeks after CSA Group s notification of the appeal process and administration fee requirement. The appellant shall state the nature of the procedural objection(s), including any adverse effects, the section(s) of the procedures which are at issue, actions and/or inactions which are at issue, and the specific remedial action(s) that would satisfy the appellant s concerns. Previous efforts to resolve the objection(s) shall be noted by the appellant, including the outcome of each. April 2015 2015 CSA Group 16
10.2.5 Within 4 weeks after CSA Group receives the appellant s formal written appeal, the appropriate TC chair (or a CSA Group representative) shall respond in writing to the appellant, specifically addressing each allegation in the appeal, to the extent of the respondent s knowledge. 10.3 Appeals panel 10.3.1 If the appellant and the respondent are unable to resolve the appeal informally, CSA Group shall arrange to convene an Appeals Panel on a date agreeable to all participants, giving at least 2 week s notice. 10.3.2 The Appeals Panel shall consist of no less than 3 fair and impartial persons who have not been directly involved in the matter in dispute, and who will not knowingly be materially or directly affected by any decision made or to be made in the dispute. The Appeals Panel shall be deemed constituted when a majority of the members are acceptable to both the appellant and CSA Group. The panel shall elect its chair. 10.3.3 The appellant should be present at the hearing. However, if circumstances prohibit his/her appearance, the appellant shall designate a representative to appear on his/her behalf or submit sufficient written documentation to allow the appeals panel to knowledgeably evaluate the appeal and reach a decision. The appellant has the burden of demonstrating adverse effects, improper actions/inactions, and the efficacy of requested remedial action. The respondent has the burden of demonstrating that all actions required by the procedures were taken, in accord therewith, 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. Robert s Rules of Order (latest edition) shall apply to questions of parliamentary procedure for the hearing not covered herein. 10.3.4 The appeals panel shall render its decision in writing within 6 weeks, stating findings of fact and conclusions, with reasons therefore, 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 a TC 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 his/her objections; or c) finding that new, substantive evidence has been introduced, remanding the entire action to a TC for appropriate reconsideration. The appeals decision shall be provided to the appellant in writing within 2 weeks of receipt of the appeals panel decision. April 2015 2015 CSA Group 17
11 Interpretations 11.1 General An interpretation is a written clarification of the meaning of a provision of a CSA Standard provided by the applicable TC in response to a written request for an interpretation. Note: Normally, clarification is provided in the form of a yes or no answer to a question. However, the TC can also make a statement about the provision being queried. Responses to other inquiries regarding a CSA Standard, or any clause thereof, may be provided by CSA staff. However, these responses shall not be considered as official technical interpretations. Copies of written responses that relate to the technical requirements of a CSA Standard shall be sent to the chair of the appropriate TC. 11.2 Submitting requests for interpretation All requests for interpretation shall be submitted in writing to the PM for formal action. 11.3 Responsibility The interpretation of a CSA Standard or any clause thereof, is the responsibility of the TC. Individual committee members, including the chair, shall not provide official interpretations of CSA Standards. 11.4 Preparing a proposed interpretation 11.4.1 All requests for interpretation should, as a minimum, a) define the problem, making reference to a specific clause; b) provide an explanation of the circumstances surrounding the actual field situation; and c) be phrased i) preferably as a question, to permit a specific yes or no answer; or, ii) alternatively, as a statement, to permit an agree or disagree answer. 11.4.2 The PM should review the request in consultation with the TC chair to determine that it is a) truly a matter for interpretation and not new business; and b) clearly worded. 11.4.3 Provided the request satisfies Clause 11.4.2, the PM shall refer the request to the TC for its consideration and response. 11.4.4 An interpretation may address either the literal text or the intent of the text of a CSA Standard as follows: a) an interpretation of the literal text is an explanation, using different words or expanding on the original wording, without changing the intent of the text. This may be determined from committee records or by invoking the collective memory, and achieving agreement as to that memory, of those providing the interpretation. b) an interpretation of the intent of the text is applicable in cases where the wording of a particular clause precludes something not contemplated at the time of writing the CSA Standard. Committee April 2015 2015 CSA Group 18
records, discussions, notes, and the collective memory of those who were present at the time the CSA Standard was drafted should be used to interpret intent, and to confirm that it was truly the intent of the consensus at the time of writing. If there is any doubt about the intent, the literal interpretation should be used until the CSA Standard can be reviewed. 11.4.5 When the interpretation applies to a Standard that has been referenced in legislation and is used for regulatory purposes, the interpretation should be of the literal text and not of the intent. If there appears to be a difference between the literal text and the intent, a revision to the CSA standard should be considered as soon as possible. 11.5 Approval of an interpretation 11.5.1 Proposed interpretations shall be approved by the TC. 11.5.2 The results of the voting shall be assessed as follows: a) if the yes/i agree votes meet the numerical requirements for approval in Clause 2.7.2, the proposed interpretation is accepted. b) if the no/i disagree votes meet the numerical requirements for approval in Clause 2.7.2, the proposed interpretation is rejected. c) if the votes support neither acceptance nor rejection, no decision is possible. The PM shall consult the TC chair on action to be taken to answer the original request. Note: As examples of action that may be taken, the interpretation may be reworded or the clause in the CSA Standard amended. All minority votes shall be addressed. Any unresolved minority votes shall be considered by the TC and dealt with in a manner consistent with the principles for handling negative votes. 11.5.3 Care shall be taken that the interpretation does not conflict with the current text. 11.6 Publication of an interpretation Following a decision, the PM shall provide the interpretation to the requester, the TC, and where applicable to the appropriate advisory council. The PM shall arrange for the publication of the interpretation on the CSA web site. 12 Metric Policy The first stated measurement within the standard is the recommended unit of measure however the International System of Units (SI) is the preferred unit of measurement. IEEE/ASTM SI-10 is used as a guide in making metric conversion from yard/pound quantities. April 2015 2015 CSA Group 19
Annex A (Normative) Definitions of membership categories for a TC Supplier this category includes those who are predominantly involved in providing raw materials, and/or the distribution of the subject area goods and/or services. Producer this category shall include those who are predominantly involved in production of the subject area goods and component parts used on or with the subject area goods. User or Consumer this category shall include those who are not involved in any way in the production and/or distribution of the subject area goods and/or services, and who are predominantly representing consumer interests or end users of the subject area. General Interest this category shall include those who have an interest in the Committee s subject area but who are not included in any of the other defined categories. This category may include equipment installers, service contractors, and subject experts. Regulatory/Code Authority this category includes those who are involved in the enforcement of codes and laws regulating the use and installation of the subject area goods and/or services. Research or Testing this category includes organizations that are independent of the other categories, and provide either technical research in the subject area(s) covered by the standards, or the testing of the subject area goods and/or services. Government Agency this category includes Federal, state or municipal agencies of the government having a direct or material interest in the scope of the work of the standards program. April 2015 2015 CSA Group 20