Procedures for ASME Performance Test Code Committees Operating Under the Redesigned Process May 2001 3 Park Avenue New York NY 10016 USA PTC Committee Procedures May 2001 2 PROCEDURES FOR ASME PERFORMANCE TEST CODE COMMITTEES OPERATING UNDER THE REDESIGNED PROCESS (MAY 2001) TABLE OF CONTENTS 1 CHARTER 1.1 Performance Test Code Committees Charter 1.2 ANSI Submittal 1.3 Purpose 1.4 PTC Documents 2 ORGANIZATION 2.1 PTC Organization 2.2 Subordinate Groups 2.2.1 Role and Status of Subordinate Groups 2.2.2 Establishment of Subordinate Groups 2.3 Project Teams 2.4 Selection of Project Team Members 2.5 Liaison Board Members 2.6 Board Oversight Responsibilities 2.7 Council Responsibilities 3 MEMBERSHIP OF THE PTC COMMITTEE 3.1 Members 3.1.1 Member Description 3.1.2 Alternates 3.1.3 Addition, Subtraction 3.1.4 Duties 3.2 Classification of Members 3.3 Change in Classification 3.4 Support 4 PTC COMMITTEE OFFICERS AND THEIR DUTIES 4.1 Committee Officers 4.2 Chair and Vice Chair 4.2.1 Terms 4.2.2 ASME Membership 4.2.3 Selection 4.2.4 Confirmation 4.2.5 Interim Officers 4.3 Secretary 4.4 Duties of Officers 4.4.1 Executive Duties 4.4.1.1 Membership Review 4.4.1.2 Balance Maintenance 4.4.1.3 Reporting 4.4.1.4 Guidance PTC Committee Procedures May 2001 3 4.4.2 Vice Chair Duties 4.4.3 Officer Resignation 4.4.4 Secretary Duties 4.4.4.1 Actions in the Absence of Other Officers 4.4.4.2 Specific Secretarial Duties 4.4.4.3 Processing 4.4.5 Removal of Officer(s) 5 DUTIES OF THE PTC COMMITTEE 5.1 Standards 5.1.1 Develop Standards 5.1.2 Maintain Standards 5.1.3 Achieve Consensus 5.1.4 Minimize Duplication 5.1.5 Conflicting Standards 5.1.6 PTC Interpretations 5.1.7 Report Status 5.1.8 Consideration of Comments 5.1.9 Due Process 5.1.10 Oversee the Assignment of Project Teams 5.2 Meetings 5.2.1 Types of Meetings 5.2.2 Open Meetings 5.2.3 Quorum 5.3 Members 5.3.1 Recommendation of Potential Members 5.3.2 Approve Subordinate Group Membership 6 PTC COMMITTEE ACTIONS 6.1 Voting Obligations 6.2 Approval of Standards Actions 6.2.1 Authorization of Recorded Votes 6.2.2 Voting Procedures 6.2.3 Reaffirmation 6.2.4 Inquiries 6.3 Document Review and Approval 6.3.1 Authorization of Recorded Votes 6.3.2 Voting Procedure 6.4 Approval of Personnel and Administrative Items 6.5 Confidentiality 7 PUBLIC REVIEW 7.1 Announcement 7.2 Distribution 7.3 Public Hearings 7.4 Resolution of Comments 8 APPROVAL 8.1 Board Approval 8.2 American National Standards Institute PTC Committee Procedures May 2001 4 8.2.1 ANSI Criteria 8.2.2 Information Submittal 9 APPEALS 9.1 Activities Subject to Appeal 9.2 Sequence 9.2.1 Committee 9.2.2 Board 9.2.3 Council 9.3 Procedure 9.3.1 Notification Requirements 9.3.2 Objection Following Public Review Announcement 9.3.3 Arranging a Hearing 9.3.4 Notification of a Hearing 9.3.5 Actions 9.4 Subsequent Appeals Action (PTC Board) 9.5 Subsequent Appeals Action (Board on Hearings & Appeals) 9.6 Appealing Directly to a Board 9.7 Availability of Procedures 10 ROBERT’S RULES OF ORDER, REVISED 11 RECORDS 12 AMENDMENTS PTC Committee Procedures May 2001 5 PROCEDURES FOR ASME PERFORMANCE TEST CODE TECHN ICAL COMMITTEES (May 2001) 1 CHARTER 1.1 Performance Test Code Committee Charter. The charter of a codes or standards development committee, hereafter called Performance Test Code (PTC) Committee, of the American Society of Mechanical Engineers (ASME International) shall be the development of codes or standards within a specified project charter which is considered to be in the interest of mechanical engineering. ASME Performance Test Codes are applicable to the determination of performance of specific mechanical equipment, which is designed to meet specified criteria for performance and operability. The codes provide requirements for instrumentation, test procedure, test environment, and interpretation of test results. They provide a basis for evaluation of performance compared to the specifications for equipment acceptance tests or qualification criteria to demonstrate operability. Codes may also address the measurement of parameters such as emissions, governor response, flow etc. 1.2 ANSI Submittal. Except when otherwise recommended by the PTC Committee and approved by the Board, the codes and standards developed by PTC Committees are intended to be submitted to the American National Standards Institute to become American National Standards. 1.3 Purpose. ASME Performance Test Codes provide uniform rules and procedures for the conduct and report of tests of mechanical equipment, process or system to determine its capability to meet performance criteria or to measure phenomena related to its operation or use. The basic philosophy of Performance Test Codes is given in Section 1 of PTC 1 on General Instructions. Independent of the object of the test, accuracy and reliability must underlie the work from beginning to end. This emphasis on accuracy and reliability refers to the methods of measurement and to the instruments required to establish the conditions and quantities under which the test is to be done. Each PTC Technical Committee must ascertain the level of accuracy appropriate for the equipment involved. The Performance Test Codes provide validity to the comparisons between expected and actual performance. The Codes provide both the information to determine measurement uncertainty and an expected value for tests conducted in accordance with the Code. 1.4 PTC Documents. For the purpose of these Procedures, “PTC Documents” collectively refers to Test Codes, Supplements, Reports and Guidelines, unless specified otherwise. PTC Documents entitled “Reports” may be prepared which define alternative testing procedures and instrumentation for tests of lesser accuracy. PTC Documents entitled “Guidelines” may be developed for tests of good relative accuracy for use in determining significant performance trends to aid in the performance of maintenance during the service lifetime of the equipment. PTC Documents entitled “Supplements on Instruments and Apparatus” (PTC 19 Series) describe the use, calibration, accuracy and limitations of measuring devices likely to be required by the Test Codes. The PTC 19 Series also includes documents which provide guidance on the application of specialized techniques which may be common to several Test Codes, such as test uncertainty, model testing and use of digital systems. The Supplements are not mandatory but contain reference information, which may be cited selectively by individual Test Codes to avoid PTC Committee Procedures May 2001 6 duplication. Any provision of these Supplements so referenced in individual Test Codes is binding on the parties to a test in the same manner and to the same extent as the Test Code itself. 2 ORGANIZATION 2.1 PTC Organization. A PTC Committee is the consensus group responsible to the Board on Performance Test Codes, here after referred to as “the Board,” as assigned by the ASME Council on Codes and Standards. The Board shall ensure that all PTC Committees under its jurisdiction are operating within their approved charter and these procedures. The purpose of the PTC Committees is to develop and/or revise PTC Documents for specific equipment; formulate general instructions, definitions, or information on instrumentation and methods of measurement, or for the measurement of parameters; and respond to Technical Inquiries. 2.2 Subordinate Groups. A PTC Committee may establish at its discretion subordinate groups to assist it in the discharge of its duties. The subcommittees may take the form of an ad hoc committee or a project team. 2.2.1 Role and Status of Subordinate Groups. If a subcommittee is established, its function shall be only of an advisory nature to the PTC Committee. 2.2.2 Establishment of Subordinate Groups. When subordinate groups are required, they shall be established by a majority vote of the Committee. When such groups engage in drafting proposed standards or parts of standards, individuals having substantial knowledge of the subject of the proposed standard shall be included. Individual subordinate group members need not be Members of the Committee. Although subordinate groups do not ordinarily constitute a consensus-making group, an attempt shall be made to include representatives from the various interests; however; balance - while desirable - is not required. 2.3 Project Teams. Each standards action (a proposed new standard, a proposed revision to an existing standard, proposal to reaffirm an existing standard, respond to technical inquiries, or proposal to withdraw an existing standard) shall have an assigned Project Team to manage and prepare proposals for PTC Committee approval. A project team shall consist of a Project Administrative Manager (normally an ASME Staff member), a Project Technical Manager (normally a technically knowledgeable Committee Member) and, as necessary, additional PTC Committee and subordinate group members. Other technically knowledgeable members of the public, including those responsible for requesting the action, may be included. Project Teams may be assigned one or more standards actions. 2.4 Selection of Project Team Members. The selection process for Project Team members shall be approved by the PTC Committee and controlled by the Committee officers. 2.5 Liaison Board Members. A member or members of the Board shall be appointed as liaison to the PTC Committee by the Vice President, Performance Test Codes, who chairs the Board. The initial duties of the Liaison Board Members are to seek out candidates for membership on the Committee, act as Temporary Chair of the Committee, schedule meetings of the Committee for the purpose of organizing the effort, instruct the Committee on proper procedural processes and on the requirements of PTC 1, General Instructions and PTC 2, Definitions and Values, provide guidance to the Board on changes in personnel and balance within the Committee and generally assure that the Committee is functioning in the manner expected by the Board until permanent officers are elected. After that point in time, the Liaison Board Members will act as mentors to the Committee Members, be a conduit facilitating PTC Committee Procedures May 2001 7 information exchange with the Board, and generally act as consultants to the Committee. Liaisons appointed after the formation of a PTC Committee are subject to approval by the Committee. 2.6 Board Oversight Responsibilities. When deemed necessary to preserve the integrity of the standards development process and/or to protect the interests of ASME, the Board may take administrative action necessary to fulfill its oversight obligations. Actions may include membership actions resulting from an appeal decision and delay or suspension of a PTC Committee action, including revisions to standards. Such actions are subject to due process provisions established by the Council on Codes and Standards. 2.7 Council Responsibilities. The Council on Codes and Standards, under the direction of the Board of Governors, shall have supervision of the codes and standards activities of the Society. Such supervision includes, upon recommendation of the Board with applicable jurisdiction: (a) approval of, and revision to, the charter of a PTC Committee; (b) withdrawal of a standard developed by a PTC Committee; and (c) disbandment of a PTC Committee. If action is taken to withdraw a standard that is also an American National Standard, ANSI shall be so notified. 3 MEMBERSHIP OF THE PTC COMMITTEE 3.1 Members. The membership of PTC Committee shall consist of no more than 30 individual Members. 3.1.1 Member Description. Members are technically qualified individuals with a concern, willingness, and financial support to participate in work within the charter of the PTC Committee. It is preferred that a candidate has an engineering or related science degree and a minimum of five years of relevant experience. Members are elected by an already existing balanced Committee for a five year term, subject to approval by the Board. Selection shall include consideration of the business interest of the employer, if any, who supports the Member’s committee participation, as well as the type of experience or expertise the individual brings to the Committee, to maintain a proper balance (see Article 3.2). In their committee activities these members participate, including voting, as individuals rather than as representatives of their employer or of any other organization. Members may be reappointed under the same consideration as initially plus consideration of their participation and contribution since becoming Members. The Liaison Board Member(s) and/or the Chair of a new or reorganized PTC Technical Committee shall prepare a list of knowledgeable candidates for membership on the PTC Technical Committee, subject to approval by the Board. A completed ASME Codes & Standards Personnel Form (PF-1) and a resume or brief biography is needed to communicate the candidate’s qualifications in all cases. PE registration is desirable but not a requirement for membership. 3.1.2 Alternates. Representation of an absent member may be by an Alternate from the same interest classification as the Member represented (see Article 3.2). An Alternate is a person selected by a member of the Committee to attend the meetings and act for him/her during an absence. Such selections, if intended to serve for two or more consecutive PTC Committee Procedures May 2001 8 meetings or, if intended to vote in place of the Member on standards actions, shall be subject to acceptance by the Committee and approval of the Board. An Alternate has all the privileges and responsibilities of a Member, which automatically terminate on the Member’s return, at the conclusion of the Member’s term of appointment, or at the request of the Committee Chair. 3.1.3 Addition, Subtraction. The PTC Committee may, at its discretion and with the approval of the Board, add to or subtract from the list of Committee Members. 3.1.4 Duties. The duty of each Member is to give thorough consideration to each subject brought before the PTC Committee for action, to vote on approval or disapproval of each proposal, to contribute his/her expertise in the preparation of standards, to advise on personnel for membership on the Committee and subordinate groups and to assist generally in carrying out the functions of the Committee. Such duties may be carried out by participation in meetings, by correspondence, and by telephone, teleconference, or other electronic means. 3.2 Classification of Members. In order to establish balanced representation for developing evidence of consensus on standards, Members of PTC Committees shall be classified in accordance with the business interests of their primary source of support for committee participation. No Alternate shall be counted in determining the balance of the Committee. The classification system and the classifications assigned to Members shall require the approval of the Board. The Member selects an interest class which stands unless challenged. The Appeal Process described in Section 9 shall be used to resolve the challenge. Members do not represent regions. For the purpose of determining balance, these Procedures require PTC Members to be classified as follows: (a) Producer or Manufacturer Interest – Those directly concerned with the production of the equipment for which the PTC Document is written. (b) User Interest – Those who use the equipment for which the PTC Document is written, but are not involved with its production. (c) General Interest – Those employed by government, academia, consulting firms, the public at large, etc. who have interest in the equipment for which the PTC Document is written. To ensure balance, no single category shall have a majority except with the recorded approval of the other classifications and the approval of the Board. 3.3 Change in Classification. When the professional status of a Member changes because of a change in employment, retirement, etc, balance shall be reconsidered in accordance with the definitions of Article 3.2. If a change in balance results, leading to an absolute majority for the Member’s new classification, the Member’s term of appointment will terminate at the time the change in classification becomes effective. In case of retirement, if the Member remains unemployed, the prior classification shall remain unchanged. 3.4 Support. PTC Committee Member must have support available from their employers or alternatively provide their own resources to participate. Members cannot expect financial support from ASME. PTC Committee Procedures May 2001 9 4 PTC COMMITTEE OFFICERS AND THEIR DUTIES 4.1 Committee Officers. The officers of the PTC Committee shall be as follows: (a) Chair (b) One or more Vice Chair (c) Secretary 4.2 Chair and Vice Chair. 4.2.1 Terms. Each term of office of the Chair and Vice Chair shall be three years. The number of terms is not limited. 4.2.2 ASME Membership. The Chair and Vice Chair(s) shall be ASME Members. This requirement may be waived by the Board under special circumstances. 4.2.3 Selection. The Chair and Vice Chair shall be selected from the membership of the existing Committee by the weighted vote method (3,2,1). If willing to serve, the one with the highest total shall be the Chair; the one with the second-highest total shall be Vice Chair. 4.2.4 Confirmation. The Chair and Vice Chair elected by the Committee shall be subject to confirmation of the Board. 4.2.5 Interim Officers. The Board may appoint the interim, temporary Chair and Vice Chair for new or reorganized PTC Committees to serve until the Committee can elect its own officers. 4.3 Secretary. The Secretary is a Member of the Committee without vote, designated from the Codes and Standards Directorate by the Director, Performance Test Codes. 4.4 Duties of Officers. 4.4.1 Executive Duties. The Chair shall be the executive officer of the Committee, preside at meetings, and perform duties customarily associated with such office. 4.4.1.1 Membership Review. The Chair shall review the performance of Committee Members at least once each year. The results of this review shall be summarized in a written report to the Board. 4.4.1.2 Balance Maintenance. The Chair shall maintain balance in the membership of the Committee. 4.4.1.3 Reporting. The Chair shall submit a written report semi-annually to the Board summarizing the Committee’s activities, challenges, and schedule including membership information. 4.4.1.4 Guidance. The Chair shall guide the Committee in its activities consistent with the purpose and philosophy of Performance Test Codes, the Board, and PTC 1. 4.4.2 Vice Chair Duties. The Vice Chair, in the absence of the Chair, shall fulfill the duties of the Chair’s office and shall perform other duties as may be assigned by the Chair. . Availability of Procedures 10 ROBERT’S RULES OF ORDER, REVISED 11 RECORDS 12 AMENDMENTS PTC Committee Procedures May 20 01 5 PROCEDURES FOR ASME PERFORMANCE TEST CODE TECHN ICAL COMMITTEES. 10 016 USA PTC Committee Procedures May 20 01 2 PROCEDURES FOR ASME PERFORMANCE TEST CODE COMMITTEES OPERATING UNDER THE REDESIGNED PROCESS (MAY 20 01) TABLE OF CONTENTS 1. COMMITTEES (May 20 01) 1 CHARTER 1. 1 Performance Test Code Committee Charter. The charter of a codes or standards development committee, hereafter called Performance Test Code (PTC) Committee,