ASC OP Procedures for the
Development and Coordination of
American National Optical
Standards
January 21, 2007
ASC OP Procedures for the Development and Coordination of American
National Optical Standards
Contents
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ASC OP Procedures for the Development and Coordination of American
National Optical Standards
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ASC OP Procedures for the Development and Coordination of American
National Optical Standards
ASC OP Procedures
1. General
ASC OP has adopted these procedures for an accredited standards committee to meet the
requirements for due process and development of consensus for approval of American National
Standards.
2. Organization of the committee
The committee shall consist of its members and secretariat. It shall have a title, scope, and an
interest classification system for its members. The membership shall be sufficiently diverse to
ensure reasonable balance without dominance by a single interest category.
3. Responsibilities
3.1 Committee membership
The committee members shall be responsible for:
a) developing proposed American National Standards within the scope of the committee;
b) voting on approval of proposed American National Standards within its scope;
c) maintaining the standards developed by the committee so that the standards are be kept
current and relevant by means of timely revision or reaffirmation;
d) adopting committee policy and procedures for interpretations of the standard(s) developed
e) responding to requests for interpretations of the standard(s) developed by the committee
f) adopting committee procedures and revisions thereof;
g) considering and acting on proposals for termination of the committee (see clause11);
h) other matters requiring committee action as provided in these procedures.
3.2 Secretariat
The secretariat shall:
a) organize the committee (see clause 2);
b) apply for committee accreditation by ANSI and maintain accreditation in accordance with
ANSI requirements, including submission of the committee roster;
c) oversee the committee's compliance with these procedures;
d) maintain a roster of the committee and a list of standards for which the committee is
responsible;
e) provide a committee secretary to perform administrative work, including secretarial
services; 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 committee, with supporting documentation,
for ANSI review and approval as American National Standards;
g) publish its standards, revisions, and addenda;
h) perform other administrative functions as required by these procedures;
i)
provide a written agreement defining explicit division of these responsibilities if composed
of more than one organization (i.e., co-secretariat).
4. Officers
There shall be a chair and a vice-chair appointed by the secretariat from the individual members
or representatives of the committee, subject to approval by majority vote of the committee. Each
will serve until a successor is selected and ready to serve. The vice-chair shall carry out the
chair's duties if the chair is temporarily unable to do so. The secretary shall be appointed by the
secretariat.
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ASC OP Procedures for the Development and Coordination of American
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5. Membership
Members of the committee shall consist of organizations (preferably national in scope),
companies, government agencies, individuals, etc., having a direct and material interest in the
activities of the committee. The addition or termination of members shall be subject to approval
by vote of the committee after the application has been processed in accordance with 5.1 or the
membership reviewed in accordance with 5.2. There is a participation fee for committee
membership (clause 5.5).
5.1 Application
A request for membership shall be addressed to the secretariat (preferably by filling out the
membership form on the OEOSC web site), shall indicate the applicant's direct and material
interest in the committee's work and qualifications and willingness to participate actively, and, if
the applicant is an organization, company, or government agency, shall identify a representative
(and an alternate, if desired).
5.1.1 Recommendation
In recommending appropriate action to the committee on applications for membership, the
secretariat shall consider the:
a) need for active participation by each interest;
b) potential for dominance by a single interest category;
c) extent of interest expressed by the applicant and the applicant's willingness to participate
actively;
d) representative identified by the applicant organization, company, or government agency.
The secretariat may consider reasonable limits on committee size.
5.1.2 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 committee, each may apply for
membership.
5.1.3 Combined interest
When appropriate, the secretariat may recommend that the applicant seek representation through
an organization that is already a member and represents the same or similar interest.
5.2 Review of membership
The secretariat shall review the membership list annually with respect to the criteria of clause 5.
Members are expected to fulfill obligations of active participation. Where a member is found in
habitual default of these obligations, the secretariat shall direct the matter to the committee for
appropriate action, which may include termination of membership.
5.3 Observers and individual experts
Individuals and organizations, having an interest in the committee's work may request listing as
observers. The committee may also select individual experts to assist it. Individual experts shall
serve for a renewable term of one year and shall be subject to approval by vote of the committee
upon recommendation by the chair and the secretariat. Observers and individual experts shall be
advised of the committee activities, may attend meetings, and may submit comments for
consideration, but shall have no vote.
5.4 Interest categories
All appropriate interests that might be directly and materially affected by the standards activity of
the committee shall have the opportunity for fair and equitable participation without dominance by
any single interest. Each member shall propose its own interest category as appropriate and in
accordance with the committee's established categories. The current interest categories are
·
Producer one who produces optical components or systems for sale,
·
Industrial User one who purchases optical components to be integrated into a product for
sale, or uses optical systems in the manufacturing process,
·
General Interest one who has an academic or personal interest in optics.
The interest categories may be revised by a vote of the committee upon recommendation by the
secretariat.
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ASC OP Procedures for the Development and Coordination of American
National Optical Standards
The secretariat shall maintain a current and accurate committee roster on the OEOSC web site.
Anyone who does not have Internet access may request a copy of the roster from the OEOSC
Executive Director
The roster shall include the following:
a) Title of the committee and its designation;
b) Scope of the committee;
c) Secretariat: Name of organization, name of secretary, and address(es);
d) Officers: Chair and vice-chair;
e) Members: Name of organization or agency, its representative and alternate (as
applicable), addresses, and business affiliations; or name, address, and business
affiliation of individual member(s);
f)
Classification of each member;
g) Tally of classifications: Total of voting members and subtotals for each interest category;
h) For each task force: Title, chair, and names and addresses of all members.
5.5 Membership Fee
The secretariat charges an annual fee to help finance the cost of administering the committee.
The fee schedule may be found on the OEOSC web site and on the participation fee invoice. If
the annual fee presents an undue financial hardship to the potential member, the applicant may
petition the OEOSC Board of Directors for relief. The applicant will be asked to document the
reason for the hardship.
6. Task forces created by the committee
When one or more task forces composed of members of the committee are formed to expedite
the work of the committee, their formation (and later disbandment) requires consensus of the
committee. When the task force reaches consensus that the draft standard is ready for balloting,
it will report to the committee so that a ballot can be submitted to the members of the committee
for approval of the draft as an American National Standard. Establishment of the task force and
the roster of the task force will be reported on the OEOSC web site. The task force members will
be listed in the foreword of the standard.
6.1 Chairperson and members of task forces
The chair and members of a task force shall be appointed by the chair of the committee and
confirmed by the committee. The committee shall review the scope, duties, and membership of all
task forces annually.
6.2 Approval of standards
Draft standards and any substantive change in the content of a standard proposed by a task force
shall be referred to the committee for approval.
7. Meetings
Committee meetings shall be held, as decided upon by the committee, the chair, the secretariat,
or by petition of five or more members, to conduct business, such as making assignments,
receiving reports of work, considering draft standards, resolving differences among task forces,
and considering views and objections from any source. Meetings of task forces may be held as
decided upon by the members or chair of the task force.
7.1 Open meetings
Meetings of the committee and its task forces shall be open to all members and others having a
direct and material interest. At least four-weeks notice of regularly scheduled meetings shall be
given by the secretariat in ANSI's Standards Action; and on the OEOSC web site. 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 posted on the web site in advance of the
meeting. The secretariat may optionally maintain a permanent e-mailing list of other interests.
7.2 Quorum
A majority of the members of the committee or task force shall constitute a quorum for conducting
business at a meeting. If a quorum is not present, actions may be taken subject to confirmation
by letter ballot.
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ASC OP Procedures for the Development and Coordination of American
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8. Voting
8.1 Vote
Each member of the committee or task force shall vote one of the following positions:
a) Affirmative;
b) Affirmative, with comment;
c) Negative, with reasons (the reasons for a negative vote shall be given and if possible
should include specific wording or actions that would resolve the objection);
d) Abstain, with reasons.
8.1.1 Votes Concerning Membership
For votes on membership and officer-related issues, the affirmative/negative/abstain method of
voting shall be followed. Votes with regard to these issues need not be accompanied by reasons
and need not be resolved or circulated to the consensus body.
8.1.2 Vote of alternate
An alternate's vote is counted only if the principal representative fails to vote.
8.1.3 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
secretariat that they are aware of and will accept the results. Additionally, representation of more
than one organization by the same individual shall require approval by a majority of the
committee, excluding the vote of that individual.
8.1.4 Voting opportunity
If a vote on an American-National-Standard-related action is taken at a meeting, all members of
the committee will be given the opportunity to vote, even if they cannot attend a meeting.
8.1.5 Voting period
The voting period for letter ballots shall end thirty days from the date of issue or as soon as all
ballots are returned, whichever comes earlier. An extension may be granted at the chair's option,
when warranted. A follow-up notice requesting immediate return of the ballot shall be sent, as
appropriate, to members and alternate members whose votes have not been received within ten
working days before the ballot closes.
8.2 Actions requiring approval by a majority
The following actions require approval by a majority of the membership of the committee either at
a meeting or by letter ballot:
a) confirmation of officers appointed by the secretariat;
b) formation of a task force, including its procedures, scope, and duties;
c) disbandment of task forces;
d) addition of new committee members and designation of their interest categories;
e) approval of a new standard or reaffirmation of an existing one;
f) approval of revision or addendum to part or all of a standard;
g) approval of withdrawal of an existing standard.
The following actions, by committee vote at a meeting, require approval by a majority of the
members present:
a) approval of minutes;
b) authorization of a letter ballot.
8.3 Actions requiring approval by two-thirds of those voting
The following actions require a letter ballot or an equivalent formal recorded vote with approval by
at least a majority of the membership and at least two-thirds of those voting, excluding
abstentions:
a) adoption of committee procedures, interest categories, or revisions thereof;
b) approval of change of committee scope;
c) approval of termination of the committee.
8.4 Authorization of letter ballots
A letter ballot may be authorized by any of the following:
a) majority vote of those present at a committee meeting;
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ASC OP Procedures for the Development and Coordination of American
National Optical Standards
b) the chair;
c) the executive committee (if one exists);
d) the secretariat;
e) petition of five or more members of the committee.
8.5 Other review
Proposals for new American National Standards or reaffirmation, revision, or withdrawal of
existing American National Standards shall be transmitted to ANSI for listing in Standards Action
for comment.
The secretariat shall determine whether listing of proposed standards actions shall be concurrent
with the final committee letter ballot and whether announcement in other suitable media is
appropriate. The secretariat shall transmit a copy of the proposed new, revised, or reaffirmed
standard to the administrator(s) of the appropriate USA Technical Advisory Group(s) at the same
time.
Views and objections resulting from the above shall be dealt with in accordance with 8.6. Any
substantive change made in the proposed American National Standard shall be relisted in
accordance with 8.6.
8.6 Disposition of views and objections
When the balloting has been closed, the secretary shall forward the ballot tally to the chair of the
committee or, if appropriate, of the task force; the chair shall determine whether the expressed
views and objections shall be considered by correspondence or at a meeting.
Prompt consideration shall be given to the expressed views and objections of all participants,
including those commenting on the listing in Standards Action. An effort to resolve all expressed
objections shall be made, and each objector shall be advised of the disposition of the objection
and the reasons therefore. In addition, each objector shall be informed in writing that an appeals
process exists within procedures used by the standards developer.
Substantive changes required to resolve objections, and unresolved objections, shall be reported
in written form to the committee members in order to afford all members an opportunity to
respond to them or to reaffirm or change their votes within four weeks.
When the above process is completed, in accordance with procedures of the standards
developers, the standards developer may consider any comments received subsequent to the
closing of the public review and comment period, or shall consider them at the next review.
8.7 Report of final result
The final result of the voting shall be reported, by interest categories, to the committee.
9. Submittal of standard
9.1 Submission process
Upon completion of the procedures for voting, disposition of views and objections, and appeals,
the proposed standard shall be submitted to ANSI by the secretariat. If the secretariat does not
submit the proposal to ANSI within a reasonable period of time, any member(s) of the committee
may make the submittal.
9.2 Information submitted
The information supplied to ANSI shall include:
a) title and designation of the proposed American National Standard;
b) indication of the type of action requested (that is, approval of a new American National
Standard or reaffirmation, revision, or withdrawal of an existing one);
c) a declaration that the applicable procedures were followed;
d) a declaration that the proposed standard is within the scope of the previously registered
standards activity ;
e) a declaration that there are no significant conflicts with another American National
Standard have been identified or that any identified significant conflict was addressed in
accordance with these procedures ;
f) a declaration that all appeal actions related to approval of the proposed standard have
been completed;
g) a declaration that the criteria contained in the ANSI patent policy have been met, if
applicable; and
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ASC OP Procedures for the Development and Coordination of American
National Optical Standards
h) identification of all unresolved negative views and objections, names of the objector(s),
and a report of attempts toward resolution;
i) a roster of the consensus body that indicates: the vote of each member including
abstentions and unreturned ballots, if applicable; the interest category of each member;
and a summary thereof.
10. Discontinuance of a standards project
ANSI/OEOSC OP may discontinue a standards project by vote of the majority of the committee.
Notice of the discontinuance shall be reported on the OEOSC web site and through Standards
Action.
A written justification for the discontinuance of a standards project shall be made available upon
receipt of any written request received by ANSI/OEOSC OP within 60 days of the date of the final
action. Appeals of such actions shall be made to the ANSI Executive Standards Council based
on procedural noncompliance.
11. Termination of committee
A proposal to terminate an Accredited Standards Committee may be made by a directly and
materially affected interest. The proposal shall be submitted in writing to the secretariat and to
ANSI and shall include at least the following:
a) reasons why the committee should be terminated;
b) the name(s) of the organization(s) that will assume responsibility for maintenance of any
existing American National Standard(s) that are the responsibility of the committee.
If it appears, after review by ANSI and discussion among the proponent of the action, the
secretariat, and the ExSC or its designee, that the desired objectives can best be reached by
termination, the proposal and supporting documentation shall be submitted to the committee with
a letter ballot to terminate the committee and transfer responsibility, as appropriate, for the
affected standards. Concurrently, the proposal shall be announced for comment in Standards
Action.
12. Communications
Correspondence of committee officers may be in electronic form if it clearly identifies the
credentials of the author.
12.1 Formal internal communication
If correspondence between subcommittees or between working groups of different
subcommittees involves issues or decisions (i.e., nonroutine matters) affecting other
subcommittees, copies shall be sent to all affected subcommittee chairs, the secretariat, and the
committee officers.
12.2 External communication
Inquiries relating to the committee should be directed in written form, either electronic or on
paper, to the secretariat, and members should so inform individuals who raise such questions.
All replies to inquiries shall be made in written form through the secretariat.
12.3 Requests for interpretation of standards
Written inquiries requesting interpretation of the committee's approved American National
Standards shall be responded to in accordance with the policy of the committee (see 16).
Revisions to the standard resulting from requests for interpretations shall be processed in
accordance with these procedures.
13. Appeals
Persons who have directly and materially affected interests and who have been or will be
adversely affected by a standard within the committee's jurisdiction, or by the lack thereof, shall
have the right to appeal substantive or procedural actions or inactions of the committee or the
secretariat.
13.1 Complaint
The appellant shall file a written complaint with the secretariat within thirty days after the date of
notification of action or at any time with respect to inaction. The complaint shall state the nature
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ASC OP Procedures for the Development and Coordination of American
National Optical Standards
of the objection(s) including any adverse effects, the clause(s) of these 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.
13.2 Response
Within thirty days after receipt of the complaint, the respondent (chair or secretariat
representative) shall respond in writing to the appellant, specifically addressing each allegation of
fact in the complaint to the extent of the respondent's knowledge.
13.3 Hearing
If the appellant and the respondent are unable to resolve the written complaint informally in a
manner consistent with these procedures, the secretariat shall schedule a hearing with an
appeals panel on a date agreeable to all participants, giving at least ten working days notice.
13.4 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.
13.5 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 committee and the secretariat took all actions in compliance with these
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. Robert's Rules of Order (latest edition) shall apply to questions of
parliamentary procedure for the hearing not covered herein.
13.6 Decision
The appeals panel shall render its decision in writing within thirty days, stating findings of fact and
conclusions, with reasons therefor, 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 committee or the secretariat 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 committee or the secretariat for appropriate reconsideration.
13.7 Further appeal
If the appellant gives notice that further appeal to ANSI is intended, a full record of the complaint,
response, hearing, and decision shall be submitted by the secretariat to ANSI.
14. 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.
15. Record Retention
Records shall be prepared and maintained to provide evidence of compliance with ANSI
procedures as outlined in ANSI Essential Requirements.--Records concerning new, revised or
reaffirmed American National Standards shall be retained for one complete standards cycle, or
until the standard is revised.--Records concerning withdrawn standards shall be retained for at
least five years from the date of withdrawal.
16. Interpretation of American National Standards
Official interpretations of American National Standards that are maintained by ASC OP will be the
responsibility of ASC OP. All questions relating to the interpretation of a particular standard
should be directed in writing to the Executive Director of the Optics and Electro-Optics Standards
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ASC OP Procedures for the Development and Coordination of American
National Optical Standards
Council. The question will then be relayed to the ASC OP Committee Chairperson for
processing. The Chairperson will provide the interpretation with the assistance of others on the
relevant task force who originally developed the standard. The response will be made directly to
the requester within thirty days from the time that the Chairperson receives the request. A copy
of the response will be submitted to the OEOSC Executive Director for record retention.
17. Withdrawal of an American National Standard
An American National Standard shall be withdrawn five years following approval, if the standard
has not been revised or reaffirmed, unless an extension has been granted by the ANSI Executive
Standards Council or its designee. An American National Standard that has not been reaffirmed
or revised within the five-year period, and that has been recommended for withdrawal by the
ANSI Executive Standards Council or its designee, shall be withdrawn at the close of a 30-day
public review notice in Standards Action. American National Standards that have not been
revised or reaffirmed within ten years from the date of their approval as American National
Standards shall be withdrawn and such action shall be announced in Standards Action.
18. Metric Policy
Units of the International System of Units (SI), the modernized metric system, are the preferred
units of measurement in American National Standards developed and maintained by ASC OP.
19. Patent Policy
ASC OP subscribes to the ANSI patent policy as listed in the ANSI Essential Requirements:
Due process requirements for American National Standards.
20. Commercial terms and Conditions Policy
ASC OP subscribes to the ANSI Commercial terms and conditions policy as listed in the ANSI
Essential Requirements: Due process requirements for American National Standards.
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