ASME C&S Training Module B7

MODULE B - PROCESS

SUBMODULESB1. Organizational StructureB2. Standards Development: Roles and ResponsibilitiesB3. Conformity Assessment: Roles and ResponsibilitiesB4. Initiating Standards ProjectsB5. Consensus Process for Standards DevelopmentB6. The Basics of Parliamentary ProcedureB7. The Appeals ProcessB8. International Standards DevelopmentB9. ASME Conformity Assessment Programs

ASME C&S Training Module B7

DATE SLIDE CHANGE 1/15/04 9 Notes

10, 11, and 17 Notes

18 & Notes19 Notes

23 Notes27 & Notes

Both bulleted items revised.

First bulleted item revised.Last item revised.First bulleted item under "Objections to committee or panel membership:" and second bulleted item under "Request for a closed hearing:" revised.Item under "The deliberations" revised.First item in slides and notes revised.

REVISIONS

B7. The Appeals Process

ASME C&S Training Module B7 Slide 4

OBJECTIVES

This submodule will– Review the process for appealing standards

actions, administrative actions, or inactions

ASME C&S Training Module B7 Slide 5

AGENDA

I. Appeals Overview

II. Standards Committee Appeal

ASME C&S Training Module B7 Slide 6

I. APPEALS OVERVIEW

ASME C&S Training Module B7 Slide 7

DUE PROCESS

• Due process means ensuring that every materially interested party, whether individual or organization– Has the opportunity to express a position– Can be confident that the position will be

considered– Has the right to appeal both technical and

procedural issues if adversely affected

ASME C&S Training Module B7 Slide 8

DUE PROCESS

• Procedural implementation– Proposed standard submitted for committee

vote & public review and comments solicited– Effort made to resolve objections– Written response made to objections– Unresolved objector notified of appeals process

ASME C&S Training Module B7 Slide 9

APPEALS PROCESS

• Levels of appeal—from first to last – Standards Committee– Supervisory Board – Board on Hearings and Appeals (BHA)– ANSI

(cont’d)

ASME C&S Training Module B7 Slide 10

APPEALS PROCESS

• Levels of appeal—from first to last (cont’d)– Standards Committee• First level of appeal for both administrative and

technical actions, or inaction• Can revise the standard

– Supervisory Board – Board on Hearings and Appeals (BHA)– ANSI

(cont’d)

ASME C&S Training Module B7 Slide 11

APPEALS PROCESS

• Levels of appeal—from first to last (cont’d)– Standards Committee– Supervisory Board • Can overrule administrative or procedural

decisions• Must refer technical issues back to the

Standards Committee• Can hold or suspend appealed actions

– Board on Hearings and Appeals (BHA)– ANSI

(cont’d)

ASME C&S Training Module B7 Slide 12

APPEALS PROCESS

• Levels of appeal—from first to last (cont’d)– Standards Committee– Supervisory Board – Board on Hearings and Appeals (BHA)• Reviews procedural due process issues only• Will decline to hear an invalid appeal

– ANSI

(cont’d)

ASME C&S Training Module B7 Slide 13

APPEALS PROCESS

• Levels of appeal—from first to last (cont’d)– Standards Committee– Supervisory Board – Board on Hearings and Appeals (BHA)– ANSI• American National Standards only

ASME C&S Training Module B7 Slide 14

POP QUIZ #1

a. Standards Committee

b. Supervisory Board

c. Board on Hearings and Appeals

1. Which of the following will consider appeals of procedural due process issues?

a. Standards Committee

b. Supervisory Board

c. Board on Hearings and Appeals

2. Which of the following will consider appeals of technical issues?

(cont’d)

ASME C&S Training Module B7 Slide 15

POP QUIZ #1(cont’d)

a. Standards Committee

b. Supervisory Board

c. Board on Hearings and Appeals

3. Which of the following can change a technical standard?

ASME C&S Training Module B7 Slide 16

II. STANDARDS COMMITTEE APPEAL

ASME C&S Training Module B7 Slide 17

STANDARDS COMMITTEE APPEAL

• Steps

1. Notification of Appeal

2. Pre-Hearing Activities

3. The Appeal Hearing

4. Post-Hearing Activities

ASME C&S Training Module B7 Slide 18

NOTIFICATION OF APPEAL

• Written notice of intent to appeal– Filed with Secretary of relevant Standards

Committee– Stops further action on standard

• Appeal statement– Detailed objection or appeal statement – Must follow notice within 10 days

ASME C&S Training Module B7 Slide 19

PRE-HEARING ACTIVITIES

• Standards Committee tasks– Committee Chair appoints Respondents– Respondents prepare Committee Response– Committee schedules hearing for full consensus

committee or hearing panel

ASME C&S Training Module B7 Slide 20

PRE-HEARING ACTIVITIES

• Objections to committee or panel membership– Should be submitted 10 working days before – Must be resolved before hearing– Ref: Society Policy P-15.8, Conflicts of Interest

• Request for a closed hearing– Limits hearing to voting committee members,

appellants, respondents, ASME staff and legal counsel

– Must be made in writing– Must be submitted 10 working days before

ASME C&S Training Module B7 Slide 21

PRE-HEARING ACTIVITIES

• Hearing Agenda– Secretary prepares Appeal Hearing Agenda• Contents: –Order of presentations of position–Order of rebuttal presentations–Recommended time limits

• Ref: ASME C&S Guidelines for Appeal Hearing Agendas*

* NOTE: Not applicable to accreditation, certification or registration hearings

ASME C&S Training Module B7 Slide 22

PRE-HEARING ACTIVITIES

• Hearing Documentation– Secretary distributes to all concerned parties:• Appeal Statement• Committee Response• Hearing Agenda

NOTE: Must be distributed at least 15 working days prior to hearing

ASME C&S Training Module B7 Slide 23

POP QUIZ #2

a. Challenge the assigned Respondents

b. Challenge the hearing panel membership

c. Request a different hearing date

d. Request a closed hearing

e. Skip the committee and appeal directly to the Supervisory Board

An appellant may (select all that apply):

ASME C&S Training Module B7 Slide 24

THE APPEAL HEARING

• Steps– Presentation of positions, rebuttals and closing

remarks– Questions and Answers– Deliberations (Executive Session)• Limited to voting members, ASME staff and

counsel • Administrative issue: majority vote required• Technical issue: 2/3 vote required

– Announcement of Decision • Read at hearing• Officially transmitted within 7 days

ASME C&S Training Module B7 Slide 25

POST-HEARING ACTIVITIES

• Hearing Notes– Ref: ASME Guidelines for Appeal Hearing Notes*

• Distribution limited to– Committee members who heard appeal– ASME staff– ASME legal counsel

* NOTE: Not applicable to accreditation, certification or registration hearings

ASME C&S Training Module B7 Slide 26

POP QUIZ #3

True or False. The committee’s deliberations in an appeal hearing are always conducted in open session. _______

ASME C&S Training Module B7 Slide 27

SUMMARY

I. Appeals Overview

II. Standards Committee Appeal

ASME C&S Training Module B7 Slide 28

REFERENCES

– Procedures for ASME Codes and Standards Development Committees, Section 11• www.asme.org/cns/departments/GuideProcDevCtes.pdf

– C&S Guidelines for Appeal Hearing Agendas and Notes– Supervisory Board Procedures– Procedures of the Board on Hearings and Appeals