2022 Edition of SPP
2022 Edition of SPP
2022 Edition of SPP
© 2022 National Electrical Manufacturers Association. All rights, including translation into other languages,
reserved under the Universal Copyright Convention, the Berne Convention for the Protection of Literary
and Artistic Works, and the International and Pan American Copyright Conventions.
CONTENTS
FOREWORD
The rules, policies, and procedures contained herein govern the development of technical publications by
the National Electrical Manufacturers Association (NEMA), and the participation by NEMA in the
formulation of standards and other technical publications by other organizations, or in the development of
joint technical publications.
They do not cover promotional activities related to standards, such as NEMA efforts advocating the
adoption and use of the National Electrical Code® and other nationally recognized standards.
NEMA represents electrical equipment and medical imaging manufacturers. It is NEMA’s belief that
technical publications play a vital part in the design, production, and distribution of products destined for
both national and international commerce. Sound technical publications benefit the user, as well as the
manufacturer, by improving safety, bringing about economies in product, eliminating misunderstandings
between manufacturer and purchaser, and assisting the purchaser in selecting and obtaining the proper
product for their particular need.
NEMA devotes much of its time, effort, and resources to voluntary standardization activities. NEMA
standards are offered and recommended to become American National Standards under the procedures
of the American National Standards Institute (ANSI). This decision rests with the Product Groups,
Councils, or Committees concerned. It is the intent of the Association to continue its support of these
activities as the best method to continue providing sound and safe electrical and medical imaging
products for the use of all.
A standard of the National Electrical Manufacturers Association (NEMA) is a document that includes
requirements for a product, process, or procedure with reference to one or more of the following:
nomenclature, composition, construction, dimensions, tolerances, safety, operating characteristics,
performance, rating, testing, installation, and the service for which it is designed.
NEMA technical publications include NEMA standards and other technical documents such as white
papers, engineering bulletins, technical position papers, and the like. Each technical publication can be
revised individually, and the publication maintained by issuance of revisions as they are approved. Major
revisions to NEMA technical publications, for practical reasons, may require the issuance of an entire new
publication. In addition, NEMA technical publications and revised standards contained therein are
identified by number and date.
NEMA technical publications are subject to periodic review as described in Section 12, Review of NEMA
Technical Publications.
Each NEMA technical publication shall contain the Notice and Disclaimer in Appendix A.
Overall management of the Association is vested in the Board of Governors. Management, authority, and
responsibility for the Association’s technical publication development activities lie with the Standards and
Conformity Assessment Policy Committee (SCAPC) and its appointed standing committees the Codes
and Standards Committee (C&S), the International and Regional Standardization Committee (IRSC), and
the Maintenance Committee on the SP&P (MC on the SP&P) and are implemented by the Product
Groups, Committees, and Councils. Section 3 of this document serves as the charter for SCAPC, C&S,
IRSC and the MC on the SP&P.
SCAPC is responsible for overseeing NEMA standardization and conformity assessment activities in the
domestic, regional, and international fields. SCAPC is a decision-making body and has strategy and
policy responsibility for all NEMA work in the development and review of technical standards, rules,
codes, specifications, or other regulations, both within NEMA and in cooperation with other organizations
and agencies. The committee is also responsible for policy positions on proposed and enacted legislation
under which such standards or regulations might be developed or adopted. In addition, the committee is
responsible for recommending and annually reviewing NEMA-wide and horizontal programs in this work
area.
The membership of SCAPC shall be persons who are representatives of members of the association (see
By-Laws, Art. II, Sec. 7, Subsection A) and based on the following criteria: balanced representation,
expertise and commitment to active participation. The committee members shall be nominated by the
Nominations Committee (See Section 3.1.6) and shall be appointed by the NEMA Board of Governors to
serve for one-year terms. There is no term limit for members of SCAPC.
SCAPC voting members should include up to five members from the Board of Governors. The number of
members shall be determined by the Board of Governors. Membership is limited to one member per
parent company.
SCAPC voting members should also include up to 15 regular members who are representatives from
member companies. Membership is limited to one member per parent company, but regular members
and the Board of Governors members may be from the same parent company.
The Chairs of the Standing Committees (i.e., Codes and Standards Committee and the International and
Regional Standardization Committee) are eligible to serve as non-voting members of SCAPC. If the Chair
cannot attend a meeting, they are to delegate the responsibility to an Officer of the committee and notify
the Secretary.
Liaison members who are appointed by the Product Groups to provide relevant industry input and
feedback serve on the committee as non-voting members, subject to approval by the NEMA Board of
Governors.
3.1.2.3 Chair
The chair of SCAPC shall be a member of the Board of Governors. The chair of SCAPC may serve in that
position for no more than five consecutive years.
SCAPC shall hold meetings at such times and places as may be fixed by the chair, normally three times a
year.
A majority of the voting members of the Committee shall constitute a quorum at all meetings.
There shall be one vote per NEMA member company. Approval of committee actions at meetings
requires a quorum and approval by a majority of the voting members present. Approval of Committee
actions between meetings requires approval by a majority of the voting members. Liaison members may
attend meetings by giving advance notice.
In addition to such other powers and duties granted or prescribed by the Board of Governors, from time to
time, and subject to the direction of the Board of Governors, the scope of the committee shall be:
a) Develop, maintain, and communicate a dynamic strategy for NEMA international, regional and
national standards and conformity assessment activities in furtherance of the business objectives
of its members. Such strategy shall encompass the changing global markets, increased focus on
health, safety, and environmental issues and the impact of new and emerging technologies.
b) Establish and articulate policies to influence public opinion, legislators, and regulators in support
of NEMA members’ positions on standards and conformity assessment. Coordinate with other
NEMA committees as appropriate.
c) Enhance NEMA influence through developing alliances with other organizations both public and
private to promote these policies.
d) Manage the NEMA standards and conformity assessment programs through prioritizing the
activities of the standing committees in accordance with the developed strategies and policies.
e) Review the core and horizontal programs annually in order to ensure they deliver value to the
members and minimize overhead costs.
The members of the Board of Governors on SCAPC and the Chair of SCAPC shall serve as the
Executive Committee. The Chairs of its appointed standing committees shall be non-voting ex-officio
members of the Executive Committee. The Executive Committee is empowered to act on behalf of
SCAPC between meetings on matters requiring immediate attention and on such matters delegated to
SCAPC by the Board of Governors, except financial matters. Actions undertaken between meetings are
subject to confirmation at the next SCAPC meeting. A majority of the voting Executive Committee
members shall constitute a quorum of any meeting of the Executive Committee, and the vote of a majority
of the Executive Committee members attending a meeting shall be the action of the Executive
Committee.
At least four months before each Annual Meeting of the Association, the chair of SCAPC shall appoint a
Nominations Committee to nominate individuals for membership on SCAPC. Recommendations for
SCAPC membership may come from all sources within NEMA. The Nominations Committee shall make a
recommendation to SCAPC by September 15 annually. SCAPC shall review and approve such a
recommendation and send it to the Board of Governors for final approval.
The Nominations Committee shall consist of three members of SCAPC, one of whom shall be chair. The
term for the Nominations Committee shall be from August 1 through July 31 annually.
In the interest of maintaining balance on SCAPC, the Nominations Committee shall consider attendance
records, active participation on standing NEMA committees, the need for special areas of technical and
technical policy expertise not already represented on SCAPC, and diversified representation of NEMA
membership (including representation from individuals associated with larger and smaller enterprises,
individuals associated with industry product groups not already represented on SCAPC, and whether an
individual(s) associated with the same enterprise as a nominee already is a member of or candidate for
SCAPC and similar industry expertise and/or active participation is not available from a person associated
with a different enterprise) on the working group or task force expertise matrix.
SCPAC may appoint subgroups as needed. Standing Committees or Subcommittees shall be created to
address long term or permanent interest areas, and task forces to address short term issues. All subgroup
work is subject to the approval of the full committee. Subgroups shall be open to participation of any
representative of a NEMA member company. The majority of the work shall be undertaken using electronic
means. Meetings may be called at the discretion of the chair of the subgroup.
The Codes and Standards Committee (C&S) is responsible for supervising and correlating all work of the
Association in the development of technical standards, rules, codes, specifications, or other regulations,
both within the Association and in cooperation with other organizations, except as such authority is
assigned to another NEMA Committee or Council. In addition, C&S promotes the direct adoption of the
National Electrical Code® and supports harmonization of electrotechnical product and conformity
assessment procedures on a regional basis in accordance with the expressed wishes of the affected
NEMA Product Groups, Councils, and Committees. Additional information regarding C&S Operations can
be found in C&S Committee Operating Procedures.
The membership of C&S shall be persons who are representatives of members of the association (see
By-Laws, Art. II, Sec. 7, Subsection B) and shall be based on the following criteria: balanced
representation of the broadly diversified interests and products within NEMA (See Section 3.2.7),
technical expertise, and commitment to active participation. Committee members are appointed to
represent the technical best interests of NEMA as a whole and not of particular Product Groups or
members. The committee members and officers shall be nominated by the C&S Nominating Committee
and shall be appointed by the SCAPC to serve for one-year terms.
Voting membership on C&S shall be limited to a maximum of one voting member from any one parent
member company. A member company may have one or more non-voting members on C&S.
The Officers of C&S shall be voting members of the committee and consist of a chair and not less than
two, nor more than four, vice chairs. The chair shall not serve more than a maximum of two years in that
position. The Officers shall not serve more than a maximum of six years, except the immediate past chair
may be permitted to serve an additional one-year term as vice chair provided the total term of service
does not exceed seven years. The vice chair with the most years of service as vice chair, who is eligible
to serve as chair and excluding the past chair, shall be the Parliamentarian of the Committee. The
Parliamentarian shall help to train new Officers and ensure that proper procedures are followed.
The committee shall hold meetings at such times and places as may be fixed by the chair. Five voting
members of the Committee shall constitute a quorum at all meetings except for approval of standards. All
matters submitted to C&S, its officers, and any committee of C&S for decision or action shall require, for
approval, the affirmative vote of a majority of those members voting.
The officers of C&S shall hold meetings or conduct ballots at such times and places as may be fixed by
the chair, and shall be empowered to act between meetings of the full committee on all matters except for
approval of standards (except as otherwise specifically provided in Section 7, Emergency Standards),
which requires committee action. A majority of the officers shall constitute a quorum.
The officers may meet or conduct ballots between the regular committee meetings to act upon items of
urgency such as ballots or comments that have a close due date, letters to agencies or the like that need
immediate attention to be effective, special instances as dictated by the committee, etc. on these issues
on behalf of C&S. The recommendations of concerned Product Groups, Councils, and Committees shall
be solicited. If, for some reason, any of the officers feels that there has been insufficient solicitation for
Product Group, Council, or Committee recommendations, or if the issue needs to have exposure to the
full committee, the item can be balloted to the committee prior to their regular meeting through conference
call or by electronic means.
Once the officers of C&S have taken an action, each committee member that has enrolled for automatic
notification will receive an automatic notification through the NEMA website, and the action must also be
submitted to C&S at its next meeting for approval. If any such action is disapproved by C&S, the
committee shall then take such action as is required to supersede the disapproved action.
C&S may appoint subgroups as needed. All subgroups must have a charter approved by C&S and the
NEMA President and CEO. Standing Committees or Subcommittees shall be created to address long
term or permanent interest areas, and task forces to address short term issues. All subgroup work is
subject to the approval of the full committee. A voting or non-voting member of the committee shall chair
all subgroups and a minimum of two additional members of the committee shall be required to participate
in the subgroups. Subgroups shall be open to participation of any representative of a NEMA member
company. The majority of the work shall be undertaken using electronic means. Meetings may be called
at the discretion of the chair of the subgroup.
In addition to other powers and duties granted or prescribed by the SCAPC from time to time, and subject
to the supervision and direction of the SCAPC, the scope of C&S shall be:
a) Approve NEMA standards or technical publications developed by Product Groups, Councils, and
Committees in accordance with Section 6.
b) Appoint representatives of the Association to act with outside bodies in the development of
standards, rules, codes, and regulations of outside bodies; and to supervise and correlate the
work of such representatives, except as such authority is assigned to another NEMA Committee
or Council (see Appendix D).
c) Authorize the appointment of, and to supervise the work of, Joint Committees of Product Groups
on technical matters, and to notify the secretary of each interested Product Group when a Joint
Committee has been appointed to consider any technical matter (see Appendix B).
d) Approve or disapprove all explanatory data and information of a technical or engineering nature
to be issued as Authorized Engineering Information.
e) Address regional (U.S. and Canadian) conformity assessment issues.
f) Administer the Field Program by defining and publicizing the program, assisting in representative
training, evaluating effectiveness of the program, and developing a budget for the program.
g) Advise and recommend to the SCAPC a formula for the allocation to the various Product Groups
of the costs of all C&S projects.
h) Approve Engineering Bulletins that come under the scope of the committee.
i) At the discretion of the NEMA President, approve other items that explicitly contain technical
content such as, Product Group, Council, or Committee requests to send letters to outside
organizations, NEMA presentations, NEMA websites, marketing information, guides, white papers
and other technical publications.
j) Hear appeals of technical issues between Product Groups, Councils, and Committees or between
members within a Product Group, Council, or Committee (See Section 11).
k) Advise and recommend to SCAPC any change to the policies and procedures governing
technical issues of the association.
l) Monitor proposed electrical statutes, ordinances or regulatory actions which fulfill the mission as
stated in Section 3.2.1.
m) Approve responses to requests for interpretation of NEMA standards (See Section 10).
n) Communicate with the IRSC on issues of mutual concern to coordinate NEMA positions and in
order to mitigate overlapping scope.
At the beginning of each year prior to the first meeting of SCAPC, the chairperson of the SCAPC shall
appoint a Nominations Committee to nominate individuals for membership on C&S for the next calendar
year. Recommendations may come from all sources. The Nominations Committee shall make a
recommendation to C&S by August 1 annually. C&S shall review and approve such a recommendation
and send it to the SCAPC by September 15 annually for final approval. The recommendations shall
indicate how the Nominations Committee considered the factors outlined below. Interim appointments to
C&S shall be similarly processed.
The Nominations Committee shall consist of a Chair and at least three members of C&S and/or SCAPC.
Service on the Nominating Committee is for a one-year term; no person may serve on the Nominations
Committee for more than three consecutive years. The chair of SCAPC shall consider rotating some
members on and off the Nominations Committee each year.
In the interest of maintaining balance on C&S, the Nominations Committee shall consider attendance
records, active participation on standing NEMA committees, the need for special areas of technical and
technical policy expertise not already represented on C&S, and diversified representation of NEMA
membership (including representation from individuals associated with larger and smaller enterprises,
individuals associated with industry product groups not already represented on C&S, and whether an
individual(s) associated with the same enterprise as a nominee already is a member of or candidate for
C&S and similar industry expertise and/or active participation is not available from a person associated
with a different enterprise) on the working group or task force expertise matrix.
C&S may develop technical publications that address issues that impact multiple NEMA Product Groups,
Councils, and Committees. When C&S develops a proposal for development of a new technical
publication, the proposal shall be forwarded to the SCAPC Executive Committee for approval. Technical
publications developed by C&S are subject to the requirements of Section 5.
The International and Regional Standardization Committee (IRSC) is responsible for representing,
supervising, and coordinating all work of the Association in the development and implementation of
International/Regional programs outside the United States and Canada that address technical standards,
product and manufacturing regulations and their respective conformity assessment systems. The latter
includes evaluation and promotion of specific conformance criteria through development of Association
position statements on required and proposed product marking systems and market access
requirements. The IRSC, in collaboration with NEMA Product Groups, Councils, and Committees and to
meet NEMA member company needs, is required to propose and implement strategies and tactical
programs that comport with NEMA-agreed standardization policies and strategies expressed by SCAPC,
and to coordinate with the appropriate NEMA committees.
The membership of the IRSC shall be persons who are representatives of members of the association
(see By-Laws, Art. II, Sec. 7, Subsection B) and shall be based on the following criteria: balanced
representation of the broadly diversified interests and products within NEMA (see Section 3.3.6),
technical expertise, and a commitment to active participation. Committee members are appointed to
represent the technical best interests of NEMA as a whole and not particular Product Groups or
members. The committee members and officers shall be nominated by the IRSC Nominations Committee
and shall be appointed by the SCAPC to serve for one-year terms.
3.3.2.1 Leadership
The chair of the IRSC and chair of all IRSC working groups may serve in those positions for no more than
three consecutive terms. The officers of the IRSC shall be a chair, a vice chair, and past chair.
The committee shall hold meetings at such times and places as may be fixed by the chair. Five members
of the committee shall constitute a quorum at all meetings. Approval of committee actions at meetings
requires a quorum and approval by a majority of the members present. Approval of committee actions
between meetings requires approval by a majority of the members.
The International and Regional standardization committee may appoint subcommittees for long term
interest areas and/or task forces to address short term issues that make up the working agenda of the
IRSC committee. All subgroup work is subject to the approval of the full IRSC committee. All subgroups
must have a charter approved by IRSC and the NEMA President and CEO.
A member of the IRSC will chair all subgroups and a minimum of two additional members of the IRSC
shall be required to participate in the groups. Subgroups shall be open to participation of any
representative of a NEMA member company. The majority of the work shall be undertaken using
electronic means. Meetings may be called at the discretion of the chair of the subgroup.
In addition to other powers and duties granted or prescribed by the SCAPC from time to time, and subject
to the supervision and direction of the SCAPC, the scope of the committee shall be:
a. Define objectives and establish priorities to achieve timely and comprehensive positions on
international and regional standards and conformity assessment issues of interest to NEMA.
b. Monitor the international, regional, and other activities of individual NEMA Product Groups, Councils,
and Committees including NEMA regional offices, together with activities of the national, regional and
international organizations actively participating in markets of interest to NEMA members, and then
implement strategies and actions to achieve NEMA member company needs.
c. Appoint representatives of the Association to act with regional and international management
committees of outside bodies, including the USNC; and to supervise and correlate the work of such
representatives, except as such authority is assigned to another NEMA committee or council. (See
Appendix D).
d. Implement and oversee maintenance of a system to ensure a succession of qualified industry
representatives to serve on committees of outside bodies, within the scope of IRSC.
e. Maintain primary responsibility and contact in the international activities of national, regional, and
international organizations.
f. Implement all NEMA international and regional strategy activities.
g. Support NEMA Product Group, Council, and Committee activities for participation in international and
regional standards development.
h. Direct coordination between the Operations and Government Affairs departments for regulatory
issues, particularly related to standardization and conformity assessment.
i. Develop NEMA positions for input to the USNC and IEC, and other international or regional standards
bodies, activities including policy statements, strategic goals, advisory committee actions, guides for
participants, etc.
j. Identify global certification issues, develop action plan and coordinate Product Groups, Councils, and
Committees responses.
k. Serve as a resource for the NEMA Regional Offices on subjects concerning standards and conformity
assessment issues.
l. Communicate with C&S on issues of mutual concern to coordinate NEMA positions and in order to
mitigate overlapping scope.
At least four months before each annual meeting of the Association the chair of the Standards and
Conformity Assessment Policy Committee shall appoint a Nominations Committee to nominate individuals
for membership in the International and Regional Standardization Committee. Recommendations may
come from Product Groups and/or Individual Company members. The Nominations Committee shall
make a recommendation to the IRSC by August 1 annually. The IRSC shall review and approve such a
recommendation and send it to the SCAPC by September 15 annually for final approval.
The Nominations Committee shall consist of a chair and at least three members of the International and
In the interest of maintaining balance on IRSC, the Nominations Committee shall consider attendance
records, active participation on standing NEMA committees, the need for special areas of technical and
technical policy expertise not already represented on IRSC, and diversified representation of NEMA
membership (including representation from individuals associated with larger and smaller enterprises,
individuals associated with industry product groups not already represented on IRSC, and whether an
individual(s) associated with the same enterprise as a nominee already is a member of or candidate for
IRSC and similar industry expertise and/or active participation is not available from a person associated
with a different enterprise) on the working group or task force expertise matrix.
IRSC may develop technical publications that address international issues that impact multiple NEMA
Product Groups, Councils, and Committees. When IRSC develops a proposal for development of a new
technical publication, the proposal shall be forwarded to the SCAPC Executive Committee for approval.
Technical publications developed by IRSC are subject to the requirements of Section 5.
3.4 Maintenance Committee on the Standardization Policies and Procedures (MC on the SP&P)
The Standardization Policies and Procedures (SP&P) includes the rules, policies, and procedures that
govern the development of NEMA standards and other technical documents, as well as the participation by
NEMA in the formation of standards, Codes, and other technical documents of other organizations. The
SP&P can only be modified by the NEMA Board of Governors. The SCAPC MC on the SP&P is responsible
for reviewing proposed changes to the SP&P submitted by NEMA members, Staff, Sections, Divisions, or
Councils and developing recommendations to SCAPC regarding whether or not to revise the SP&P based
upon the proposals.
Participation in the SCAPC SP&P MC is open to NEMA members. Each participating member company is
entitled to designate one voting representative. Membership should be limited to no more than 10
individuals and a Chair. Members shall be nominated by the Chair of SCAPC, who shall consider the size
of the committee and the balanced representation of the broadly diversified interests and products within
NEMA. SCAPC shall appoint members to serve for one-year terms with no limitation on the number of
terms that may be served.
3.4.2.1 Chair
The SCAPC Chair shall nominate and SCAPC shall appoint a Chair for the SP&P MC. The MC Chair will
work with the Secretary of the MC to determine the agenda for MC meetings, lead discussion to collectively
set goals and priorities, and ensure development of an execution plan.
The chair of MC on the SP&P may serve in that position for no more than five consecutive one-year
terms.
The committee shall hold meetings at such times and places as may be fixed by the chair. A majority of
voting members of the SCAPC SP&P MC present at a meeting shall constitute a quorum necessary to
undertake any action. The affirmative vote of a majority of the voting members at any meeting or
electronically where a quorum is present shall constitute the action of the SCAPC SP&P MC. In the case
of an electronic ballot, the affirmative vote of a majority of the voting members shall constitute the action
of the SCAPC SP&P MC. For an electronic ballot, the length of the ballot period shall be 21 calendar
days.
The MC on the SP&P may appoint subcommittees for long term interest areas and/or task forces to
address short term issues that make up the working agenda of the MC on the SP&P. All subgroup work is
subject to the approval of the full committee. A member of the MC on the SP&P will chair all subgroups.
Subgroups shall be open to participation of any representative of a NEMA member company. The
majority of the work shall be undertaken using electronic means. Meetings may be called at the discretion
of the chair of the subgroup.
In addition to other powers and duties granted or prescribed by the SCAPC from time to time, and subject
to the supervision and direction of the SCAPC, the scope of the committee shall be to review proposed
changes to the SP&P that are submitted by NEMA members, Staff, Sections, Divisions, or Councils and
develop recommendations to SCAPC regarding whether or not to revise the SP&P based upon those
proposals. The Maintenance Committee is dedicated to accelerating the pace of technical document
development and strengthening the process by which NEMA reaches industry consensus positions.
Joint Sections Committees (JSCs) of Product Groups may be appointed by C&S or IRSC to work on
technical matters which overlap the scopes of the Product Group involved (see Appendix B). These
committees may also, when authorized by C&S or IRSC, develop and maintain NEMA standards in
accordance with the same procedures used by a Product Group. These standards shall be approved by
all participating Product Groups and are subject to final approval by C&S.
A NEMA standard is a document approved by C&S describing technical requirements for comment and
repeated use and related to a product, process, procedure, or practice.
After approval of a NEMA standard by C&S, NEMA may choose to seek American National Standard
(ANS) status for that standard. The process for approval of a NEMA/ANSI standard is governed by the
NEMA Procedures for Development of American National Standards.
Engineering Bulletin consist of explanatory data and other engineering information of an informative
character not falling within the classification of a NEMA standard
4.3 Guides
NEMA Guides are documents meant to provide informative guidance to the industry.
NEMA Recommended Practices include engineering studies, environmental studies, observations, and
recommended practices. Such documents are informative in nature and do not fall within the classification
of a NEMA standard.
4.5 Whitepapers
NEMA may produce Position Papers that are technical, regulatory or legislative in nature. Those position
papers that are regulatory or legislative are outside the scope of the SP&P. A NEMA position paper that is
technical in nature is a report outlining the Association’s attitude or intentions regarding a particular
technical matter. Such position papers shall provide supporting arguments for the Association position
and, where possible, provide data to support the position. The purpose of a such a position paper is to
validate a NEMA technical position. These publications do not include public comments submitted to a
federal or state regulatory agency or legislature in response to a request from that governmental body.
On occasion, a NEMA Product Group, Council, or Committee of the Association may desire to develop a
technical publication that does not fit into one of the other categories outlined in Section 4. When this
occurs, the Product Group, Council or Committee may designate the document in a way that
differentiates it from other categories but shall follow the procedures for the development of NEMA
technical publications included in Section 5.
Any Product Group, Council, or Committee of the Association may develop NEMA technical publications
that cover products within the product scope of the Product Group, Council, or Committee. Upon approval
of C&S, any Product Group, Council, or Committee may develop standards for products not within the
product scope of the Product Group, provided that standards for those products are not within the scope
of any other Product Group, Council, or Committee. If approval is granted, the product scope of the
Product Group, Council, or Committee shall be extended to include the product which is the subject of the
standard so approved, providing that members of the Product Group, Council, or Committee either
manufacture or promote the manufacture for sale of such product. The Product Group, Council, or
Committee oversees the development of such standards in accordance with the procedures outlined in
Section 5, Development of NEMA Technical Publications.
Figure 1. The process for developing other NEMA Technical Publications is depicted in Figure 2. The
organizational structure for NEMA technical work is provided in Figure 3.
Each Product Group, Council, or Committee may have a Technical Committee, or the Product Group,
Council, or Committee may act as its own Technical Committee. The Technical Committee shall consist
of any member of the Product Group, Council, or Committee who desires to be represented.
The chair of each such Technical Committee and vice chair, if any, shall be appointed by the chair of the
Product Group, Council, or Committee. The Secretary shall be a member of the staff of the Association
designated in accordance with the provisions of Article VII, Section 2 of the Association By-Laws.
Any member of the Product Group, Council, or Committee may designate to the secretary in writing its
company representative (and any alternates) on such committee.
5.2.3 Scope
The scope of the Technical Committee is to develop recommendations on technical standards, rules,
codes, specifications, or regulations dealing with the safety of electrical apparatus or supplies, and on
other engineering matters.
In addition, the Technical Committee shall determine whether any standard or other technical matter
which has been proposed by another Product Group, Council, or Committee of the Association or by an
outside organization, and which has been referred to the Product Group, Council, or Committee by C&S,
is of sufficient interest, in its character or effect, to require its submission to the Product Group for letter
ballot or otherwise.
The Product Group, Council, or Committee, by majority vote of its members, may grant to the Technical
Committee limited or general authority to act for the Product Group, Council, or Committee on all
technical matters, including standards development and approval and on such other general matters as it
deems desirable.
Each Technical Committee may have Working Groups or Task Forces, ad hoc or standing, as it deems
necessary to perform its functions. The Technical Committee Chair shall have authority to review and
appoint membership on such Working Groups or Task Forces.
When any such authority is given to the Technical Committee, any member of the Product Group,
Council, or Committee may request the Product Group, Council, or Committee to withdraw the authority to
act on any specific matter.
Any such request must be acted upon by the Product Group, Council, or Committee at the next
succeeding meeting following receipt of such request.
Before any significant work is done on a project, it shall be approved by a simple majority of the Product
Group, Council, or Committee or duly authorized committee of the Product Group, Council, or Committee.
Project initiation shall be recorded by the Product Group, Council, or Committee and submitted for
information in a timely fashion to the Operations Department. Project Initiation Information shall include
the date the project was authorized, the intent of the project (new document, revision, reaffirmation,
withdrawal), the name of the Product Group, Council, or Committee, a proposed designation, title and
scope statement, and an expected date for distribution of a letter ballot. Project Initiation Information shall
be shared with affected Product Groups, Councils, or Committees to allow for input.
Except as provided in Section 5.4.2 (100% attendance) any Product Group, Council, or Committee vote
on a standard shall be taken by letter ballot. Letter ballots shall include the name and designation of the
subject document, an explanation of the ballot, a closing date, indication of the group(s) being asked to
vote and instructions for voting. Electronic means of letter ballot distribution are permissible in accordance
with Article I, Section II of the Association By-Laws.
At the time of letter ballot, a draft technical publication shall be shared with affected Product Groups,
Councils, and Committees for input. Affected Product Groups, Councils, and Committees shall be given
at least 30 calendar days to review proposed standards and at least 14 calendar days to review other
proposed technical publications. Comments submitted by affected Product Groups, Councils, Committees
and members shall be handled according to Section 5.5.1.
Unless otherwise specifically provided in the By-Laws, or unless otherwise provided in certain cases by
C&S, the voting period for approval of NEMA standards shall be at least 30 calendar days and for other
NEMA technical publications, the voting period shall be at least 14 calendar days.
All letter ballots shall provide for recording the votes of members in the affirmative, in the negative, or as
not voting.
A member who manufactures the product within the scope of a Voting Classification is eligible to vote on
technical publications pertaining to that product. Upon two-thirds affirmative vote of all members of the
Product Group, Council, or Committee or authorized Technical Committee, the above voting eligibility
may be expanded to other members.
Except for Section 5.5.1 subsection b.ii, no member may change its vote given by letter ballot after the
expiration of the voting period. Any member may change its vote within the voting period unless the
member has specifically waived the right to do so by statement on such letter ballot.
In any case where authority to take any action is requested by letter ballot, such action may be taken
immediately upon return of the number of ballots needed to authorize such action, if the letter ballot
contained a notice of intention so to act and if each of the returned ballots so needed to authorize such
action contains a waiver of the right to change the vote made thereby.
Except as provided in Section 5.7, Sponsorship of Standard by SCAPC in Absence of Requisite Plurality,
a technical publication, when presented to any Product Group, Council, or Committee or authorized
Technical Committee for approval, shall require the affirmative vote of at least two-thirds of the votes cast
in the affirmative or negative.
Any fraction equal to or less than one-half shall be disregarded, and any fraction greater than one-half
shall be taken as one in determining the number of affirmative votes required for adoption.
In lieu of a letter ballot, a technical publication proposal may be approved at a Product Group, Council, or
Committee or authorized Technical Committee meeting, provided 100% of the Product Group, Council, or
Committee or authorized Technical Committee membership is present.
A proposed technical publication approved by letter ballot may be submitted to C&S for approval in
accordance with the provisions laid out in Section 6, Approval Procedures by C&S, subject to the
provisions enumerated below:
a. Where the votes of a successful ballot are not accompanied by comments, the appropriate NEMA
staff may, prior to the next meeting of the Product Group, Council, or Committee, submit such
proposed technical publication to C&S.
b. Where there are votes accompanied by comments, the proposed technical publication and result of
the letter ballot shall be referred to the Technical Committee or its delegated Working Group or Task
Force and the comments reviewed and resolved within 30 calendar days following completion of the
letter ballot.
I. If after due consideration the Technical Committee cannot resolve all negative comments of a
successful ballot, the appropriate NEMA staff shall submit the proposed technical publication
to C&S. C&S may request written comments or oral presentations from both sides of the
issue to assist in the committee’s review. (Procedures for the submittal to and hearing by
C&S are provided in Appendix E.)
II. A comment may be withdrawn or, at the option of the member, changed to an affirmative vote
in writing or by a statement in the minutes of a meeting.
III. If resolution of comments necessitates substantive changes to the technical publication, such
changes shall be distributed for at least a 7-calendar day recirculation ballot. Voting members
may choose to respond, reaffirm or change their vote.
IV. If comments accompanying all negative votes on the letter ballot are so withdrawn, the
appropriate NEMA staff may, prior to the next meeting of the Product Group, Council, or
Committee, submit such proposed technical publication to C&S.
Note: Comments by members of affected Product Groups, Councils, or Committees shall be handled
in the same way as comments received by members of the sponsoring Product Group, Council, or
Committee.
c. The result of a letter ballot on a proposed standard or technical publication, together with such further
action as may have been taken thereon, shall be reported at and recorded in the minutes of the next
meeting of the Product Group, Council, or Committee.
Any change in, withdrawal of, or reaffirmation of any standards shall be subject to the same procedure as
is followed when a standard is submitted for adoption, except as provided in Section 12, Review of NEMA
technical publications.
Any proposed NEMA standard which fails to receive the affirmative vote of two-thirds of the votes cast in
the affirmative or negative by members of the Product Group, Council, or Committee or two-thirds of the
votes cast in the affirmative or negative by members of each of the participating Product Groups in a Joint
Sections Committee, but which does receive the affirmative vote of a majority of such members or such
Product Groups in a Joint Sections Committee, shall be reviewed by C&S if such review is requested by
the SCAPC.
C&S may adopt the proposal as a NEMA standard after review and with Counsel’s approval as to the
legality of the proposal and its conformity with the By-laws.
NEMA shall maintain on its website a Standards Activity Web Page informing members of the public of
the status of NEMA standards that are up for reaffirmation, revision, or withdrawal. The web page shall
invite members of the public to inform NEMA whether there are any issues with or questions about the
current version of a NEMA standard that should be brought to the attention of the technical committee
during their review of the NEMA standard and provide a means of communicating the public input to
NEMA. At the request of a member of the public, NEMA shall provide the requestor a non-downloadable,
read-only version of the NEMA standard for their review.
Each Technical Committee of a Product Group shall maintain a list of persons or organizations who are
believed to have an interest in the use and application of the NEMA standard, and reasonable efforts
should be made to identify non-domestic entities who are believed to have an interest in the standard. In
developing the list of such persons or organizations, a Technical Committee should give consideration to
the list of users in Section 5.8.4. When a Technical Committee of a Product Group begins its review of
the current version of a NEMA standard with a view to revise, reaffirm or withdraw the standard, NEMA
shall inform the contacts on the Technical Committee’s list by mail or email that a review of the NEMA
standard has commenced and direct their attention to the Public Input Web Page inviting them to
consider providing public input.
When letter ballot of a proposed NEMA standard up for revision, reaffirmation, or withdrawal is initiated, a
notice shall be posted on the Standards Activity Web Page informing members of the public of that fact
and inviting final public comment. At the same time, NEMA shall undertake public input outreach as
provided in Section 5.8.2. A copy of the proposed NEMA standard or NEMA standard (showing proposed
revisions, if any) shall be posted to the Standards Activity Web Page in a non-downloadable, read-only
format for inspection by the public during the ballot period. Any public comment received during the ballot
period shall be referred to the Technical Committee for consideration and addressed under Section
5.5.1.b.
For the purpose of this manual, a user is broadly defined as anyone knowledgeable about the particular
product or its application who can make a contribution to the proposed standard, other than a
manufacturer of the product. The term thus includes purchasers, users, installers, inspectors, specifiers,
standards development and conformity assessment organizations relevant to the NEMA Product Group,
and others. In some circumstances, government agencies may be considered a user.
User input may be obtained by submission of a NEMA standard to ANSI for consideration as an American
National Standard in anticipation of review by all interested parties in the course of the ANSI procedure. A
user input statement for NEMA standards to be submitted immediately for ANSI approval needs only to
indicate that this is the case.
User input may also be obtained as public input pursuant to this Section 5.8.
A User Input Statement (see the form used in Appendix C) is required to accompany any submission to
C&S of a proposed new or revised NEMA standard, Suggested Standard for Future Design, Authorized
Engineering Information, or Official Standards Proposal.
The simple statement that the user input was through normal marketing channels is generally
unsatisfactory for new or completely revised standards. In the case of revisions of standards, assessment
of user needs by this method may be considered adequate, depending on the extent and nature of the
revision. Where such input is submitted in lieu of more direct and affirmative canvassing, the Product
Group’s User Input Statement shall provide adequate explanation.
Contacts with users for the purposes of obtaining input, like other outside contacts on technical matters,
are subject to approval by C&S, as delegated by NEMA President and Counsel. It is anticipated that in
order to expedite matters, the Operations Department will continue to be delegated such clearance
function in routine situations where no major new contact is involved and where no conflict with other
ongoing NEMA contacts seem likely.
Those individuals and organizations canvassed as users by a Product Group, Council, or Committee shall
be informed of a specific, reasonable closing date for replies. The Product Group, Council, or Committee,
in its report to C&S, may properly imply that users not responding before the closing date have no
objection to the proposal.
The statement accompanying the proposed standard before C&S shall contain:
a. The reason for the standard or the importance of its revision.
b. A list of individuals and organizations canvassed. When an organization is listed, its representatives
shall be named. If a NEMA Product Group, Council, or Committee or trade association is a user and
has been canvassed, it shall be included in the list.
c. The number of responses.
d. The number of negative responses and their disposition by the submitting Product Group, Council, or
Committee.
e. A statement that consideration was given to any international standards concerning the products
covered in the standard.
f. A statement as to whether or not North American harmonization was considered.
e. Approval of the chair of either the Product Group, Council, or Committee or the Technical Committee
attesting to its accuracy.
Upon publication of a proposed standard or revision after approval by C&S, the Foreword to the
applicable NEMA technical publication shall contain the following statement, or equivalent:
In the preparation of this technical publication input of users and other interested parties has been sought
and evaluated.
Inquiries, comments, and proposed or recommended revisions should be submitted to the concerned
NEMA Product Group, Council, or Committee through the following:
C&S Secretary
National Electrical Manufacturers Association
1300 North 17th Street, Suite 900
Rosslyn, VA 22209-3801
5.9.1 Minutes
Appropriate NEMA staff shall take the minutes of all meetings of the Product Group, Council, Committee,
Technical Committee, and all Working Groups or Task Forces, and shall file such minutes in accordance
with the By-Laws. Minutes, while not a verbatim transcript, shall concisely record the substance of
discussion and actions taken at a meeting.
The appropriate NEMA staff shall keep records regarding the development of a standard. Such records
shall contain drafts, correspondence, reports, and other such documents to reflect both the rationale
behind and the development of any standard.
All actions of Product Groups, Council, or Committee and authorized Technical Committees in approving,
revising, reaffirming, or withdrawing standards or technical publications of the Association shall be subject
to the approval of C&S.
In its review of proposed standards or technical publications, C&S shall consider whether:
a. The standard is in harmony with the policies of NEMA standardization activities and has been
developed according to the procedures contained in this manual and in the NEMA Constitution
and By-Laws.
b. The interests of all affected NEMA Product Groups, Councils, and Committees have been
considered.
c. The standard is technically sound and accurately drawn.
d. Any recommendations should be made to NEMA Counsel concerning compliance of the standard
with NEMA policies and procedures.
e. The record presented by the Product Group, Council, or Committee proposing the standard
shows that adequate consideration has been given to user needs.
If referral to other Product Groups, Councils, and Committees is not necessary and the technical
publication also complies with the criteria above, C&S shall approve the proposal for publication as a
NEMA technical publication.
C&S may determine that a proposed standard is of possible concern to other Product Groups, Councils,
or Committees of NEMA and refer it to them before taking action on approval, if such distribution did not
occur at project initiation or during ballot.
When a standard proposed by one Product Group, Council, or Committee is referred to another Product
Group, Council, or Committee for assent, that other Product Group, Council, or Committee shall be given
a period of at least 30 calendar days to reply. If no reply is received within that time, C&S may assume
that the Product Group, Council, or Committee has no interest or no objection to the proposed standard.
If there is dissent, negative comments must be addressed by the Product Group, Council, or Committee
originating the proposed standard prior to resubmittal to the committee. Comments shall be handled in
accordance with Section 5.5.1.
Any NEMA member may request the reconsideration of a decision made by C&S. The request for
reconsideration of a decision must be submitted in writing to the secretary of C&S within 14 calendar days
of the date of notification of the decision, and it must state the basis for which reconsideration is
requested as provided in this Section.
The request for reconsideration will be considered by the Officers of C&S. The basis for the request for
reconsideration must be technical in nature and shall be for one of the following reasons:
a) New technical information has come to light since the date that information pertinent to the issue
was submitted to C&S (e.g., UL has completed an Outline of Investigation, the findings of which
affect the issue). Technical information, which existed prior to the submittal to C&S but was not
presented, is not sufficient justification to warrant granting the reconsideration.
b) The member requesting the reconsideration believes that technical information presented to C&S
has been misinterpreted by the committee resulting in a faulty decision.
The Officers will consider the request for reconsideration and decide if there is sufficient justification to
warrant the reconsideration. If the decision is to grant the request, the request will be placed on the
agenda for the next regularly scheduled C&S meeting, and the Officers may, in their discretion, authorize
oral presentations, not to exceed 30 minutes in total, by representative interested parties at the
committee’s next meeting. The Officers shall have the authority and discretion to allocate time for any
presentations. If the request is denied by the Officers, the decision will be reviewed by the entire C&S by
electronic ballot or at the next meeting for confirmation of the Officers action. If confirmed, the member
will be so informed. Pending confirmation by C&S, the decision of the Officers is final.
If the request for reconsideration is granted by the Officers, all materials to be presented to C&S must be
presented to the secretary 14 calendar days prior to the date at which the reconsideration will be heard.
1) The committee may find in support of the arguments for reconsideration, in which case it will need
to amend its initial decision on the matter; or
2) The committee may find in opposition to the arguments for reconsideration, in which case its
initial decision on the matter stands.
C&S may reach a decision during the meeting or, if additional time is required, the committee will have up
to 14 calendar days following the meeting to reach its decision.
The effective date of a NEMA standard shall be the date of its approval by C&S. When such approval is
subject to the assent of one or more Product Groups, Councils, or Committees, the effective date shall be
the date of the meeting of C&S at which the assent of all such Product Groups, Councils, or Committees
is reported.
7 Emergency Standards
7.1 Purpose
Standards may be acted upon in accordance with the provisions of this Section in those cases in which
the interested Product Group, Council, or Committee believes that prompt action is required to meet
emergency requirements.
7.2 Procedure
An Emergency NEMA Standard, which may replace one or more standards, shall be developed by the
Product Group, Council, or Committee in accordance with the preceding rules, except the voting period
shall be 15 calendar days, and shall be conducted by telephone and electronic communications and
confirmed by letter ballot.
When the vote is completed, the results shall be forwarded immediately to the officers of C&S. All
Emergency NEMA Standards shall be subject to the approval of the officers of C&S. Any interested
member shall have the right to appeal per Appendix G.
7.4 Publication
Emergency NEMA Standards, approved in accordance with this Section, shall be forwarded to the
President of the Association for publication. Publication may be in any form desired or determined by the
President.
Emergency NEMA Standards shall be identified by the word “emergency” placed in brackets preceding
the number of the standard.
All Emergency NEMA Standards shall be subject to review by the full C&S at its next meeting, and
annually thereafter. At the end of the emergency, they shall be referred to the Product Group, Council, or
Committee for adoption as a NEMA standard, or for withdrawal.
A NEMA technical publication shall contain a combination of the following items, except that a NEMA
Adoptive Standard shall comply with the rules and procedures of the standards organization responsible
for its development.
8.1 Scope
A clear, concise, and comprehensive statement of the coverage of the technical publication shall always
be included.
8.2 Definitions
If items used in the standards require definition, the definitions shall be included as a separate part of the
Technical Publication.
8.3 General
General standards, when used, are those having broad applications to the products covered by the
Technical Publication and not otherwise classified.
8.4 Rating
Rating standards, when used, include specific ratings of, or methods of rating, the equipment in such
units or measurements as are appropriate.
8.5 Manufacturing
Manufacturing standards, when used, include requirements for items such as construction, materials,
dimensions, provisions for mounting, spacings between live parts, precautionary labels, and nameplate
markings. Standards for materials may refer to tensile and compressive strengths, dielectric strengths,
insulation resistance, and other pertinent physical properties.
8.6 Dimensions
Where dimensions are given for interchangeability purposes, alternate dimensions satisfying the other
provisions of the Technical Publication may be capable of otherwise equivalent performance.
8.7 Performance
Performance standards, when used, cover characteristics such as temperature rise, interrupting capacity,
voltage regulation, speed regulation, number of operations without deterioration, and the ability to
withstand specified conditions.
8.8 Testing
Testing standards, when used, include procedures for tests to determine compliance with manufacturing
ratings and performance standards included in testing standards.
8.9 Marking
Marking standards, when used, generally require the manufacturer’s symbol and identification.
8.10 Application
Application information for the product may be included as part of the general standards or as a separate
part of the NEMA Technical Publication.
8.11 Appendices
All appendices, which may include text, figures, and tables, are designated as Authorized Engineering
Information.
If it is necessary to refer to a particular device, a generic description should be used rather than a
brand-name reference, unless such reference is essential for technical reasons and has been approved
by Counsel.
NEMA standards shall not be written so as to attempt to fix prices, exclude competition from the
marketplace, curtail production, restrain trade, or otherwise be in conflict with U.S. antitrust laws.
Adherence or non-adherence to a NEMA standard shall be left to the individual discretion of every
manufacturer, unaffected by agreements, understandings, or direction of any type by the Association.
NEMA activity in the field of standardization shall be confined to the definition of the engineering,
technical, and safety characteristics of electrical products within the scope of NEMA.
NEMA standards shall not include provisions which are a part of the commercial relationship between the
manufacturer and the purchaser, such as warranties, allocation of the risk of loss, conditions of
acceptance or rejection, or the determination of which party is to provide services incidental to the
installation of a standard item.
The statement that a method or procedure shall be the “standard practice” or any similar statement shall
refer only to an engineering, technical, or safety method or procedure and shall not constitute a
recommendation or statement of what the actual practices of the various manufacturers should be.
NEMA standards shall not include statements to the effect that certain items are to be considered as
“special” or any similar term.
In some cases, however, where the minimum or maximum of a whole class is inappropriate due to the
complexity of the relationship among the various characteristics of the product, or because of other valid
technical or engineering reasons, it is permissible to fix on specific or preferred ratings. A NEMA standard
must present an adequate number of ratings so that the field is adequately covered and no exclusion or
restriction takes place.
NEMA standards shall ordinarily include all technically adequate equipment in the field; that is, all
products which fall within the definitions or the criteria of the standard.
Note: There may be certain limited circumstances, such as interchangeability standards, where not all
technically adequate products need necessarily be included.
9.9 NEMA patent policy - Inclusion of Essential Patent Claims in NEMA Standards
There is no objection in principle to drafting a NEMA standard in terms that include the use of an essential
patent claim if it is considered that technical reasons justify this approach.
No participant in the development of a NEMA standard or proposed NEMA standard shall knowingly
conceal from NEMA or the other firms or persons participating in the development of a NEMA standard or
proposed NEMA standard any patent or published patent application containing an essential patent claim
that the participant (or any Affiliate) owns, controls, or has the ability to license.
Each participant in the development of a NEMA standard or proposed NEMA standard is encouraged to
bring to the attention of NEMA and the other participants at any time during and after the development of
the standard any patent(s) or published patent application(s) that are believed to contain an essential
patent claim, which (a) the participant owns, controls, or has the ability to license, or (b) is owned by
others in the manner set forth in this policy. Participants in the development of a NEMA standard or
proposed NEMA standard are encouraged to identify and disclose early in the standards development
process essential patent claims of which the participant has knowledge and provide a written statement
as required by 9.9.3.3b so that the relevant technical committee may consider this information in the
course of the development of a NEMA standard.
9.9.1 Definitions
An “essential patent claim” means a claim contained in a patent or published patent application, the use
of which is necessary to create a compliant implementation of the mandatory portions of the normative
clauses of the NEMA standard or proposed NEMA standard when there is no commercially and
technically feasible non-infringing alternative. An essential patent claim does not include any claim that is
essential only for enabling technology (technology that may be necessary to make a product that
complies with the NEMA standard, but is neither explicitly required by nor expressly set forth in the NEMA
standard) or any claim other than that set forth above even if contained in the same patent as the
essential patent claim.
“Participant” means a NEMA member of a Product Group, Council, or Committee authorized under
Sections 5.1 or 5.3 to develop a NEMA standard, and it also refers to an individual participant. “Individual
participant” means the individual person representing or employed by a participant in the development of
a NEMA standard.
9.9.1.4 Affiliate
“Affiliate” means an entity that directly or indirectly through one or more intermediaries, controls, is
controlled by, or is under common control with such entity. “Control” means ownership of or ability to
direct more than 50% of the voting power of a corporation or other organization.
9.9.1.5 Development
“Development” means the entire effort in proposing, drafting, meeting and discussing, voting upon,
revising, and reaffirming a NEMA standard or proposed NEMA standard.
Participants in the development of a NEMA standard or proposed NEMA standard do not have an
affirmative duty to search their patent portfolio to determine if they own a patent containing an essential
patent claim.
To implement the policy of Section 9.9, the procedures in Sections 9.9.3 - 9.9.8 shall be followed.
A participant in the development of a NEMA standard or proposed NEMA standard, on behalf of itself,
shall disclose in writing to NEMA essential patent claims that they (including any Affiliate) own, control, or
have the ability to license as expeditiously as possible after that participant recognizes it has an obligation
of disclosure under this policy. The disclosure shall be accompanied by the written statement required by
9.9.3.3B below. A participant may also submit to NEMA at any time a written disclaimer as provided in
9.9.3.3A below.
At the request of any firm or person who states that another identified party owns, controls, or has the
ability to license an essential patent claim, NEMA shall request, without coercion, that the identified party,
on behalf of itself (or any Affiliate as appropriate), provide the statement required by 9.9.3.3A or 9.9.3.3B
below.
A participant or an identified party providing a written statement under 9.9.3.1 or 9.9.3.2 shall submit a
written communication addressed to NEMA Vice President of Operations containing either:
A. a statement containing an assurance in the form of a general disclaimer to the effect that such
party (including any Affiliate) does not own, control or have the ability to license patents or
published patent applications containing essential patent claim(s), but in the event that it is later
discovered that such party (or any Affiliate as appropriate) does own, control or have the ability to
license such patents, a license will be made available as prescribed in 9.9.3.3 B(c); or
B. a statement:
(a) identifying the patent registration or application number(s) of the patent(s) or published patent
applications that is believed to contain essential patent claim(s);
(b) identifying the NEMA standard or proposed NEMA standard and the part and/or section of
the NEMA standard or proposed NEMA standard that would include the use of an essential
patent claim; and
(c) containing an assurance that a license to such essential patent claim(s) will be made
available by such party (or any Affiliate as appropriate) to applicants desiring to utilize the
license for the purpose of implementing the standard either:
(1) under reasonable terms and conditions that are demonstrably free of any unfair
discrimination; or
(2) without compensation and under reasonable terms and conditions that are
demonstrably free of any unfair discrimination, or
(3) containing an assurance that the participant or identified party will not enforce any
present and/or future essential patent claims against any person or entity making using,
selling, offering to sell, importing distributing, or implementing such a compliant
implementation; or
(4) provided that the written communication is received five (5) calendar days prior to the
Codes & Standards Committee’s approval of a NEMA standard proposed for adoption,
revision or reaffirmation, a statement that the participant or identified party is unwilling or
unable to grant licenses according to 9.9.3.3 B(c)(1) or (2) or to agree that it will not
enforce its essential patent claims as described in 9.9.3.3 B(c)(3) above, and
(5) at the option of the participant or identified party, that such license under (c)(1) or (2)
is subject to a condition of reciprocity, where reciprocity means with respect to other
parties that have a patent or published patent application containing an essential patent
claim, the assurance under (c) is conditioned on their willingness to license their patent(s)
containing an essential patent claim on these terms. A participant or identified party who
provides an assurance to license without compensation under 9.9.3.3 B(c)(2) on a
condition of reciprocity, may require a license with compensation on reasonable terms
and conditions that are demonstrably free of discrimination if the reciprocating licensee
will only license on such terms.
(d) stating that the assurance contained in the written communication will be brought to the
attention of any future assignees or transferees of the essential patent claim, that the
assurance will be included in any documents transferring ownership of patents subject to the
assurance together with provisions sufficient to ensure that the commitments in the
assurance are binding on the transferee, and that the transferee will similarly include
appropriate provisions in the event of future transfers with the goal of binding each
successor-in-interest. The assurance shall also indicate that it is intended to be binding on
successors-in-interest regardless of whether such provisions are included in the relevant
transfer documents.
C. Without prejudice to any existing licenses granted to persons implementing a NEMA standard,
the assurance provided under 9.9.3.3B(c)(1) or (2) may be withdrawn when it is established that
there are commercially and technically feasible non-infringing alternatives to creating a compliant
implementation of the NEMA standard.
D. A statement under this paragraph may be made in the form provided in Appendix F.
For so long as a participant is a member of NEMA or, an individual participant in NEMA standards
development activities, a participant in the development of a NEMA standard or proposed NEMA
standard shall continue to satisfy the requirements of 9.9. At the time a NEMA standard or proposed
NEMA standard is submitted for approval by letter ballot under 5.3.2 or for a vote under 5.4.2, the
participant shall provide the written statement required by 9.9.3.3. NEMA letter ballots shall contain a
statement for compliance with 9.9, which states: “I state that [check one]:
□ I am not aware of patents or published patent applications containing essential patent claims, which I
or my employer or sponsor (or an affiliate of any of them) own, control or have the ability to license, but if
it is later discovered after the NEMA standard is approved that I, or my employer or sponsor do own,
control or have the ability to license such patents, a license will be made available as required by NEMA
Standardization Policies and Procedures, 9.9.3.3B(c)(1) or (2) or an assurance will be made pursuant to
9.9.3.3B(c)(3);
□ I am aware of patents or published patent applications containing essential patent claims, which I or
my employer or sponsor (or an affiliate of them) own, control or have the ability to license, and a written
statement has been submitted to NEMA as required by NEMA Standardization Policies and Procedures,
9.9.
A record of the patent holder’s statement under 9.9.2 shall be retained in the files of NEMA. The Vice-
President, Operations shall cause a copy of the written communication to be sent to the firms or persons
participating in the development of the NEMA standard or proposed NEMA standard that would include
the use of an essential claim.
9.9.6 Notice
When NEMA receives from a patent holder the assurance set forth in 9.9.3.3 (c) above, the standard shall
include a note substantially as follows:
Note – The user’s attention is called to the possibility that compliance with this standard could require use
of an invention covered by patent rights.
By publication of this standard, no position is taken with respect to the validity of any such claim(s) or of
any patent rights in connection therewith. If a patent holder has filed a statement of willingness to grant a
license under these rights on reasonable and nondiscriminatory terms and conditions to applicants
desiring to obtain such a license, then details may be obtained from NEMA.
NEMA is not responsible for identifying patents or published patent applications for which a license may
be required by a NEMA standard or for conducting inquiries into the legal validity or scope of those
patents that are brought to their attention.
At technical committee meetings, firms or persons shall not discuss the following:
9.10 Metrication
NEMA supports voluntary metrication of standards. Each NEMA Product Group, Council, and Committee
is required to make an informed decision whether to metricate its standards. Product Groups, Councils,
and Committees shall identify standards that will utilize the metric system and determine whether “soft”
(exact conversion from imperial to metric) or “hard” (change product dimensions to conform more
rationally to metric measurements) conversion is to be used.
Standards outside the control of the Product Group, Council, or Committee shall be brought to the
attention of those responsible for the standard. Additionally, each Product Group, Council, or Committee
shall consider the impact of metrication of their standards on other NEMA Product Groups.
Product Groups, Councils, and Committees shall review Engineering Bulletin No. 79, “Guidelines for
Metric Conversion of NEMA Standards” when considering whether to metricate a standard. Use of the
metric system shall be in accordance with the current edition of NEMA Technical Publication NS 1, “Guide
for Preparation of NEMA Technical Publications.”
9.11 Accessories
NEMA standards for accessories shall be completely justified by engineering, technical, or safety
considerations, and shall be limited to accessories genuinely needed for the proper and safe operation of
a product covered in a NEMA Technical Publication.
The effective date of a NEMA standard shall be the date of its approval by C&S. When such approval is
subject to the assent of one or more Product Groups, Councils, or Committees, the effective date shall be
the date of the meeting of C&S at which time the assent of all such Product Groups, Councils, or
Committees is reported.
All NEMA standards shall be reviewed by NEMA Counsel for compliance with NEMA policies and the law
prior to their approval by C&S.
9.14 Copyright
Participants as well as others who submit contributions to NEMA for inclusion in a NEMA Technical
Publication are solely responsible for determining whether disclosure of any contributions that they submit
to NEMA requires the prior consent of other parties and, if so, to obtain it.
All contributions from previously published sources under an explicit claim of copyright ownership (e.g., ©
or “Copyright”) that are not public domain shall be accompanied by a Copyright Permission Form that is
completed by the copyright owner, or by a person with the authority or right to grant copyright permission.
The Copyright Permission Form shall outline the specific material being used and the planned context for
its usage in the NEMA Technical Publication.
For any contribution, whatever the source, that has not been previously published under an explicit claim
of copyright ownership, and that is not public domain:
a) NEMA has the non-exclusive, irrevocable, royalty-free, worldwide rights (i.e., a license) to use the
contribution in connection with the development of the NEMA Technical Publication for which the
contribution was made.
b) Upon (i) approval of the standard; or (ii) final release or publication of a NEMA Technical
Publication, NEMA has the right to exploit and grant permission to use the NEMA Technical Publication’s
content derived from the contribution in any format or media without restriction and without compensation.
Copyright ownership of the original contribution is not transferred or assigned to NEMA.
As used in this paragraph 9.14, “Public Domain” shall mean material that is no longer under copyright
protection or did not meet the requirements for copyright protection.
All inquiries requesting interpretation of the language of a NEMA standard shall be submitted in writing
and referred to the Product Group, Council, Committee, or Technical Committee which developed the
standard. The appropriate group should determine first whether the standard was intended to answer the
question posed. If so, the committee shall formulate a response supported by explicit technical reasoning
which shall be submitted to the Product Group, Council, or Committee chair for approval and to the
Operations Department and NEMA Counsel for review. Following approval and review, the response shall
be transmitted to the inquirer. Upon request of either NEMA Counsel or the Operations Department, the
proposed response shall be reviewed by C&S prior to transmission to the inquirer. If the group determines
that the standard was not intended to answer the question posed, the inquirer shall be so advised.
11 Appeals
Action of any Product Group, Council, or Committee or of C&S in connection with the approval,
disapproval, change, reaffirmation, withdrawal or review of standards of the Association shall be subject
to appeal to the SCAPC by any interested member or nonmember of the Association. Any action of the
SCAPC upon any such appeal may be further appealed to the Board of Governors by any interested
member or nonmember of the Association. Notice of time and place at which appeals will be considered
by the SCAPC or by the Board of Governors, and an opportunity to be heard thereon, shall be given to all
members of the Product Group, Councils, Committees, or non-NEMA members concerned.
11.1.1 Procedures
On matters within the scope of the of C&S, they shall be the first body to hear appeals where there is a
disagreement
• between Product Groups, Councils, or Committees, or
• among members within a Product Group, Council, or Committee, or
• between Product Groups, Councils, or Committees and non-NEMA member(s), e.g., a standards
committee where NEMA is the secretariat.
See 3.2.6 a-h for issues that are NOT appealable to C&S.
The appeal shall be initiated and conducted in accordance with NEMA By-Laws, Article VII, Section 10.
The Chair of C&S shall be a member of the appeals panel and preside at any hearing on the appeal,
unless the Chair shall not qualify to be a member of an appeals panel, in which case the Chair of the
SCAPC shall appoint a presiding officer from among the appeals panel members. (Procedures for the
submittal to and hearing by C&S are provided in Appendix E.)
A person shall be disqualified to be a member of an appeals panel if they are not a disinterested member
as described in Article VII, Section 10, Subsection of B of NEMA By-Laws.
11.2.1 Procedure
A decision of C&S may be appealed to the SCAPC in the manner set forth in this section. The appeal
shall be initiated and conducted in accordance with NEMA By-Laws, Article VII, Section 10. A member of
the NEMA Board of Governors shall be a member of the appeals panel and preside at any hearing on the
appeal, unless no member of the Board of Governors shall qualify to be a member of an appeals panel, in
which case the Chair of the Board of Governors shall appoint a presiding officer from among the appeals
panel members.
A decision of C&S may be appealed only on the grounds that (1) the decision was obtained by corruption
or fraud, (2) the committee improperly refused to receive relevant and material information from an
interested member of NEMA or the public, (3) that a procedure or policy of NEMA as set forth in its
Certificate of Incorporation, by-laws, or the written policies and procedures or resolutions adopted by the
Board of Governors (including the Standardization Policies and Procedures) were not followed, or (4) that
the decision is a violation of applicable law. The decision of the appeals panel shall be limited to a
determination in favor or against the appellant on one or more of these grounds and shall provide reasons
for the appeals panel’s determination. A decision in favor of an appellant shall state that the Codes &
Standards Committee and/or a Product Group’s Technical Committee shall take such action in response
to the decision consistent with the decision and reasoning of the appeals panel.
A person shall be disqualified to be a member of an appeals panel if they are not a disinterested member
as described in Article VII, Section 10, Subsection of B of NEMA By-Laws.
Any interested Product Group or member of a Product Group or any non-NEMA member shall have the
right to appeal to the Board of Governors any decision of a SCAPC appeals panel in the manner provided
in Article VII, Section 10 of NEMA By-Laws. Notice of the time and place at which the appeal will be
considered and an opportunity to be heard thereon shall be given to all members of the Product Group
Committees, or non-NEMA members concerned.
C&S shall review NEMA Standards, Adoptive Standards, Suggested Standards for Future Design,
Authorized Engineering Information, White Papers and other technical publications, to determine that
none is older than 5 years, unless maintained under stabilized maintenance. The committee shall notify
the appropriate Product Group 2 years prior to expiration of the 5-year period that Product Group action is
required.
Upon notification by C&S, the Product Group, Council, or Committee shall take action to reaffirm, revise,
or withdraw the subject NEMA Standard, Authorized Engineering Information, or Suggested Standard for
Future Design (in accordance with the requirements laid out in 5.3.2).
A document shall be reaffirmed when no technical changes are needed to update the document.
Reaffirmed standards shall not include any substantive changes. A document shall be revised when the
technical content is relevant but technical changes are needed to update the document. A document shall
be withdrawn1 when the technical content is no longer valid, or when it has been included in another
technical document. Withdrawn documents are discontinued by NEMA and may be withdrawn with or
without a replacement.
12.1.1 Reaffirmation
1 In past versions of the SP&P, the term “rescinded” was used synonymously with “withdrawn”.
If a Product Group, Council, or Committee, following notification by C&S, fails to reaffirm, revise, or
withdraw the subject NEMA Standard, Suggested Standard for Future Design, Authorized Engineering
Information, or Adoptive Standard within the five-year period, C&S shall take action to withdraw the
NEMA Standard, Authorized Engineering Information, Suggested Standard for Future Design, or Adoptive
Standard. C&S may, however, for good cause shown, grant annual extensions. No extension of time
beyond 10 years from the date of approval shall be granted for action on a standard.
The term “Stabilized Maintenance” means a process by which NEMA standards can be placed under a
ten-year review cycle under certain conditions.
A Product Group, Council, or Committee may recommend that a standard be maintained under Stabilized
Maintenance if it satisfies the following criteria:
a) The standard addresses mature technology or practices, and as a result, is not likely to require
revision;
b) The standard is other than safety or health related;
c) The standard has been reaffirmed at least once;
d) At least ten years have passed since approval or revision of the standard;
e) The standard is required for use in connection with existing implementations or for reference
purposes.
Approval of Stabilized Maintenance shall follow the same procedures as approval of a new or revised
standard. A standard maintained under Stabilized Maintenance is not required to be revised or reaffirmed
on a routine cycle. It shall be subject to review of such status on a ten-year cycle. If the Product Group,
Council, or Committee agrees that the standard shall continue to be maintained under Stabilized
Maintenance and does not require revision or withdrawal, the appropriate NEMA staff shall notify C&S.
If a written recommendation is made at any time that a standard under Stabilized Maintenance requires
revision or should be withdrawn, that recommendation shall be considered by the Product Group,
Council, or Committee within 60 calendar days of receipt. Recommendations shall include a rationale to
withdraw or revise and shall not be dismissed because it does not suggest a specific revision.
New contacts or negotiations on technical matters with outside bodies concerning standards or conformity
assessment shall be made only with the approval of C&S or IRSC, within their respective scopes, and
Counsel or at the direction of the President as provided in the NEMA By-laws. Product Group, Council, or
Committee ongoing activity for the development of technical positions for submittal to an ISO or USNC
TAG need not be approved by the IRSC. Interface with governmental bodies is outside the scope of the
SP&P and shall be coordinated by NEMA Government Relations.
When new contacts or negotiations on technical matters with outside bodies are authorized, the scope of
the activity of the Association representatives shall be clearly defined. No activities beyond that
authorized scope shall be engaged in by the Association representatives.
In contacts with outside bodies the policy of the Association shall be, in general, to request the
appointment either of Joint Committees composed of representatives of the Association and of the
outside body directly concerned, or of accredited representatives of the Association to serve on such
outside bodies.
13.1.4 Reports
Copies of the minutes of all meetings, or drafts of all proposed publications, and of all official
communications to or from outside representatives, shall be filed with the president, the Product Group
NEMA staff, or the Operations Department. For international activities, instructions for participation by
individuals sponsored by an Association Committee or Product Group can be obtained from the NEMA
IEC-ISO Guidelines for Delegate Funding Activity. Association Committees and Product Groups are
encouraged to adopt these guidelines as requirements for delegates they support.
NEMA representatives who cooperate with outside bodies in developing standards represent the interests
of members who (from the nature of standards) are in any way affected by the standards being
contemplated, and who shall vote in accordance with official instructions furnished by C&S whenever
formal action is being taken.
Communications from representatives on matters requiring official action shall be addressed to the NEMA
Technical Director and shall not be addressed directly to Product Groups. Instructions must not be sent
directly to a representative by a Product Group or Committee unless C&S has given specific authorization
thereof. (See Appendix D.)
All pertinent supporting information that will be helpful to the Association in formulating voting instructions
to Association representatives shall be filed with the NEMA Technical Director.
C&S shall determine which Product Groups are interested in any proposed instructions and shall obtain
from those Product Groups or authorized Technical Committees, recommendations for instructions to
NEMA representatives.
The recommendations of a Product Group shall be filed with C&S by the appropriate NEMA staff. When
there is a difference of opinion within any Product Group, NEMA staff shall file a statement of the situation
with C&S.
Except as otherwise directed, C&S, in formulating instructions to NEMA Representatives, shall give due
consideration to the recommendations of the interested Product Groups.
When there is a difference of opinion, in the Product Group or between two or more Product Groups, C&S
shall base its instructions to be sent to Association representatives on engineering consideration of the
question and of the majority and minority opinions submitted.
When the recommendations of interested Product Groups are not received within the time limit set by the
outside organization, C&S shall formulate official instructions based on engineering consideration of the
question and shall notify the appropriate NEMA staff of the interested Product Groups of the action taken
or not taken.
Action of any Product Group or C&S in connection with the formulation of voting instructions to
Association representatives cooperating with outside bodies in the development of standards shall be
subject to appeal to the SCAPC by any interested member of the Association. Any action of the SCAPC
upon any appeal may be further appealed to the Board of Governors by any interested member of the
Association. Notice of the time and place at which appeals will be considered by the SCAPC and the
Board of Governors, and an opportunity to be heard thereon, shall be given to all members of the Product
Group or Committee concerned.
Interaction concerning management or strategic issues with respect to international or regional standards
bodies (not under the scope of C&S) on behalf of NEMA shall be approved by the IRSC.
Revisions of any of the rules, policies, and procedures included in this manual require approval by the
Board of Governors. All suggestions for revision to this manual shall be addressed to the Vice President,
Operations for consideration by the MC on the SP&P. The MC on the SP&P should review this manual
and propose updates as needed, but no less frequently than every five years.
15 Appendices
All appendices included herein are NEMA standards development governance documents and shall be
considered part of the Standardization Policies and Procedures of the National Electrical Manufacturers
Association.
The information in this publication was considered technically sound by the consensus of persons
engaged in the development and approval of the document at the time it was developed. Consensus
does not necessarily mean that there is unanimous agreement among every person participating in the
development of this document.
NEMA standards and guideline publications, of which the document contained herein is one, are developed
through a voluntary consensus standards development process. This process brings together volunteers
and/or seeks out the views of persons who have an interest in the topic covered by this publication. While
NEMA administers the process and establishes rules to promote fairness in the development of consensus,
it does not write the document and it does not independently test, evaluate or verify the accuracy or
completeness of any information or the soundness of any judgments contained in its standards and
guideline publications.
NEMA disclaims liability for any personal injury, property, or other damages of any nature whatsoever,
whether special, indirect, consequential or compensatory, directly or indirectly resulting from the publication,
use of, application, or reliance on this document. NEMA disclaims and makes no guaranty or warranty,
express or implied, as to the accuracy or completeness of any information published herein, and disclaims
and makes no warranty that the information in this document will fulfill any of your particular purposes or
needs. NEMA does not undertake to guarantee the performance of any individual manufacturer’s or seller’s
products or services by virtue of this standard or guide.
In publishing and making this document available, NEMA is not undertaking to render professional or other
services for or on behalf of any person or entity. Nor is NEMA undertaking to perform any duty owed by any
person or entity to someone else. Anyone using this document should rely on his or her own independent
judgment or, as appropriate, seek the advice of a competent professional in determining the exercise of
reasonable care in any given circumstances. Information and other standards on the topic covered by this
publication may be available from other sources, which the user may wish to consult for additional views or
information not covered by this publication.
NEMA has no power, nor does it undertake to police or enforce compliance with the contents of this
document. NEMA does not certify, test or inspect products, designs or installations for safety or health
purposes. Any certification or other statement of compliance with any health or safety–related information
in this document shall not be attributable to NEMA and is solely the responsibility of the certifier or maker
of the statement.
The members of a Joint Sections Committee (JSC) are appointed by the C&S or IRSC, within their
respective scopes, to resolve a technical problem or develop a draft of a technical standard, involving
more than one NEMA Product Group. JSC members should be appointed in such a way that one
Section’s position is not favored over another Section’s. The JSC shall establish how it will determine
mutually acceptable solutions.
1. Scope to be Defined
The problem, standard, or the work of the JSC is more specifically defined by a committee scope which
requires approval of C&S or IRSC.
The nature of the problem assigned to the JSC will be described in more or less specific terms in the
minutes of C&S or IRSC approving the JSC. However, it is often desirable that any such general
description of the task be refined into a precise scope outlining an assignment that the JSC will be
capable of accomplishing within a reasonable length of time.
Therefore, each new JSC is requested to review its scope and possibly draft a scope which will more
precisely cover its assignment. (Such scope will then be referred by the staff to C&S or IRSC for
approval.)
Subsequent activity of the JSC will be expected to fulfill and be confined to the scope approved by C&S
or IRSC. However, should developments later indicate the desirability of modifying its original scope, the
JSC or some other NEMA Product Groups or Committee may at any time recommend such modification
to C&S or IRSC.
Since a JSC is generally appointed only as a result of an already apparent need, early initiation of activity
is desirable and is expected by C&S or IRSC. It is the responsibility of the chair of the JSC to initiate
activity promptly and early suggestions by all members are helpful.
Since more than one NEMA Product Group is involved in a JSC, it is generally important that the JSC
work toward a solution of the assigned problem or the development of the standard or the other assigned
technical task, which will be mutually acceptable to the NEMA Product Groups represented on the JSC.
This agreement is often necessary because C&S or IRSC may refer the proposed final report or solution
of the problem or proposed standard to the Product Group for comment, before taking action to approve
the work of the JSC.
As work progresses, it is best for the members of the JSC to keep the NEMA Product Groups informed of
the progress and possibly to ask for guidance on major issues or conflicting views that may require
resolution within the JSC.
The NEMA staff, represented as secretary, will distribute any background material available and, on
request of the chair, arrange meetings, prepare agenda, circulate items for written comment, etc., but the
staff is not otherwise principally responsible for initiating action.
In order that C&S may be apprised of the progress, a brief progress report is requested each year from
the Chair. C&S or IRSC will review all the JSC annual reports covering the future need for the JSC and
The results of the work of a JSC will generally be contained in one or more technical reports (not to be
confused with the status report in No. 3). When completed by the JSC, these technical reports will be
referred by the staff to C&S or IRSC for approval. Ordinarily, C&S or IRSC will seek formal concurrence of
the Product Groups participating in the JSC, and possibly others having an interest, before issuing final
approval. At this time also, Legal Counsel’s approval or comment(s) on the report will be obtained if not
already available as a result of Counsel’s review of the JSC minutes.
Even though the substance of the report may be a recommendation to a NEMA Product Group or some
other body, the report must be made to C&S or IRSC rather than directly to the Product Groups. C&S or
IRSC, after approval of the report, will refer it to the appropriate body and, if personal contact by the JSC
with somebody is needed to explain or discuss the report, C&S or IRSC will authorize such contact.
NEMA Standard
Date_______________
Submitted to the NEMA Codes and Standards Committee on behalf of ____________ (Product Group,
Council, or Committee)
1. If user input has been identified in the formulation of this standard(s), explain how it was accomplished by one or more
of the following:
2. If it is proposed to process this standard(s) through further committees having user participation (e.g.,
ANSI, ICEA, etc.), explain how:
3. If no user input was required for this particular standard(s) explain why:
Yes _____
No ______
5. Does the Product Group, Council, or Committee intend to harmonize this standard(s) with comparable
international standard(s)
Yes _____
No ______
If "yes":
B. Circle one of the following comparing this standard to the listed international standard(s)
i. Technically equivalent
ii. NEMA has more severe requirements
iii. NEMA has less severe requirements
If "ii" or "iii" are circled, list plan and schedule for harmonization.
6. Has the Product Group, Council, or Committee considered North American harmonization?
Yes _____
No ______
DATE______________________________________
___________________________________________
SIGNATURE (electronic signature acceptable)
1. Introduction
Official NEMA activities on technical groups of outside organizations occur only after approval by C&S or
the IRSC. Hereafter, C&S and the IRSC are referred to as the “appropriate SCAPC Standing Committee”.
The “appropriate SCAPC Standing Committee” is that which appoints a NEMA representative. An
individual approved for such official NEMA activity is designated as “NEMA Representative.” The
appropriate SCAPC Standing Committee oversees the conduct of its NEMA Representatives.
Because representation is of the whole Association, the NEMA Representative assumes specific duties,
obligations, and accountability. These authorized activities have been established to best serve the
overall NEMA viewpoint and to promote the interests of all NEMA members. These instructions are to
assist the NEMA Representative in carrying out the duties, and understanding the actions expected of the
NEMA Representative by the appropriate SCAPC Standing Committee and the members of NEMA.
All official NEMA Representatives appointed by the appropriate SCAPC Standing Committee are
instructed representatives.
Acceptance of appointment as a NEMA Representative assumes the individual is comfortable with and
willing to act under these instructions.
2.1 Purpose
2.2 Objectives
The objectives of a NEMA Representative’s participation in an outside technical committee are to monitor
and review the activities of the outside organization(s) and to advise the appropriate SCAPC Standing
Committee of issues potentially of concern to NEMA Product Groups, Councils, and Committees and
members.
The appropriate SCAPC Standing Committee provides opportunities for any NEMA entity to make
recommendations concerning the appointment of a NEMA representative.
As prerequisites for consideration by the appropriate SCAPC Standing Committee, any recommendation
for an initial appointment must be accompanied by the following:
a. One-page curriculum vitae of the nominee relative to the appointment sought.
b. Statement from the member company or other NEMA entity indicating its intention to support the
nominee’s participation.
c. Statement from the nominee:
1) Agreeing to adhere to the NEMA policies and procedures for representatives
and this Appendix D of the Standardization Policies and Procedures.
2) Providing specific statements over and above the curriculum vitae concerning the nominee’s
knowledge and competence in the technical field of the committee and stating the nominee’s
association with at least one of the NEMA entities affected by the work of the outside
committee.
d. Completed application, if required, by the outside organization.
The recommendation, with the supporting documentation as described in 2) above, is to be sent to the
NEMA Operations Department for documentation compliance checking and for addition to the agenda of
the appropriate SCAPC Standing Committee. Depending on the vacancies available on the outside group
or committee, and the recommendations received, one or more NEMA Representatives may be
appointed.
When there are two or more NEMA Representatives, the appropriate SCAPC Standing Committee may
designate one of them as chair of the NEMA Delegation.
The appropriate SCAPC Standing Committee will designate an appointment period for each NEMA
Representative.
NEMA Product Groups, Councils, and Committees, on at least an annual basis, should review the NEMA
representations pertaining to their product interest and submit any comments or recommendations on that
representation to the appropriate SCAPC Standing Committee.
All concerns on the part of the Product Groups, Councils, and Committees, regarding NEMA
representation on outside organizations, are encouraged to be brought to the attention of the appropriate
SCAPC Standing Committee prior to any reappointment.
Without any such concerns, at the end of each individual appointment period, the appropriate SCAPC
Standing Committee shall notify the current NEMA Representative(s) of their reappointment. The term of
such reappointment shall be stated by the appropriate SCAPC Standing Committee. There is no limit to
the number of reappointments, unless required by the procedures of the outside body.
Should there be any change in the Representative’s status of the relationship with the sponsoring
member company (i.e. retirement, job change), the Representative should notify the appropriate SCAPC
Standing Committee. The appropriate SCAPC Standing Committee will then review the status change
and reconfirm or terminate the appointment as required. For other reason(s) deemed by the appropriate
SCAPC Standing Committee as sufficient, the Representative will be notified by the appropriate SCAPC
Standing Committee that the Representative’s appointment is terminated.
a. On issues where the NEMA position has been established, the NEMA Representatives will espouse
that position in all stages of the committee’s work.
b. Keep the activity within the approved scope of the committee as understood by the appropriate
SCAPC Standing Committee and the affected NEMA entities.
The NEMA Representatives may not participate in any activity on behalf of NEMA beyond that
authorized by the appropriate SCAPC Standing Committee. If the scope of the committee should be
revised subsequent to appointment, the Representative is required to notify the NEMA Operations
Department, so that the appropriate SCAPC Standing Committee can reevaluate NEMA
representation.
Since the NEMA Representative is selected with assurance of his or her familiarity with the topic and
with the NEMA concerns, it is expected that generally the Representative will act on his or her own
good judgment in the preliminary stages of the development of the committee’s work. On issues for
which the Representative does not have expertise, the views of the particular Product Groups,
Councils, and Committees should be obtained. NEMA staff will assist in this effort. Should any NEMA
Representative have a need to formally contact any other Product Groups, Councils, and Committees
of NEMA, this may be done by contacting the Operations Department. Where differences of opinion
between NEMA Product Groups, Councils, and Committees occur, NEMA staff should ensure that all
interested parties are provided with the necessary information to reach a position.
d. Try to arrive at a unified NEMA position before the meeting, within and between affected NEMA
entities and among the delegation. To do so:
• General agreement between the affected NEMA entities and among the NEMA Delegation
should be reached apart from the meetings of the outside committee.
• Principal and alternate shall coordinate their views and position on all issues to be addressed
by the committee. If major differences of opinion should develop between NEMA
e. Remember that the appropriate SCAPC Standing Committee supervises NEMA work with technical
committees of outside organizations.
The appropriate SCAPC Standing Committee supervises and coordinates all technical
standardization work, both within the Association and in outside organizations.
It is the duty of the NEMA Representative (or of the Chair of the NEMA Delegation) to make a brief
report of every meeting of the committee to the Operations Department, reporting the NEMA
Representative’s attendance at that meeting and summarizing the work in progress, actions taken at
the meeting, and the schedule of future meetings.
f. The NEMA Representatives shall abstain when all of the following apply:
g. Ask for official instructions from the appropriate SCAPC Standing Committee before any formal votes
(e.g., letter ballots, votes included in meeting agendas, etc.).
Whenever formal action is being taken by the committee requiring voting by the NEMA
Representatives, official voting instructions must be obtained from the appropriate SCAPC Standing
Committee.
The exception to this limitation is that voting instructions need not be obtained for outside committee
votes on matters which concern only that outside committee’s organization and procedures.
With the above exception noted, the NEMA Representative should not cast votes on his or her own
initiative nor on instructions received from any NEMA Product Groups, Councils, and Committees.
To secure voting instructions, the NEMA Representatives should write to the NEMA Operations
Department requesting such instructions. This should be done as soon as the ballot is received. At
the same time, each Representative should give his or her own recommendations.
In general, a NEMA Representative can only express NEMA positions which are those positions that
have been officially adopted by the appropriate SCAPC Standing Committee. The appropriate
SCAPC Standing Committee may delegate clearly defined discretion to the NEMA Representative to
formulate and express tentative NEMA positions to an outside organization so long as it is indicated
that the positions are tentative. The appropriate SCAPC Standing Committee will review them before
they become final NEMA positions, and the final positions are reported to the outside organization.
Although the NEMA Representative is expected to support established NEMA positions, conditions
before or during the meeting may cause reconsideration of the original position. In this situation, if
substantial new evidence comes to light which, in the Representative’s judgment, could have resulted
in different outcome had the appropriate SCAPC Standing Committee considered this new evidence,
the Representative must restate the NEMA position that had been actually authorized and then
abstain from voting. The appropriate SCAPC Standing Committee can be notified in advance of the
intended change and authorize a new position. Under no circumstances shall the NEMA
Representatives speak against the NEMA position.
h. Send the NEMA Operations Department a copy of all official correspondence to the outside
committee or its officials, or other members of the outside committee.
Copies of the official minutes of all meetings, of drafts of all proposed publications, reports and
standards, and of all communications by the NEMA Representative to outside organizations, shall be
sent to the NEMA Operations Department. Usually, the Representative finds it feasible to arrange
with the secretary of the outside committee to add the NEMA Operations Department to the
distribution list for minutes, drafts, ballots, etc., thus leaving the Representative with the need for filing
only copies of the correspondence they write.
NEMA Representatives designated as Alternates should attend all meetings of the outside committee
to which they are appointed. Alternates are, in many cases, appointed in order to broaden the NEMA
coverage. They should feel free to enter into all discussions in meetings of the committee. If the
Principal is unable to attend a meeting, they should assure that the Alternate will attend, and should
ensure that the Alternate is knowledgeable of the material to be discussed as well as the NEMA
position on the subject as directed by the appropriate SCAPC Standing Committee. If neither the
Principal nor the Alternate is able to attend a meeting, the Operations Department should be notified
sufficiently in advance to arrange substitute representation or take other measures as appropriate.
Alternates should receive all material mailed to the committee members. If an Alternate finds that they
are not receiving such materials, the committee secretary should be advised.
j. Problems? Contact the NEMA Operations Department for counsel and to get instructions from the
appropriate SCAPC Standing Committee.
The NEMA Operations Department is the most direct route to the appropriate SCAPC Standing
Committee. Often the Operations Department personnel have the information at hand to clear any
problems. The Operations Department has accelerated procedures for getting an appropriate SCAPC
Standing Committee position/decision so that the schedules of the outside committee should not
become a problem.
In preparation for a hearing by the Codes and Standards (C&S) Committee, the following steps shall be
taken:
a. The reason(s) for requesting a hearing must be submitted to the Secretary of C&S.
b. The Officers shall review the request for the hearing and, if appropriate, determine the date of the
hearing by C&S. The Secretary shall notify the interested parties of the hearing date.
c. Information provided in Procedures pertaining to the time allotted to each side in the hearing to
make its presentation shall be communicated by the Secretary of C&S to the individuals who will
be presenting the information to C&S. As part of these communications, the secretary will inquire
if the amount of time allotted is sufficient for the parties to present their evidence. If a request is
made by one of the parties for additional time, the matter will be resolved by C&S Officers.
3. Procedures
Note: C&S will make every effort to reach a decision at the meeting, but, if the committee determines that
additional time is needed to consider the evidence and to formulate its decision, it may Table the
discussion to allow additional time. Should C&S choose this option, it is required to communicate its final
decision to both sides within 14 calendar days of the date of the hearing, unless good cause is shown for
an extension.
DATE
In accordance with NEMA Standardization Policies and Procedures (“SPP”) Section 9.92, the
undersigned notifies NEMA that the undersigned or an Affiliate [does][does not]3 own, control or have the
ability to license one or more patents or published patent applications containing one or more Essential
Patent Claims with respect to a NEMA standard or proposed NEMA standard, and the undersigned or its
Affiliate will grant a license to practice and use such Essential Patent Claims to applicants desiring to
utilize the license for the purpose of implementing the NEMA standard or proposed NEMA standard as
our licensing position is described below.
The undersigned identifies the following NEMA standard or proposed NEMA standard with
respect to which it or an Affiliate [does] [does not] own, control, or have the ability to license patents or
published patent applications containing one or more Essential Patent Claims:
Part or Section of this NEMA standard that includes the use of an Essential Patent Claim:
Licensing Assurance:
With respect to patent claims that are Essential Patent Claims or which may become Essential
Patent Claims, our licensing position is as follows (check the appropriate boxes below):
□ 1. A license to such Essential Patent Claims will be granted without compensation to all applicants
with reasonable terms and conditions that are demonstrably free of unfair discrimination.
(Optional) A sample of such a license or material licensing terms similar to what would be offered is
attached to this letter.
□ 2. A license to such Essential Patent Claims will be granted to all applicants under reasonable
terms and conditions that are demonstrably free of unfair discrimination.
2 Terms highlighted in bold are defined in Section 9.9 of the NEMA SPP.
3 If disclosing that you do not own, control, or have the ability to license Essential Patent Claims, no Licensing
Assurance is required; however the Contact and Signature provisions of this letter apply.
(Optional) A sample of such a license or material licensing terms similar to what would be offered is
attached to this letter.
3. We will not enforce any present or future Essential Patent Claims against any person or entity
making, using, selling, offering to sell, importing, distributing, or implementing a compliant implementation
of the NEMA standard.
4. We are unwilling or unable to grant licenses according to the provisions of either 1. or 2. above or
to agree that it will not enforce its Essential Patent Claims as described in 3. above. [Note: this option
may only be selected if this Disclosure is received by NEMA prior to the distribution of a letter ballot for
approval of a NEMA standard proposed for adoption, revision or reaffirmation].
We further assure NEMA that the foregoing assurance will be brought to the attention of any
future assignees or transferees of the Essential Patent Claims, that the assurance will be included in
any documents transferring ownership of patents subject to the assurance together with provisions
sufficient to ensure that the commitments in the assurance are binding on the transferee, and that the
transferee will similarly include appropriate provisions in the event of future transfers with the goal of
binding each successor-in-interest. and shall not be circumvented through the sale or transfer of patents.
Our assurance will also indicate that it is intended to be binding on successors-in-interest regardless of
whether such provisions are included in the relevant transfer documents.
□ irrevocable;
□ subject to a reservation that it may be withdrawn when it is established that there are
commercially and technically feasible non-infringing alternatives to creating a compliant implementation of
the NEMA standard.
Contact Information for entity that owns, controls or has the ability to license Essential Patent Claims:
Company Name:
Address:
Telephone:
Email:
SIGNATURE:
By signing this letter, I represent that I have the authority to bind the undersigned to the representations
and commitments provided in this letter and acknowledge that the users and implementers of the
[proposed] NEMA standard identified above are relying upon or will rely upon those representations and
commitments.
If it is later discovered that the undersigned (including any Affiliate) does own, control, or have the ability
to license patents containing Essential Patent Claims, a license will be made available as prescribed in
Section 9.9 of the SPP.
____________________ ________________________________
Date Signature
A critical element of the American National Standards Institute’s Essential Requirements: Due Process
Requirements for American National Standards (“Essential Requirements”) is the right to an appeal of
“any procedural action or inaction by a standards developer”:
Persons who have directly and materially affected interests and who have been or will be
adversely affected by any procedural action or inaction by a standards developer with regard to
the development of a proposed American National Standard or the revision, reaffirmation, or
withdrawal of an existing American National Standard, have the right to appeal.
The Essential Requirements state: “Appeals shall be directed to the standards developer responsible for
the action or inaction in accordance with the appeals procedures of the standards developer.” Id.
NEMA’s appeals procedures are set forth in the NEMA By-laws at Article VII, Section 10.
The purpose of this Appendix is to set forth the procedures that both NEMA and a “person who [has]
directly and materially affected interests and who [has] been or will be adversely affected by any
procedural action or inaction by a standards developer with regard to the development of a proposed
American National Standard or the revision, reaffirmation, or withdrawal of an existing American National
Standard” must follow in connection with an appeal from an ANSI Accredited Standards Committee or
ANSI canvass body.5
I. Notice of an appeal
A. To initiate an appeal, a written Notice of Appeal shall be filed with the Secretary of the
Association [NEMA General Counsel] within forty (40) days following the decision appealed from. 6
4References to the ANSI Essential Requirements are to the 2019 edition. The Essential Requirements are reviewed
and updated each year.
5 It is important to recognize that an American National Standard cannot be approved by ANSI until “any appeal to the
standards developer with respect to the standard [i]s completed.” Essential Requirements at 4.2.1.1.
6 The Essential Requirements state: “Appeals of actions shall be made within reasonable time limits; appeals of
inactions may be made at any time.” The forty-day time requirement will be waived in case of alleged inactions; however
unreasonable delay in making an appeal may be considered by the NEMA Secretary if it is prejudicial.
A. The NEMA Secretary shall review the Notice for compliance with the above requirements. 9
B. No later than one week after receipt of the notice of appeal, the Secretary of the Association shall
promptly notify
(i) the President of the Association,
(ii) the Chairperson of the appellee [ANSI Accredited Standards Committee],
(iii) the Chairperson of the entity within the Association [SCAPC] to whom the appeal is taken that
a Notice of Appeal has been filed, and
(iv) any other persons, entities or Product Group(s) (including their members) or non-members
who are known to be interested in the outcome of the appeal.
C. The Chairperson of the [Accredited Standards Committee or canvass body] shall identify to the
Secretary a principal contact for the appellee who will represent the appellee during the appeal.
Within twenty-one days of filing a Notice of Appeal with the Secretary, the appellant shall file a Statement
of Reasons why the decision of the Appellee [procedural action or inaction] should be overturned. The
appellant may request from the Secretary a one-time enlargement of the time, not to exceed fourteen
days, to file its Statement of Reasons in accordance with this paragraph. The Secretary shall promptly
provide a copy of the Statement of Reasons to the Appellee [Accredited Standards Committee].
Within twenty-one days of the Appellant filing of a Statement of Reasons with the Secretary, the
[Accredited Standards Committee or canvass body] shall file its response to the Statement of Reasons
and explaining why the decision from which the appeal is made should be upheld. The [Accredited
Standards Committee] may request from the Secretary a one-time enlargement of the time, not to exceed
fourteen days, to file its Statement of Reasons in accordance with this paragraph. The Secretary shall
promptly provide a copy of the [Accredited Standards Committee’s] Response to the Appellant. There
shall be no right to file a written reply to the Appellee’s response.
The appeals panel shall consist of three “disinterested” members of the NEMA Standards and Conformity
Assessment Policy Committee (SCAPC):
7 This would be the NEMA Standards and Conformity Assessment Policy Committee (SCAPC).
8 The brief statement of reasons should articulate the “procedural action or inaction by a standards developer [the
accredited standards committee].” Appeals do not address disagreements about technical judgments made by the
accredited standards committee.
9 It should be noted that Section 8 of the Operating Procedures of ANSI Board of Standards Review states: “ANSI
encourages settlement of disputes at any time if the settlement is consistent with the objectives of the ANSI Essential
Requirements. Any settlement (to which the parties agree in writing) that is consistent with these procedures, or an
agreement to withdraw the appeal, will terminate the appeal process. If the settlement leads to a substantive change
in the standard, the change must be processed in accordance with the ANSI Essential Requirements.” The NEMA
Secretary may decide to explore a settlement of an appealed issue, in which case the timelines set forth herein will be
extended.
B. The Chairperson of [SCAPC] shall designate the members and presiding officer of the appeals panel
conforming to these requirements. The Secretary shall communicate to the Appellant and Appellee the
identity of the appeals panel members. The appellant and appellee shall notify the Secretary within one
week whether they have any objections to the members of the appeals panel on the ground that the panel
member is not a disinterested member.
V. Hearing
A. The chairperson of [SCAPC] shall designate a time, date and place for the hearing of the appeal as
soon as is reasonably practical, no later than thirty (30) days following the receipt of the Appellee’s
response, before an appeals panel [of disinterested persons]. For good cause shown, including but not
limited to the availability of the panel members and the representatives of the appellant and appellee, the
time period for the hearing may be enlarged by thirty (30) days.
B. With the permission of the presiding officer of the appeals panel, other persons or entities including
non-members may submit a written statement, no longer than three pages, of their interest in the appeal
and a statement of whether they believe the decision on appeal should be affirmed or overturned. The
chairperson of [SCAPC] shall have discretion to set limits on the number of persons who may make
statements at the hearing.
C. The Secretary shall promptly notify the appellant, appellee, and other interested persons of the
chairperson’s designations and hearing rules.
D. Within three days following the setting of the time, date and place for the hearing, the appellant and the
appellee shall identify to the Secretary the person(s) who will make statements at the hearing on their
behalf.
E. The appellant and the appellee shall each have thirty minutes (including rebuttal time) to present their
respective case to the appeals panel.
An appeals panel shall make its decision no later than ten (10) business days following the hearing,
unless good cause is shown for an extension. The decision of an appeals panel shall be in writing and
state the reasons for its decision.11
“Persons who have directly and materially affected interests and who have been or will be adversely
affected by any procedural action or inaction by ANSI or by any ANS-related process have the right to
appeal [to ANSI]. ANSI will not normally hear an appeal of an action or inaction by a standards developer
relative to the development of an American National Standard until the appeals procedures provided by
10 Every effort is to be made to form this appeals panel in a timely way to have a timely hearing. The schedules of the
disinterested persons have to be coordinated and sometimes this takes some time.
11 A decision should also note that there is a right to appeal the Appeals Panel decision to ANSI as discussed below.
the standards developer have been completed. Appeals of actions shall be made within reasonable time
limits; appeals of inactions may be made at any time. Such appeals shall be directed to ANSI in
accordance with the procedures of the appropriate ANSI board or council (e.g., the ANSI Board of
Standards Review). ANSI Essential Requirements at 2.8.2. 12
NEMA by default offers new standards at a reasonable market price, but maintains the authority to offer
the standard for free if one or more of the following requirements have been met:
If the standard doesn’t meet the above requirements to offer free copies, then a price shall be charged for
both hard copies and electronic copies.