minutes...2010/09/28 · minutes – neii board of directors september 28, 2010 page 6 of 7 full...

National Elevator Industry, Inc.

1677 County Route 64 • P.O. Box 838 • Salem, New York 12865-0838 • 518.854.3100 Fax: 518-854-3257

WWW.NEII.ORG • E-Mail: [email protected]

MINUTES

NEII BOARD OF DIRECTORS HILTON CINCINNATI NETHERLAND PLAZA

RUE REOLON MEETING ROOM 35 WEST FIFTH STREET CINCINNATI, OHIO 45202

SEPTEMBER 28, 2010 1. Call to Order. The meeting was called to order by the President, Randy Wilcox at 8:00 am. 2. Roll Call.

Directors Company Mike Corbo Mitsubishi Elevator John Karnash * Schindler Elevator Corp. Barry Pletch ThyssenKrupp Elevator Corp. Vance Tang KONE Inc. Randy Wilcox Otis Elevator Company Keiji “Kenny” Yamashiro Fujite c America Inc.

Others Present Company

Barbara Allen (Part-time) EESF Robert J. Bain (Part-time) Louis Bialy Otis Elevator Company Brian D. Black Code and Safety Consultant to NEII Amy J. Blankenbiller (Part-time) Constance Campanella States ide Associates Edward A. Donoghue, Secretary NEII Managing Director Kellie Lindquist KONE Inc. Dennis Mayer Otis Elevator Company Stephen Patton, Treasurer Otis Elevator Company

Minutes – NEII Board of Directors September 28, 2010 of 7

Eric Scrudders ** ThyssenKrupp Elevator Corp. Dorothy Stanlaske (Part-time) NAESAi Kurt Stepaniak KONE Inc. * John Karnash was empowered with a proxy to act on behalf of Jakob Zueger (Attachment #1). ** Eric Scrudders was empowered with a proxy to act on behalf of Barry Pletch until he arrived at 8:40 am (Attachment #2).

Please see Attachment #3 for NEII Board of Directors membership roster. Members are requested to advise Edward A. Donoghue of any corrections that should be made. 3. Adoption of Agenda. The Board approved the agenda published on the NEII web site. 4. Approval of Minutes June 22, 2010 Meeting.

THE FOLLOWING RESOLUTION WAS MADE SECONDED AND APPROVED To dispense with the reading of the June 22, 2010 meeting minutes and that they be approved with the following correction Item 7.c. correct title to read “ASME A17.3 and IUEC/EIWPF”.

5. Reports. a. President. Randy Wilcox reported he had no issues beyond those on the agenda.

He thanked Barry Pletch for his service on the NEII Board of Directors and wished him well upon his retirement at the end of the year.

b. Treasurer. Steve Patton reviewed the 2010 budget report (Attachment #4) and

responded to questions.

THE FOLLOWING RESOLUTION WAS MADE SECONDED AND APPROVED To accept the written report (Attachment #4) and oral report of the Treasurer, Stephen Patton.

c. Administrator. Edward A. Donoghue reported on recent updates to the NEII

website.

d. NEII Government Affairs Committee. John Karnash gave an oral report for the NEII Government Affairs Committee and responded to questions. He also circulated a letter sent to the EIWPF (Attachment #5). After a lengthy discussion the Board concluded the specific EIWPF programs and their cost need to be clarified. See Attachment #6 to view Mr. Karnash’s PowerPoint presentation.


The NEII Board of Directors agreed the NEII Government Affairs Committee pursue supporting the inclusion of elevators, escalators, moving walks, etc. in Federal “Green” Legislation (HR 5476).

THE FOLLOWING RESOLUTION WAS MADE SECONDED AND APPROVED To accept the NEII Government Affairs Committee oral report of Mr. John Karnash. e. NEII Central Code Committee. Louis Bialy gave an oral report for the NEII Central Code Committee and responded to questions. See Attachment #7 to view Mr. Bialy’s PowerPoint presentation.

THE FOLLOWING RESOLUTION WAS MADE SECONDED AND APPROVED To accept the NEII Central Code Committee oral report of Mr. Louis Bialy. f. NEII Communications Committee. Ms. Kellie Lindquist gave an oral report for the NEII Communications Committee including a review of the proposed 2011 NEII Public Relations Program (Attachment 8) and responded to questions. See Attachment #9 to view Ms. Lindquist’s PowerPoint presentation.

THE FOLLOWING RESOLUTION WAS MADE SECONDED AND APPROVED To accept the NEII Communication Committee oral report of Ms. Kellie Lindquist. g. NEII Code and Safety Consultant. Brian D. Black, NEII Code and Safety Consultant presented his written report (Attachment #10), and gave an oral report and responded to questions. See Attachment #11 to view Mr. Black’s PowerPoint presentation.

THE FOLLOWING RESOLUTION WAS MADE SECONDED AND APPROVED To accept the NEII Code and Safety Consultant written report (Attachment #10) and oral report of Mr. Brian Black.

h. NEII Strategic Planning Ad-Hoc Committee. Edward A. Donoghue presented

the draft NEII Long-Range Strategic Plan (Attachment #12) and gave an oral report for the NEII Strategic Planning Ad-Hoc Committee and responded to questions. See Attachment #13 to view Mr. Donoghue’s PowerPoint presentation.

THE FOLLOWING RESOLUTION WAS MADE SECONDED AND APPROVED To accept the NEII Strategic Planning Ad-Hoc Committee oral report of Mr. Donoghue.


i. EESF. Barbara Allen, Executive Director of EESF, gave an oral report for the EESF and responded to questions. See Attachment #14 to view Ms. Allen’s PowerPoint presentation. j. NAESAi Dotty Stanlaske, Executive Director of NAESAi gave an oral report on NAESAi and responded to questions. Ms. Stanlaske’s asked the NEII members assistance in providing resources for the NAESAi inspector training courses. The Board members agree to send the name of a company contact to Brian Black by November 1st. He will forward a complete list of NEII member contacts to Ms. Stanlaske. See Attachment #15 to view Ms. Stanlaske’s PowerPoint presentation.

6. NEII Government Affairs Consultant. Edward A. Donoghue reviewed the selection process for the NEII Government Affairs Consultant. NEII received in excess of 75 responses to three online posting for the position (Roll Call, Washington Post Online and Craigslist). The initial replies were filter down to thirty-three possible candidates, by the NEII Managing Director. The NEII Government Affairs Consultant Ad-Hoc Task Group reviewed those applications and arranged to interview four candidates. Of the four, two were selected to be interviewed by the Board of Directors, Amy J. Blankenbiller (Attachment #16) and Robert J. Bain (Attachment #17). After the interviews, the Board directed the NEII Government Affairs Consultant Ad-Hoc Task Group to follow-up with Amy J. Blankenbiller regarding the positions responsibilities, the resources NEII already has in place and request a revised proposal. If the revised proposal is acceptable to the NEII Government Affairs Consultant Ad-Hoc Task Group, the Secretary Edward A. Donoghue was directed to letter ballot the NEII Board of Directors. 7. Old Business.

a. NEII Performance Based Code (PBC) Project. Louis Bialy and John Karnash gave an oral report on the NEII PBC Project and responded to questions. Connie Campanella provided the Board with her views on why the PBC has not been more widely adopted in the US. The NEII Central Code Committee and NEII Government Affairs Committee will reevaluate the NEII PBC project plan, utilizing the new Government Affairs Consultant, and develop a revised strategic plan for adoption of the PBC. See Attachment #18 to view Mr. Bialy’s and Mr. Karnash’s PowerPoint presentation.

THE FOLLOWING RESOLUTION WAS MADE SECONDED AND APPROVED To accept the NEII Performance Based Code (PBC) project oral report of Mr. Bialy and Mr. Karnash. b. Trademark “NEII” and NEII Logo. Dennis Mayer reported the application has been filed and is still being processed.


c. ASME A17.3 and IUEC/EIWPF. Randy Wilcox reported this issue will be addressed by the NEII Government Affairs Committee. It was agreed to remove this item from future agendas.

8. New Business.

a. Antitrust Guide for Members of National Elevator Industry, Inc. Dennis Mayer reported for the NEII Legal Advisory Group and proposed that the NEII Antitrust Guide for Members of National Elevator Industry, Inc. be updated in accordance with the latest information posted on the U.S. Justice Dept. website (Attachment #19).

THE FOLLOWING RESOLUTION WAS MADE SECONDED AND APPROVED To accept the revisions to the NEII Antitrust Guide for Members of National Elevator Industry, Inc. in Attachment #19.

b. NEII Administration Contract. The Board reviewed the scope of the Managing Directors responsibilities and the need for succession planning.

THE FOLLOWING RESOLUTION WAS MADE SECONDED AND APPROVED To authorize the President to sign the contract in Attachment #20 with Edward A. Donoghue Associates Inc. for administration services.

c. NEII Representative to EESF. Edward A. Donoghue reported that José Manuel Upegui has resigned as the NEII Representative to EESF (Attachment #21). Otis Elevator Company nominated Dirk Winkelhake (Attachment #22) as his replacement.

THE FOLLOWING RESOLUTION WAS MADE SECONDED AND APPROVED To thank Mr. José Manuel Upegui for his service as the NEII representative to EESF and appoint Dirk Winkelhake as the NEII Representative to EESF.

9. Committee Appointments. None. 10. Membership. Edward A. Donoghue reported that Arctic Elevator has not followed through on their membership application. They have failed to pay the invoice for 2010 dues. 11. NEII 2011 Budget and Dues. Stephen Patton reviewed his draft 2011 budget (Attachment #23) and proposed the following dues schedule for 2011:


Full Regular Membership:

SALES ANNUAL DUES Assessment ‹ $5M $2,500.00

$5 - $20M $5,000.00 $20 - $50M $10,000.00

$50 - $100M $20,000.00 $100 - $500M $30,000.00 $22,000.00

$500 - $1,000M $80,000.00 $60,000.00 › $1,000M $125,000.00 $92,000.00

Associate Regular Membership:

No CodeFinder access: $500.00 Unlimited CodeFinder access for all company employees with e-mail

address using company domain: $2,000.00

Individual Membership: Up to 50 CodeFinder reports: $500.00 Unlimited CodeFinder reports: $1,000.00

THE FOLLOWING RESOLUTION WAS MADE SECONDED AND APPROVED To accept the NEII 2011 budget in Attachment #23, and establish the 2011 members’ annual dues and assessments as proposed, with the assessment to be reevaluated at the April 26, 2011 NEII Board of Directors meeting and billed in May 2011.

12. Meeting Schedule. The following future meeting schedule was established:

December 14, 2010 1:00 PM EST Teleconference Meeting February 8, 2011 1:00 PM EST Teleconference Meeting April 26, 2011 Host – ThyssenKrupp Elevator Corp. - Chicago, IL area NEII Full Regular Member Annual Meeting NEII Trust Member Annual Meeting NEII Board of Directors Meeting June 21, 2011 1:00 PM EDT Teleconference Meeting September 13, 2011 NAEC, New Orleans, LA


December 6, 2011 1:00 PM EST Teleconference Meeting 13. Adjournment. The meeting adjourned at 3:45 PM. Respectfully Submitted

Edward A. Donoghue, CPCA NEII Secretary Attachments: 1. Proxy of Jakob Zueger 2. Proxy of Barry Pletch 3. NEII Board of Directors Roster 4. Treasurer Report for 2010 5. Letter to EIWPF 6. NEII Government Affairs Committee Power Point 7. NEII Central Code Committee Power Point 8. NEII Communication Committee 2011 Public Relations Program 9. NEII Communication Committee Power Point 10. NEII Code and Safety Consultant Report 11. NEII Code and Safety Consultant Power Point 12. NEII Long Range Strategic Plan 13. NEII Long Range Strategic Plan Power Point 14. EESF Power Point 15. NAESAi Power Point 16. Amy J. Blankenbiller Resume and Proposal for Government Affairs Consultant 17. Robert J. Bain Resume and Proposal for Government Affairs Consultant 18. Performance Based Code Power Point 19. Antitrust Guide for Members of National Elevator Industry, Inc. 20. NEII Administration Contract 21. Resignation of José Manuel Upegui to EESF 22. Otis Elevator Company nominated Dirk Winkelhake to EESF 23. NEII 2011 Budget h:\wpdocs\neii board of directors\2010\09-28 minutes.docx

PROXY

BOARD OF DIRECTORS MEETING OF NATIONAL ELEVATOR INDUSTRY, INC.

The undersigned, being a member in good standing of the Board of Directors of National Elevator Industry, Inc., a New York Corporation, does hereby constitute and appoint John S. M. Karnash, with the power to be exercised by him and vote as the proxy of the undersigned at the Board of Directors meeting of National Elevator Industry, Inc. to be held on the 28th day of September 20 I 0 with respect to all matters as may come before the meeting.

The foregoing authorization shall expire at the close of aforementioned Board of Directors meeting.

IN WITNESS WHEREOF, the undersigned has caused this proxy to be executed by its authorized office this 151), day of St'Pfembe r ,2010. ,

Schindler Elevator Corporation (Company)

Jakob Zueger, Chief Executive Officer (Name and Title)

(Signature)

ATTACHMENT # 1 Page 1 of 1

PROXY

BOARD OF DIRECTORS MEETING OF NATIONAL ELEVATOR INDUSTRY, INC.

The undersigned, being a member in good standing of the Board of Directors of National Elevator Industry, Inc., a New York Corporation, does hereby constitute and appoint Eric Scrudders, with the power to be exercised by him and vote as the proxy of the undersigned at the Board of Directors meeting ofNational Elevator Industry, Inc. to be held at Cincinnati, OH on the 28th day of September, 2010 with respect to all matters as may come before the meeting.

The foregoing authorization shall expire at the close of aforementioned Board of Directors meeting.

IN WITNESS WHEREOF, the undersigned has caused this proxy to be executed by its authorized office this 15th day of September , 2010

ThyssenKrupp Elevatof _____________ (Company)

(SIgnature)

c\"'Pdocs\neii\nell directors meeting proxy.doc


Board of Directors

Name MICHAEL CORBOTitle GENERAL MANAGERCompany MITSUBISHI ELECTRIC & ELECTRONICS USA, INC.Address 5665 PLAZA DRIVE, P.O. BOX 6007City CYPRESS State CA Zip Code 90630-0007

E-Mail [email protected]

432

Notes

MemberCategory

Phone 1 220-4822 Extension

Phone 2

Fax 1 220-4812Mobile

714Area Number Area Number

714

Country UNITED STATES

Name EDWARD A. DONOGHUETitle CODE AND SAFETY CONSULTANT TO NEIICompany EDWARD A. DONOGHUE ASSOCIATES INC.Address 1677 COUNTY ROUTE 64, P. O. BOX 201City SALEM State NY Zip Code 12865-0201


339

Notes

SecretaryCategory


Phone 2

Fax 1 854-3257Mobile 796-0095


518518


Name STEPHEN D. PATTONTitle

Company OTIS ELEVATOR COMPANYAddress ONE FARM SPRINGS ROADCity FARMINGTON State CT Zip Code 06032


732

Notes

TreasurerCategory


Phone 2



860


Monday, September 13, 2010 Page 1 of 3


Board of Directors

Name BARRY PLETCHTitle CEOCompany THYSSENKRUPP ELEVATOR CORPORATIONAddress 2500 NORTHWINDS PARKWAY, SUITE 375City ALPHARETTA State GA Zip Code 30009-2243


622

Notes

MemberCategory


Phone 2 940-3629



519678


Name VANCE TANGTitle PRESIDENT AND CEOCompany KONE INC.Address 4225 NAPERVILLE ROAD, SUITE 400City LISLE State IL Zip Code 60532


708

Notes

MemberCategory


Phone 2

Fax 1 955-3179Mobile 519-5410


630818


Name RANDY WILCOXTitle PRESIDENT, OTIS N & S AMERICACompany OTIS ELEVATOR COMPANYAddress ONE FARM SPRINGSCity FARMINGTON State CT Zip Code 06032-2500


501

Notes

MemberCategory


Phone 2



860




Board of Directors

Name KEIJI "KENNY" YAMASHIROTitle PRESIDENT & COOCompany FUJITEC AMERICA, INC.Address 7258 INNOVATION WAYCity MASON State OH Zip Code 45040


733

Notes

MemberCategory


Phone 2



513


Name JAKOB ZUEGERTitle CEO SCHINDLER ZONES AMERICACompany SCHINDLER ELEVATOR CORPORATIONAddress 20 WHIPPANY RD., P. O. BOX 1935City MORRISTOWN State NJ Zip Code 07962-1935


775

Notes

MemberCategory


Phone 2



973




NATIONAL ELEVATOR INDUSTRY, INC.YTD August 2010

2010 YTD Plan TOTAL LE VarPlan Q1 Q2 Q3 Q4 Actual Variance LE to Plan

Ordinary Income3010 · Members Dues 1,203,500 950,500 260,500 2,000 - 1,213,000 9,500 1,213,000 9,5003011 · Individual Members Dues 1,000 1,500 1,000 3,500 3,500 3,5003020 · Other Income 4,250 4,431 (179) - - 4,252 2 4,252 23030 · Code Finder - 2,500 - - - 2,500 2,500 2,500 2,500Total Income 1,207,750 958,431 261,821 3,000 - 1,223,252 15,502 1,223,252 15,502

Expense1000 · Administrative1010 · Administrative Services 36,000 6,000 9,000 6,000 - 21,000 15,000 36,000 01020 · Accounting/Auditing 3,500 - 2,910 300 - 3,210 290 3,860 (360)1030 · Insurance 9,000 - 5,992 - - 5,992 3,008 5,992 3,0081040 · Professional Fees 7,000 2,666 16,231 2,607 - 21,504 (14,504) 25,000 (18,000)1050 · Office Expense 1,000 324 - - - 324 676 486 5141110 · Supplemental Pension 4,267 1,067 1,067 711 - 2,845 1,422 4,267 01120 · Postage & Delivery 1,500 198 382 212 - 792 708 1,188 3121130 · Telephone 7,500 1,209 1,473 1,497 - 4,178 3,322 6,267 1,2331140 · Stationery, Printing & Supplies 4,000 461 1,326 573 - 2,359 1,641 3,539 4611150 · Depreciation & Amortization 70,000 - - - - - 70,000 70,000 01170 · Bank Charges - - - - - - - 0 01180 - Misc. Administrative Expenses 500 - - - - - 500 300 2001190 · Contingency 50,000 - - - - - 50,000 0 50,000Total 1000 · Administrative 194,267 11,924 38,381 11,900 - 62,204 132,063 156,899 37,368

2000 · Operating2010 · Advertising & Public Relations 98,500 9,724 32,587 15,243 - 57,553 40,947 95,000 3,5002020 · Code 49,300 3,897 8,569 3,539 - 16,005 33,295 35,000 14,3002040 · Consultant - Codes 109,180 17,749 30,847 15,000 - 63,596 45,584 104,596 4,5842050 · Dues & Subscriptions 2,000 - - - - - 2,000 750 1,2502060 · EESF 30,000 - 15,000 - - 15,000 15,000 30,000 02070 · Legal 25,000 - - - - - 25,000 0 25,0002080 · GAC Services 535,000 84,451 185,653 67,105 - 337,209 197,791 535,000 02085 - Consultant - GA 150,000 - 1,215 - - 1,215 25,000 125,0002090 · Meetings 6,000 - - - - - 6,000 2,000 4,0002100 · Travel 3,000 196 1,031 - - 1,226 1,774 2,000 1,000Total 2000 · Operating 1,007,980 116,017 274,901 100,886 - 491,804 516,176 829,346 178,634

Total Expense 1,202,247 127,941 313,282 112,786 - 554,008 648,239 986,245 80,161

Net Ordinary Income 5,503 830,491 (51,461) (109,786) - 669,244 663,741 237,007 37,409

Other Income/(Expense)3040 · Interest Income 2,000 162 1,010 206 - 1,377 (623) 1,450 5503050 · Annuity Income 4,260 - - - - - (4,260) 0 4,260Net Other Income/(Expense) 6,260 162 1,010 206 - 1,377 (4,883) 1,450 4,810

Net Income 11,763 830,653 (50,451) (109,580) - 670,621 658,858 238,457 226,694

Trust Committee3015 · Trust Members Dues 12,000 12,000 - - - 12,000 - 12,000 02045 · Consultant - Trust 2,000 800 1,200 800 - 2,800 (800) 4,200 (2,200)1015 · Trust Administration 3,500 386 864 54 - 1,305 2,195 1,957 1,543Trust Net Income 6,500 10,814 (2,064) (854) - 7,895 1,395 5,843 (657)



ASSOCIATION HEADQUARTERS

1677 County Route 64· P.O. Box 838· Salem, New York 12865-0838·518.854.3100 Fax: 518-854-3257

WWW .NEILORG· E-Mail : info@neiLorg

September 16, 2010

Mr. Robert Matisoff O'Donoghue & O'Donoghue LLP 4748 Wisconsin Avenue, N.W. Washington, DC 20016

Re: Elevator Industry Work Preservation Fund (EIWPF)

Dear Mr. Matisoff:

Sent via Email and Regular Mail

Thank you for your email of May 19, 2010 regarding the status of NEil 's annual review of the EIWPF's audited financial statements. Please be advised that, as Chairman of NEil 's Government Affairs Committee, I have been authorized by Board Resolution to represent NEil in connection with all matters regarding its rights and interests under the Agreement and Declaration of Trust of the EIWPF (Trust Agreement).

As we know, the purpose of the Fund and the powers and duties of its Trustees are respectively set forth in Articles II and IV of the Trust Agreement. While NEil appreciates your characterization of Trustee powers and duties and by implication NEil's, it must be noted that they are exercised in the context of the language and intent of Articles II and Article IV. Those Articles emphasize that the Fund shall not be used for any purpose or funding " ... which is contrary to the interest of any Employer signatory to the Standard Agreement..." (Article II m.) and that the Trustees' authority regarding Fund administration and revenues is "[s]ubject to the stated purposes of the Fund" (Article IV, Section 7).

Both the letter and spirit of the Trust Agreement therefore clearly provide for both a check and balance (not contrary to any Signatory Employers' interest) on the Trustees' "general supervision" as well as transparency and cooperation amongst the parties. The latter is further emphasized by virtue of the Fund's requirement to provide copies of the its annual audit and Trustee meeting records (Article IV, Section 6). Without this balance of interests and transparency being realized and verified , NEil members must question the appropriateness of their ongoing contributions to the Fund .

Recognizing the foregoing, NEil looks forward to a candid discussion of the Fund Audited Financials for June 30, 2009 and 2008 just received and the review of its numerous programs and activities. I will contact Jesse about scheduling this meeting for a mutually convenient date and location during October. Thank you, the Trustees and the EIWPF for your anticipated cooperation .

hairman, Government Affairs Committee 73-397-6580

[email protected]

Board of Directors - NEil Ed Donoghue, Managing Director - NEil Government Affairs Committee


1

GAC: REPORT/UPDATENEII Board Meeting

Presentation To:

NEII Board of Directors

September 28, 2010

Presented By:

John S. M. Karnash

Chairman, GAC

2

I. Model Elevator Law (MEL) – EIWPF (Fund)

A. Meeting to be Scheduled for 4th Q, 2010:

• Overview of MEL Progress and Key Issues

• MEL Rev. 4 – Platforms / Stairway / Residential

• Target States for 2011

• Review of Fund’s Financial Statements– Received Report for June 30, 2009 and 2008 on 9/7/10

2009 2008

Net Assets > $20,940,711 $14,845,790

Employee Receipts > $ 8,989,386 $ 9,014,619

Total Expenses > $ 4,357,537 $ 4,271,273

Administrative Expenses > $ 2,770,902 $ 2,526,673

3

• NEII Response to Fund Counsel’s email re administration / finances / meeting

Fund > Trustees have “sole supervision and authority”“Informational meeting only”

NEII > Cannot act “contrary to the interest” of any signatory company.

Without balance of interests and transparency,NEII “must question the appropriateness” ofcontributions.

• Review of Fund’s Programs and Organizations

– Fund Presentation immediately preceding Meeting

• Performance Based Code (PBC) Support

4

B. MEL (or MEL-like) statutes have been passed in 19 states to date. Recurring issues:

• “Supervision” of Helpers / Apprentices

• Emergency and Temporary Licensing

• Establishment of Elevator Boards

• Locals’ Conduct

• Non-Union Company Opposition


2

5

C. States Identified by Fund for 2010 - 2011:

New (2011) Ongoing (2010)

Alaska Hawaii New Jersey

Idaho Iowa* Ohio*

Louisiana Kentucky* Pennsylvania*

Mississippi Maine* Tennessee

New York Nebraska* Utah*

North Dakota New Mexico West Virginia*

South Dakota*

* = Lobbyist Retained By Fund

6

D. States Identified by GAC for Activity in 2010 –2011:

• Arizona • Illinois

• Connecticut • Maryland

• Delaware • Massachusetts

• District of Columbia • Missouri

• Florida • Nevada

• Hawaii • Oklahoma

7

II. Key States Update – GAC Identified StatesAZ

• H.B. 2228, private QEI legislation, was introduced in 1/10, signed 4/16/10 and effective 8/1/10.

• Owner / operator now responsible for annual inspection.

CA

• Inspection issues are developing… monitoring.

DC

• Tracking bill that would eliminate an elevator rep from Industrial Trades Board.

FL

• Condo exemptions on insurance, inspections, customer lock boxes, etc. proposed in fourteen (14) bills.

• Workshops held over summer… attended by local rep and consultant. Assessment in 4th Q to support or oppose.

8

HI

• H.B. 2304 conflicted with the CBA’s requirements on mechanics/ helpers staffing levels (ratio).

• Bill was amended back to its original language mandating display of licenses at site.

• GAC and lobbyist to review statute and CBA for next session.

IL

• H.B. 5700… church exemption from Elevator Safety Act.

• GAC and companies’ representatives working on proposed Administrative Rule amendment regarding cessation of maintenance on conveyances without current certificate… retained lobbyist.

• Referred to House Rules Committee… General Assembly reconvenes 11/16/10.

• PBC Inclusion Rules… language acceptable but likely insufficient votes to support.


3

9

MD

• GAC has retained lobbyist regarding S.B. 265 that proposes exemption of small assisted living facilities (LULA exemption) and third-party inspection issues with Chief Inspector.

MA

• Dept. of Public Safety (DPS) actions contrary to codes, permits, inspections / reinspections, test teams and fees.

• GAC, its lobbyist and companies’ representatives have attended Task Force Meetings.

• DPS recently posted inspection criteria and fifteen (15) new inspectors have been authorized.

MO

• GAC notified Dept. of Public Safety via 3/9/10 letter regarding proposed licensing… most of statute mirrors MEL Rev. 3.

• “Direct Supervision”, ratio and qualifications are areas of concern.

• Working with IUEC and lobbyist.10

NV

• Fire-testing issue with IUEC rep functioning as head of Advisory Board… working with lobbyist.

III. Key States Update – MEL Rev. 3

TN

• Fund has submitted MEL Rev. 3 to blend into S.B. 3261 (licensing)… failed on adjournment on 6/10/10.

IA

• Licensing measure was again defeated by opposition from ASME and independents.

OH

• Associated Builders and Contractors opposing current legislation.

KY

• Bill based on MEL Rev. 3 was passed in 1st Q.

11

NM

• NEII and Fund are members of Advisory Group. MEL Rev. 3 was submitted but is not reflected in current draft… must address with “bill writers”.

PA

• Legislation likely to be pushed to next session… being reviewed.

NJ

• Legislation likely to be pushed to next session… being reviewed.

IV. Federal “Green” Legislation

• HR 5476… introduces financial incentives to retrofit buildings with energy-efficient equipment and materials.

• Amendment to include elevators, escalators, moving walks… proposed by IUEC rep… currently being assessed.

12

V. Destination-Oriented Elevators – San Francisco & CA

• AB-090 is a consensus document and the result of extensive work with the Access Appeals Commission (AAC), Department of Building Inspection, committees.

• NEII Code Consultant 3/10/10 letter supporting adoption of AB-090 to the San Francisco Building Inspection Commission… adopted on 3/17/10.

• Walter Park (former President of AAC) is advocating adoption by the state. SEC, Otis and TKE site visits in San Francisco and Los Angeles.


4

13

VI. NEII Government Affairs Consultant

• Position was posted on 4/16/10 on those sites recommended by Stateside and endorsed by GAC, i.e. Craigslist and Washington Post online.

• Task Group interviewed four (4) semi-finalists on 8/26/10. Two (2) finalists selected therefrom for Board consideration today.

14

VII.Budget – 2011

• Legislative and regulatory activity continues to increase + PBC campaign.

• Continue to utilize Fund’s lobbyists / influencers where possible on MEL matters.

• GAC retained lobbyists have increased in 2010 due to a number of non-MEL issues.

• Lobbying Expenditure as of 9/15/10 (excluding PBC): $147,000 (paid)

• Continue active participation of GAC members in process… “proactive” approach.

15

• Projected 2011 Expenses: Proposed Budget

Stateside Associates – Legislative Monitoringand Regulatory Forecasting $111,000

MEL Database and Safety Board Directory $ 18,000

Lobbying / Related Activities $150,000

Estimated PBC Budget $270,000

Estimated Total Expenses $549,000

[Expenses – Consultant $150,000]

Proposal to Board $550,000


1

Central Code CommitteeReport

Presentation to:NEII Board of Directorsand General MembershipCincinnati, OHSeptember 28, 2010

Presented by:Lou BialyCentral Code Committee

Confidential 2

Introduction

• Status of AECOs is discussed

• PBC enhancement activity is discussed

• The status of CodeFinder is briefly discussed.

• The status of A17.6 Standard for Means of Suspension is discussed

• The status of Global Technical Barrier Free Trade is discussed

• Other code issues and activities of the CCC are discussed

Confidential 3

Update on AECOs

• AECOs more involved in NA code issues

– AECOS are making presentations at NAESA meetings

– AECOs promoting PBC to AHJs

– All three AECOs attended recent A17 Standards Committee Mtg and New Technology Mtg

– UL conducted a webinar which was well attended

.Confidential 4

Planned Enhancements to A17.7/B44.7 PBC

• The New Technology Committee met to discuss enhancements to the PBC

– Inclusion of Escalators

– Processes to deal with non-mainstream devices

• Wind Turbine Elevators

• Outside Emergency Elevators

– Clarification of various aspects of the standard to make it more user friendly

.


2

Confidential 5

CodeFinder Data Base

• CodeFinder continues to be a success story.

• Feedback from users of CodeFinder indicate that it adds value

– Positive feedback from AECOs that use it

• Enhancements to CodeFinder being studied by CCC

Confidential 6

Standard for Suspension Means

• A17.6-2010 Standard for Elevator suspension, Compensation, and Governor Systems published July 30, 2010

– The standard covers all suspension means (SWRs, AFRs, CSBs) as well as compensation means and governor ropes.

– This is the culmination of ten years work in the face of several setbacks. NEII members were active drivers.

Confidential 7

Global Technical Barrier Free Trade (GTBFT)

• Aim is to establish a worldwide set of standards that will reduce technical barriers to trade and improve safety

– Global Performance Based Standards per ISO 22559

– Global ISO/CEN Prescriptive Standard based on EN 81

– Global Conformity Assessment Bodies (GCABs)

– Global recognition of certificationsConfidential 8

Global Technical Barrier Free Trade

• Steps towards GTBFT:– Convert ISO TS 22559 Performance Based

Requirements to an ISO Standard which can be adopted Worldwide

– Revision of EN 81 using input from US, Japan, China, Korea, and PALEA to make it more global (publication 2012/2013)

– Convergence of key components under ISO TC 178 (Door Locks, Buffers, Safeties, Governors, Brakes)

– Ultimate creation of ISO/CEN Prescriptive Code


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Confidential 9

ISO TC 178 Committee Update

• ISO TC 178 Plenary Committee last met in Beijing, Apr 2010

• Next Mtg of TC 178 Plenary Committee will be in Moscow, Nov 2011

• Following meeting is being considered for US in Mar/Apr 2013

Confidential 10

ISO Draft Technical report on Sudden Stops

• ISO TC 178 /WG4 commenced a study some time ago on the suitability of parameters for sudden stops

– George Gibson has drafted a major study with far reaching effects. The report recommends “softer stops” for safeties and brakes.

– Product liability exposure is cited

Confidential 11

ISO Draft Technical report on Sudden Stops

• NEII CCC and GAC studied the draft document and will submit comments

– Comments are of a constructive nature

– Technical report should not include product liability issues

– Substantiation of recommendations is required


August 31, 2010 TO: NEII Board of Directors FR: NEII Communications Committee RE: 2011 NEII Public Relations Program

CC: Jackie Franzese/Luke Lambert, G&S

The following document outlines the proposed 2011 Public Relations plan and budget for the

National Elevator Industry, Inc. (NEII). As in past years, the communications committee has

identified the following objectives and priorities consistent with NEII’s Long Range Strategic Plan.

PUBLIC RELATIONS PROGRAM:

OBJECTIVES

1. Promote the value of NEII in an effort to increase overall membership and membership

involvement

2. Promote industry trends that NEII and its member companies support (e.g. advancement of

new technologies, sustainability, safety, etc.)

3. Position NEII as an expert on building transportation codes, standards and safety Promote and

support the ongoing activities of NEII committees including the Central Codes Committee,

Safety Committee, Government Affairs Committee, Architectural Standards Committee, etc.

4. Precondition the market place for favorable code adoption

5. Manage communication issues that impact the industry and its members and continuously work

to strengthen NEII’s crisis response plan, positioning the industry as organized and responsible

STRATEGIES

Define high-impact, consistent messages and recommend communication strategies that

promote the value of the industry

Augment/improve existing communication tools, e.g. NEII NOW, to continue to add value to

current NEII members and generate interest with new members

Develop new tools as necessary that will help encourage adoption of various codes and

standards and forward the overall objectives outlined in the NEII Long Range Strategic Plan

Serve as a resource for communicating industry information to the media and public

Target trade and consumer media


2

Utilize NEII and PBC websites as conduits to reach NEII’s specified audiences

Monitor the media and other industry sources and provide regular updates to the association

and its committees on issues and trends

Assist the committees in communicating NEII’s position on industry initiatives and help educate

members about the positive contributions these committees make to the industry

Work closely with the NEII Government Affairs and Central Codes Committees and

Stateside Associates to develop strategies and tactics that encourage further adoption

of the PBC and the new ASME A17.6 Suspension Standard

Conduct outreach to industry associations with similar goals for co-sponsorships and joint

initiatives including an expanded circle of influencers such as architects, specifiers, builders

and contractors

TARGET AUDIENCES

Building transportation industry

NEII members (Regular, Individual and Trust)

Industry associations and groups

AIA, BOMA, IUEC, EESF, NAESAi, IAEC, NAEC, NEIEP, etc.

Legislators, regulators and consultants; Authorities Having Jurisdiction (AHJs)

Building owners, operators and managers, maintenance contractors, inspecting authorities

Media (trade, national and regional print/broadcast)

TACTICS

NEII NOW e-Newsletter: Member Communications

Develop/write content and manage the editorial process for NEII NOW electronic newsletter. In

order to provide value to members, G&S recommends continuing a semi-annual distribution.

Target publication dates are March 15, June 30, and October 19. Newsletter to serve as a

resource for members and will feature association news, committee developments, report on codes

and safety standards, and offer updates on industry issues, trends and people.

Estimated Budget: $15,000 (approximately $5,000 per issue); Includes out-of-pocket expenses for

layout and design services


3

Media Relations, Responsive News Bureau:

Implement a highly targeted media relations strategy for 2011 that is focused on fielding questions

and providing information to interested media and communicating a point of view on industry

leadership issues, codes and standards, and trends, including the Performance Based Code and

the new ASME A17.6 Suspension Standard. Continue to assist the NEII Communications

Committee in promoting new committee achievements and managing the association’s response

to issues. Provide regular news and information to the media that promotes new association

developments and industry trends (Energy Efficiency, Destination Dispatch, etc.). Ongoing media

relations tactics include, but not limited to, press releases, media statements, Q&A’s, interviews

and monitoring the media for industry coverage.

Estimated Budget: $12,000 (approximately 90 hours); Includes media research, monitoring and

distribution expenses as well as magazine subscriptions as required

MAT Release:

Develop one (1) newspaper MAT release on the topic of escalator/elevator safety for distribution to

a national newspaper service. Distribute in conjunction with Elevator Escalator Safety Awareness

Week or timed with heavy-use season.

Estimated Budget: $7,000 (includes distribution service fee)

Industry Influencer Campaign:

Through discussions with Stateside Associates, other industry partners and members of the NEII

GAC and CCC, we have determined a need for more targeted communication tactics that directly

reach key influencers to advance the adoption rate of the PBC, new Suspension Standard, ASME

A17.6 and other pertinent codes and standards programs. Stateside Associates, AECOs, and

other industry influencers currently contribute the slow rate of adoption of the PBC, for example, to

the lack of understanding about its role and benefits. In addition, in some instances, AHJs even

see the PBC as a threat to their current roles and responsibilities.

Through targeted, more direct communication, we aim to reduce these barriers to adoption by

clearly demonstrating through education the features and benefits of revised codes and standards.

This would be done through use of case studies and testimonials and promotion of positive lessons


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learned from AHJs, inspectors, installers and contactors, who have successfully adopted or

interacted with technology that has been through the process . This is a direct, low cost way to

move the needle. Success will be measured by the increased rate of adoption as well as anecdotal

feedback from industry participants. Specific tactics will include:

Influencer E-mail campaign:

Working closely with the NEII Government Affairs Consultant, Stateside Associates, and the GAC,

CCC and COM committee members, G&S will develop and distribute an e-mail campaign to

important industry constituents. This distribution list will be developed in partnership with key

industry associations, including AIA, BOMA, NAESA, NAECi, IAEC, ICC and AHJs as possible.

Additionally, as appropriate, we will include association newsletters. Content will include news

updates about code adoption and success stories. G&S recommends five (5) distributions is 2011

and that the communication be formatted and distributed as an HTML e-mail that could also be

posted “live” on the NEII and PBC Websites.

Industry Presentations:

Develop two (2) educational programs offering CEU (Continuing Education Unit) credit through live

(in-person) or Webinar style presentations targeted at key industry influencers. This expanded

circle of influencers will provide a broader base of care and support for NEII initiatives, including

the PBC, ASME A17.6 Suspension Standard and adoption of codes in key markets. Collaborating

with industry associations such as AIA, BOMA, NAESAi, NAEC and the IAEC, and offering these

programs in conjunction with annual conventions, will allow NEII to reach a broader base of

building owners, architects, builders, contractors and specifiers, as well as appropriate trade and

business media, with messages that will help influence targeted audiences in a favorable manner.

G&S will assist in developing these presentations, identifying topics and venues for delivering

them; and promoting the events via targeted e-mail campaigns, media alerts, NEII Now, and the

NEII and PBC Websites. Presentation formats will be determined according to available

opportunities and include webinars, seminars, panel discussions, etc.

Estimated budget: $40,000 (approximately 265 hours); Includes pitching, development, production,

promotion, distribution, measurement and technology


5

Strategic Planning, Counsel and Management

G&S will provide ongoing strategic communications counsel, participate in regular planning

meetings and teleconferences, and provide overall management and coordination of NEII’s public

relations program and process. In addition, G&S will develop monthly activity/budget status

reports, develop biannual program updates for presentation at NEII Board of Directors’ meetings,

and provide ongoing counsel to NEII’s Communication Committee and Legal Advisory Group on

key issues.

Estimated Budget: $30,000 (approximately 200 hours)

2009 ESTIMATED BUDGET SUMMARY

NEII NOW e-newsletter (3 issues) $15,000 Media Relations $12,000 Newspaper MAT Release (1) $ 7,000 Industry Influencer Campaign $40,000 Strategic Planning, Counsel and Management $30,000 ____________________________________________________________________________ TOTAL ESTIMATED BUDGET: $ 104,000

# # #

h:\wpdocs\neii\public relations programs\neii 2011 public relations program.doc


1

NEII Communications Committee Update

Fall Board MeetingSeptember 2010

Kellie Lindquist, Communications CommitteeMarketing Manager,

KONE Inc.

Year-end review…

• Proactive Media Relations– Press releases

• NEII Announces New 2010 Board of Directors and Trust Committee

– All releases posted for media and member reference on the public area of www.neii.org.

• On-line press room maintained

2010 Year-End Recap• MAT Release

– Riding Escalators: A Summer Safety Reminder

• Total Placements: 777• Online Site Audience: 2,372,510• Print Circulation: 138,740

• Reactive Media Relations– Media requests and statements

• Elevator safety information• Codes information• Crocs-related media inquiries

– Trade magazines– National/regional

newspapers– Media monitoring for elevator

industry news

2010 Year-End Recap


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2010 Year-End Recap

• Issues Management– Crocs

• Communications Committee continued to monitor and manage issue

– Created periodic news and issue monitoring reports

– Offered strategic counsel

– Diminished frequency of news stories may indicated a reduced threat to the industry

2010 Year-End Recap• Podcast

– Educate target audiences (inspectors, consultants, architects, building owners, AHJ’s, etc.) PBC and encourage adoption and implementation

• Participants– Ed Donoghue, managing director, NEII, moderator – Lou Bialy, Chair, NEII Central Codes Committee – Liftinstituut, TUV SUD and Underwriter Laboratories – Jonathan Brooks, Jim Coaker and Dean McLellan

• Placed with appropriate trade and business media, related associations, and posted on the NEII and PBC Web sites in October 2010.

2010 Year-End Recap• Webinar

– Topic: ASME A17.6 Suspension Means Standard

– Presented by Lou Bialy and Miles Lamb

– Scheduled for December 8th, 2010

– Co-sponsored by ASME and NAESAi

– Resulting Q&A incorporated into the FAQ section of the NEII Web site

• Member e-Newsletter: NEII NOW– 3 issues per year

• Spring, Summer and Fall/Winter

– Content strengthened through increased member editorial contributions and committee reports

– Broader audience reached when member companies republished articles

– Reprints of newsletter articles used in industry trade publications

2010 Year-End Recap


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2010 Year-End Recap

• Strategic Planning Initiatives– 2011 public relations plan

– Annual committee meeting and periodic planning conference calls

– Monthly activity and budget status reports

– Ongoing strategic counsel

– Assisted in developing NEII Long Range Strategic Plan

• Provided input in Committee Mission Statement and Charter

A Look Ahead…2011 Communications Plan

2011 Communications Objectives• Increase overall

membership and involvement by promoting value

• Promote industry trends NEII supports (e.g. advancement of new technologies, sustainability, safety, etc.)

2011 Communications Objectives

• Position NEII as an expert on building transportation codes, standards and safety

• Promote and support the ongoing activities of the various NEII committees

• Precondition the marketplace for favorable code adoption

• Manage communication issues that impact the industry and its members

• Strengthen NEII’s crisis and media response plan


4

2011 Communications Strategies

• Define high-impact, consistent messages and recommend communication strategies that promote the value of the industry

• Improve existing communication tools, e.g. NEII NOW, to continue to add value to current NEII members and generate interest with new members


• Develop new tools that encourage adoption of codes and standards and objectives outlined in NEII Long Range Plan

• Serve as resource for communicating NEII’s position to the media and public– Utilize NEII and PBC Websites as conduits to reach NEII’s

specified audiences

• Monitor industry issues and trends


• Educate members about the positive contributions NEII committees make to the industry

• Create an expanded circle of influencers through outreach to other industry associations

Target Audiences

• Building transportation industry• NEII members (Regular, Individual

and Trust)• Industry associations/groups• AIA, BOMA, IUEC, EESF, NAESAi,

IAEC, NAEC, NEIEP, etc.• Legislators, regulators and

consultants; AHJs• Building owners, operators and

managers, maintenance contractors, inspecting authorities

• Media (trade, national and regional print/broadcast)


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2011 Communications Tactics• Publish NEII NOW e-Newsletter: Member Communications

– 3 issues: Spring, Summer and Fall/Winter– First issue posted March 2011

• Media Relations, Responsive News Bureau– Focus on industry leadership issues, codes and

standards, and trends, including the Performance Based Code and the new ASME A17.6 Suspension Standard.

• Develop MAT release on the topic of escalator/elevator safety in conjunction with Elevator Escalator Safety Awareness Week

2011 Communications Tactics

• Industry Influencer Campaign:– Implement communications tactics that directly reach

key influencers to advance the adoption rate of the PBC, ASME A17.6 and other codes and standards programs

– Utilize relationships with Stateside Associates and other industry partners/members of the NEII GAC and CCC


• Industry Influencer Campaign cont’d:– Influencer E-mail campaign:

• Work closely with the NEII Government Affairs Consultant, Stateside Associates, the NEII Code and Safety Consultant, and the GAC, CCC and COM committee members to develop and distribute e-mail campaign

– Industry Presentations: • Develop two (2) educational programs offering CEU

(Continuing Education Unit) credit through live (in-person) or Webinar style presentations targeted at key industry influencers

• Ongoing Media Relations– Respond to editor inquiries regarding topics such as

safety, codes and standards, and energy efficiency– Develop a leadership position on the issue of energy

efficiency and the contributions elevators and escalators can make for buildings

– Develop periodic press releases, white papers, by-line articles for key trade publications



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• Maintain 2011 strategic communications plan– Develop 2012 public relations plan

• Deliver ongoing strategic counsel• Offer Issue Counsel and Management• Annual committee meeting and direct periodic

planning conference calls (held March 2011)• Manage monthly activity and budget status

reports

2011 Estimated Budget

• Media Relations $12,000• Newspaper MAT Release (1) $ 7,000• Industry Association Educational Programs $40,000• NEII NOW e-newsletter (3 issues) $15,000• Strategic Planning, Counsel and Management $30,000

Estimated Budget $104,000

Questions?Thank you!



CODE & SAFETY OFFICE

4034 North Hampton Brook Drive • Hamburg, New York 14075 • 585.302.0813 Fax: 585.302.0841

WWW.NEII.ORG • E‐Mail: [email protected]

NEII ASSOCIATION HEADQUARTERS

1677 County Route 64 • P.O. Box 838 • Salem, New York 12865‐0838 • 518.854.3100 Fax: 518‐854‐3257

BOARD OF DIRECTORS MEETING September 28, 2010

Code and Safety Consultant’s Report 1. Central Code Committee 1.1 NEII Representation on Codes and Standards Committees

NEII continues to participate in the codes and standards committees of ASME, ICC, NFPA and other code development bodies. Brian Black serves on the majority of these as NEII’s Code and Safety Consultant while numerous member company employees exercise their expertise on code committees related to the electrical codes, fire doors, employee safety, and other areas important to our industry.

1.2 Local Elevator Codes

NEII’s contract with Stateside Associates to provide a weekly summary of cities, states, provinces and territories that have adopted the ASME A17.7-2007/B44.7-07 Performance Based Safety Code continues to be a valuable tool for monitoring adoption (or not) of the PBC. A separate Stateside Associates report provides a weekly overview of adoptions in all fifty states, allowing both the Central Code Committee and Government Affairs Committee to keep abreast of local code issues.

Illinois, Iowa, Nevada and the City of Chicago have adopted the ASME A17.7-2007/B44.7-07 Performance Based Safety Code, as have eight provinces and the Northwest Territories. New York State is updating its building code in January 2010 to reference ASME A17.1-2007/B44-07 and has acknowledged that the Performance Based Code will be effective in the state at that time. We remained concerned about jurisdictions like Alabama, Oklahoma and Rhode Island that have adopted ASME A17.1-2007/CSA B44-07 without amendments but do not acknowledge the resulting adoption of ASME A17.7-2007/CSA B44.7-07 by reference. Arizona, Georgia and Texas have specifically prohibited use of the Performance Based Code in their adoptions of ASME A17.1-2007/CSA B44-07.

1.3 Electrical Codes

The 2011 edition of the National Electrical Code® will be published and available October 10, 2010. A summary of changes in the 2008 edition has been posted on the NEII website in the members’ area. A Summary of changes will be prepared and posted on the NEII website for the 2011 National Electrical Code ®.


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The current Canadian Electrical Code is the 2009 edition. A summary of the code’s new elevator requirements is available on the NEII website.

1.4 CodeFinder

The CodeFinder Editors Management Reporthas been added to the NEII CodeFinder Editors Administrative Area on our website. This tool permits Editors and Central Code Committee members to see the number of code adoptions or roll-overs entered into the database by a company within a given timeframe and, more importantly, the number of changes made before or after the effective date of the adoption. The NEII Central Code Committee continues to monitor the efficacy of our updating efforts with this valuable tool.

1.5 NEII Area Code Committees

The Area Code Committee rosters are available in the members’ area on the NEII web site. Members can be identified and contacted directly from the Area Code Committee web page. The members of the NEII Area Code Committee also have access to a secure page where NEII policies etc. can be found along with a form to bring issues to the attention of the NEII office. The NEII Area Code Committees have the potential to become the first line of defense to identify proposed legislation and regulations at the state and local level. They also should be actively pursuing the adoption of the latest editions without local modifications of ASME A17.1/CSA B44, ASME A17.3, ASME A17.7/CSA B44.7, IBC, NEC®, etc. Maintaining current rosters of the Area Code Committees continues to be a challenge as employees leave a company, move to other jurisdictions, or are otherwise unavailable when a local industry presence is needed in a jurisdiction. A number of member companies have shown increased diligence in keeping the rosters updated in recent months. Ways to improve or modify the Area Code Committee concept and structure continue to be a discussion item for the Central Code Committee and is included in the draft NEII Long-Range Strategic Plan for the Central Code Committee.

1.6 Use of Elevators in Fires

The NEII position on the use of elevators in fires and other emergencies is posted on the Board of Directors and Central Code Committee web pages. The ASME A17 Emergency Operations Committee has two task groups reviewing elevator operation in fires and other emergencies:

• Firefighters’ Use; and • Occupant Evacuation.

The task groups are completing hazard analyses for their respective topics. The Firefighters’ Use TaskGroup is almost complete; the Occupant Evacuation Task Group should complete its hazard analysis soon. Original plans were that once the hazard analyses were completed, the task groups would prepare code revisions for both ASME A17.1/CSA B44 and the model codes (ICC International Building Code, NFPA 101Life Safety Code, and NFPA 5000Building Construction and Safety Code). These plans changed when NIST and the US General Services Administration (GSA) introduced Fire Service Access Elevator requirements into the ICC and NFPA Codes.


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Occupant Evacuation Elevators are in an Annex of the NFPA 5000 code. This is not of great concern as this code has not been adopted by any major jurisdictions in the US. They are also in an Annex of the NFPA 101 code, and while NFPA 101 is adopted in numerous jurisdictions, none has adopted this Annex at this time.

The 2009 ICC International Building Code has requirements for Occupation Evacuation Elevators as well, as will the 2012 edition of that code. The code does not require Occupant Evacuation Elevators in any building, but merely establishes uniform requirements for such installations. Proposals submitted by NEII, the International Association of Fire Fighters and the Fire Safety Directors Association of Greater New York that were approved in the ICC Hearings in September 2009 and May 2010 made significant improvements to the provisions originally proposed by the US General Service Administration. The greatest outstanding problem remains that the ASME A17.1/CSA B44 code still has no requirements to complement the building code requirements, but Technical Revision proposals are currently under review and comment by the ASME A17 Standards Committee. These provisions should be included in the 2013 edition of the code. Before their publication they will provide a standard or framework for either a local variance or preferably the application of the Performance Based Code for these systems. It is important to note that the use of elevators for Occupant Evacuation will be limited to a relatively small number of buildings in major metropolitan areas. Finally, the ASME Symposium on the Use of Elevators in Fires is scheduled for December 2010 in Orlando. This will differ from earlier symposiums in which NEII participated as its focus will be reporting on the ASME Task Groups’ activities rather than asking for papers and reports on theories and differing practices in this field. NEII joins ICC, NFPA, NIST and Elevator World as a VIP sponsor that has provided financial assistance to send firefighters from the US and Canada to participate in the symposium.

1.7 Energy Efficiency

Recent proposals to introduce energy efficiency requirements for elevators and escalators into model codes and standards continue to be concern for NEII. The American Society of Heating, Refrigerating and Air Conditioning Engineers (ASHRAE) develops and publishesASHRAE 90.1 Energy Efficient Design of new Buildings Except Low-Rise Residential Buildings. An Elevator Working Group of the ASGRAE 90.1 Committee proposed changes to the standard earlier this year that would have not only specified energy efficient lighting and ventilation in elevators (which is arguably within the scope of that committee) but would have included provisions for escalator and elevator power conversion systems, standby power requirements, variable speed escalators and similar items that potentially conflict with ASME A17.1/CSA B44 requirements and that fall well beyond their area of expertise. We were successful in convincing them to have most of those proposals removed from their draft and have asked that they hold any elevator proposals until they can be reviewed by our Performance Standards Committee. Unfortunately, similar requirements for energy efficiency found their way into the first draft of a new ICC International Green Construction Code (IgCC), and while the committee that developed this document includes a representative from ASME, no major manufacturers were involved in its drafting. The NEII Performance Standards Committee reviewed the draft IgCC and forwarded its comments to the Central Code Committee; NEII submitted our objections to the IgCC at its public hearings in August.


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1.8 ICC International Building Code

NEII, the International Association of Fire Fighters and the Fire Safety Directors Association of Greater New York submitted a number of proposals for the 2012 ICC International Building Code to bring it into line with the recommendations of the A17 Elevators and Fire Task Groups. See item 1.6, above. NEII independently submitted a number of proposals that will clean up the building code requirements on signage, standby power, fire service, etc.Most of these were approved and not challenged by subsequent public comments.

1.9 NFPA 101/5000

NEII submitted proposals to align the NFPA 101 and 5000 requirements for Elevators for Occupant-ControlledEvacuation and First Responders’ Elevators with the recommendations of the A17 Elevators and Fire Task Groups.

1.10 Accessibility

The US government accessibility requirements have undergone a long-awaited and significant change since the last NEII Board of Directors’ meeting as the US Department of Justice has finally adopted the 2004 ADA Accessibility Guidelines as the new Americans with Disabilities Act Standards for Accessible Design. These will apply to the design, construction and alteration of all US state and local government buildings as regulated by Title II of the act, and all public accommodations and commercial facilities covered by Title III of the act.

Agency Having Jurisdiction Applicable Regulations Facilities Subject to the Americans with Disabilities Act (ADA) Department of Transportation 2004 ADA Accessibility Guidelines (effective November 2006)Department of Justice 2004 ADA Accessibility Guidelines (adoptedJuly 2010)

Facilities Subject to the Fair Housing Act (FHA)Department of Housing and Urban Development 1991 Fair Housing Accessibility Guidelines Facilities Subject to the Architectural Barriers Act (ABA) – federally funded projects General Services Administration 2004 ABA Accessibility Guidelines (effective May 2006,

February 2007 for leased facilities) US Postal Service 2004 ABA Accessibility Guidelines (effective October

2005)Department of Defense 2004 ABA Accessibility Guidelines (effective December

2008)Department of Housing and Urban Development 1984 Uniform Federal Accessibility Standards

The ICC/ANSI A117.1-2009accessibility standard was balloted in August and, barring any appeals, will be published in November. No significant changes affecting elevators were approved as NEII was able to convince the committee to reject a number of unfavorable proposals. We served on the Editorial Committee and were able to add clarifying text and figures to the standard, particularly for destination-dispatch elevators. ICC/ANSI A117.1-2009 will be referenced in the 2012 ICC International Building Code. The CSA B44 Committee is continuing its review of the Appendix E accessibility requirements to harmonize with ICC/ANSI A117.1-2003.

Regarding the new ADA Standards for Accessible Design, the good news is that they are harmonized with the ICC/ANSI A117.1 that is referenced in the ICC International Building Code used in most US


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jurisdictions. This means that for over 95% of the technical accessibility requirements, the federal and state/local building code requirements will be virtually identical. Unfortunately, a significant discrepancy remains in that ICC/ANSI A117.1-2009 allows destination dispatch hall stations to be equipped with a function button, the button designated with an access symbol that activates all of the tonal and voice enunciators in the system. The ADA Standards for Accessible Design have no similar allowance. I have made inquiries with the US Access Board as to whether this means that the audible signals must remain active all of the time. This matter has also been referred to the NEII Central Code Committee for further action.

1.11 Outside Emergency Elevators

The ASME A17 Task Group has drafted requirements for Outside Emergency Elevators in response to the publication of the ASTM standard for similar equipment, referred to as a Platform Rescue System (PRS).The proposal usesthe Performance Based Code as the basis for these systems. A Technical Revision has been reviewed by the ASME A17 Standards Committee, and the Task Group is completing its response with the hope of having new requirement in the 2013 edition of the code.

1.12 Performance Based Safety Code for Elevators and Escalators: ASME A17.7/CSA B44.7

The Central Code Committee in conjunction with the Government Affairs Committee maintains a plan to encourage the adoption of the Performance Based Safety Code for Elevator and Escalators, ASME A17.7/CSA B44.7. The chairs of the NEII Central Code Committee and NEII Government Affairs Committee will provide a verbal report at the meeting. With the three AECO accreditations in place and a history of successful applications of the code being established, we are hopeful that jurisdictions will be more willing to adopt the Performance Based Code. Additionally, unique challenges like the lifts now being installed in wind turbine towers that cannot comply with ASME A17.1/CSA B44 may drive recognition of the Performance Based Code in jurisdictions with this type of equipment.

1.13 ASME A17.6 Suspension Means Standard

The ASME A17.6 Suspension Means Standard is published. It is referenced in the ASME A17.1-2010/CSA B44-10 and should be applied once that code begins to be adopted by local authorities. It includes the requirements for Steel Wire Rope, Aramid Fiber Rope and Non-Circular Elastomeric Coated Steel Suspension Members and provides direction for future constructions as new technology develops.

1.14 Other Issues

Other significant issues being monitored/reviewed by the Central Code Committee include: • SIL requirements for escalators; • ASME A17.1/CSA B44 maintenance code requirements; • ASME/NEII liaison; •ISO draft Technical Report on Emergency Stops.

2. Government Affairs Committee

NEII Government Affairs Committee Activities are reported separately by Chairman John Karnash.


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3. Architectural Standards Committee 3.1 Meeting

The committee last met on April 21, 2010 in Moline, Illinois.

3.2 Building Transportation Standards and Guidelines: NEII-1

The committee continues to maintain the Building Transportation Standards and Guidelines, NEII-1 for publication on the public area of the NEII website. The committee is currently reviewing number of changes for inclusion in the guidelines, includingthe addition of 8000 and 9000 lb. hospital car configurations.

4. Performance Standards Committee

4.1 Meeting The committee held a web-based/teleconference meeting on April 12, 2010.

4.2 Building Transportation Standards and Guidelines: NEII-1

At its April 2009 meeting, the committee reaffirmed changes to the NEII Power Supply Data Form, Temporary Power Supply Guidelines, and Temporary Power supply Confirmation Data Form that were subsequently approved by the NEII Central Code Committee for inclusion in NEII-1. These have been added to NEII-1, and published on the NEII public website. The committee is also reviewing papers on how to prepare elevators for an emergency and on Maintenance Control Programs. Members are also reviewing both ASME A17.1-2007/CSA B44-07 and ASME A17.7-2007/CSA B44.7-07 to determine whether additional changes to NEII-1 are needed to reflect the newer code additions. 4.3 Energy Efficiency NEII-1 has included a section on Energy Efficiency for some time, portions of which were reviewed by the committee at its April 2009 meeting. However, developments at both ASHRAE and the ICC (see Item 1.7, above) made updating this section of NEII-1 a critical priority. The committee believes its recent work can and should serve as the basis for any requirements for elevators that are included in the ICC International Green Construction Code (IgCC) and is working with the NEII Central Code Committee to that end.

5. Safety Committee 5.1 NEII Position Papers

The Safety Committee has a policy of reviewing all Position Papers annually. The following papers are currently approved and posted in the public area of the NEII website:

• Asbestos Safety; • Arc-Flash Hazards and Electrical Safe Work Practices; • OSHA Confined Space Regulations as They Pertain to Elevator Pits; • OSHA Power Industrial Truck Operator Regulations; • Guidelines for Emergency Preparedness Plan.


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5.2 Service Safety Video

The committee concurred with the development of a new video program on employee safety to be developed by a private contractor for Elevator World. Elevator World is now working with member companies to set up filming opportunities.

5.3 Elevator Industry Field Employees’ Safety Handbook

The committee completed its work on the 2010 edition of The Elevator Industry Field Employees' Safety Handbook, now available from Elevator World.It continues to refine the information provided in the Handbook, and is currently reviewing the provisions for safe hoistway access.

6. Association-wide Efforts While the progress of the NEII Strategic Planning Ad-Hoc Committee is a separate agenda item, I would be remiss were I not to acknowledge all of the hard work done by every NEII committee on their respective portions of the association’s draft strategic plan. The ideas, goals and objectives generated by each group exhibited thought and ambition as well as a wealth of optimism for what NEII can accomplish in the years ahead. 7. Significant Code Developments 7.1 Safety Code for Elevators and Escalators: A17.1

ASME A17.1b-2009/CSA B44b-09waspublished December 30, 2009. The issuance of ASME A17.1-2010/CSA B44-10 is scheduled for November 16, 2010. No addenda will be issued for the 2010 edition.

7.2 Guide for the Inspection of Elevators, Escalators and Moving Walks: ASME A17.2

The current edition of the Guide for the Inspection of Elevators, Escalators and Moving Walks, ASME A17.2-2007 was published in October 2007. Publication of the next edition is scheduled for November 16, 2010.

7.3 Safety Code for Existing Elevators and Escalators: ASME A17.3

The current edition of the Safety Code for Existing Elevators and Escalators, ASME A17.3 was issued January 9, 2009 and was effective July 9, 2009. As a result of the Model Elevator Law being enacted, a number of jurisdictions have recently adopted this Code. The next edition is scheduled to be published in 2011, and no addenda will be issued for the current code.

7.4 Standard for Elevator and Escalator Electrical Equipment: ASME A17.5

The ASME A17.1/CSA B44 Code and National Electrical Code® require electrical equipment to be tested and labeled in compliance with the harmonized Standard for Elevator and Escalator Electrical Equipment, CSA B44.1/ASME A17.5. The current edition was published in December 2004.


of 8

7.5 Safety Standard for Platform Lifts and Stairway Chairlifts: ASME A18.1

The fourth edition of the Safety Standard for Platform Lifts and Stairway Chairlifts, ASME A18.1-2008 was published in August 2008.

The committee continues to deliberate on a change to no longer require constant pressure switches on the platform and at the call stations. NEII will continue to closely monitor this issue and would be in strong opposition to any change of this sort.

7.6 Performance Based Safety Code for Elevators and Escalators: ASME A17.7/CSA B44.7

The Performance-Based Safety Code for Elevators and Escalators ASME A17.7/CSA B44.7 was published in March 2007. Additional information is being reported by the NEII Government Affairs and Central Code Committee Chairmen.

7.7 Building Codes

The International Code Council (ICC) International Building Code (IBC) has been adopted by most US jurisdictions. The fourth edition of the IBC was published in 2009. The National Fire Protection Association (NFPA) publishes the Building Construction and Safety Code NFPA 5000-2009. Only one or two local government agencies have adopted NFPA 5000. The NFPA 101 Life Safety Code also has a 2009 edition, and it is referenced or adopted by a significant number of jurisdictions. All current IBC and NFPA codes require elevators, escalators, etc. to conform to the Safety Code for Elevators and Escalators, ASME A17.1-2007/CSA B44-07.These references will be updated in the next editions of the model codes.

7.8 ASME A17 CODE COORDINATION COMMITTEE

The ASME A17 Code Coordination Committee meets twice yearly to review and coordinate the requirements in ASME A17 Codes and Standards, International Codes and NFPA Codes and Standards. Two issues, seismic requirements and the use of elevators during a fire are being closely monitored. The ASME A17 Code Coordination Committee maintains the Matrix of Elevator and Escalator Related Requirements in the Model Codes vs. ASME A17.1/CSA B44 and ASME A17.3. This document was updated in January 2010 and is available on the NEII website.

7.9 QUALIFICATION OF ELEVATOR INSPECTORS

ASME QEI-1-2010 was issued June 1, 2010 and becomes effective December 1, 2010. The committee met earlier in September in Skokie, Illinois.

Respectfully submitted,

Brian Black NEII Code and Safety Consultant


1

Code and Safety Consultant’s Report

Presentation to:NEII Board of DirectorsCincinnati, OhioOctober 28, 2010

Presented by:Brian BlackCode and Safety Consultant

Committee Representation– A17 Standards

– A17 Code Coordination (Chairman)

– A17 Emergency Operations

– A17 Hoistway

– A17 International Standards

– QEI

– NFPA 101/5000

– ANSI Accredited Standards CommitteeA117

– etc.

Local Elevator Codes

• PBC in Illinois, Iowa, Nevada, City of Chicago, eight Canadian provinces (and NW Territories)

• New York State to recognize PBC in 2010

• California discussions ongoing

Electrical Codes

• 2011 National Electrical Code© available October 2010

• 2009 Canadian Electrical Code


2

CodeFinder Management Report Use of Elevators in Fires

• ASME A17 Task Groups

• Technical Revisions for Occupant Evacuation Operation being reviewed for inclusion in ASME A17.1/CSA B44

• ASME Symposium December 1-2, 2010, Orlando

Energy Efficiency

• NEII Performance Standards Committee comments, August 2010

2012 International Building Code

• Modifications to reflect A17 Elevators & Fire TGs recommendations

• Editorial coordinations


3

2012 NFPA 101/5000

• Modifications to reflect A17 Elevators & Fire TGs recommendations

Accessibility

• ICC/ANSI A117.1-2009– Publication November 2010

– Reference in 2012 IBC

• CSA B44, Appendix E

Accessibility

Americans

with Disabilities Act

– Department of Justice adopted its 2010 Standards for Accessible Design on September 15, 2010

- May be used immediately, must be used by March 15, 2012


4

Destination Dispatch Systems

Performance Based Safety Code

Reports by

Central Code Committee

and

Government Affairs Committee

Tracking PBC Adoption


5

NEII Committee Activities

Architectural Standards Committee

• Revisions to NEII-1 updated this year

• 2007 ASME A17.1/CSA B44 being reviewed for inclusion

• Reviewing 8000 and 9000 lb hospital car configurations

Performance Standards Committee

• Energy efficiency remains high priority

• Meeting November 2010, Ontario

Safety Committee

• Current Position Papers– Asbestos Safety;– Arc-Flash Hazards and Electrical Safe Work

Practices;– OSHA Confined Space Regulations as They

Pertain to Elevator Pits;– OSHA Power Industrial Truck Operator

Regulations;– Guidelines for Emergency Preparedness Plan.


6

Safety Committee

• New video program on employee safety

• 2010 Elevator Industry Field Employees’ Safety Handbook published

• Committee reviewing hoistway access provisions

Significant Code Developments

Safety Code for Elevators and Escalators: ASME A17.1

• ASME A17.1b-2009/CSA B44b-09 on December 30, 2009

• ASME A17.1-2010/CSA B44-10 in November 16, 2010

• ASME policy on triennial publications (no yearly addenda)

Guide for the Inspection of Elevators, Escalators and

Moving Walks: ASME A17.2

• Published October 2007

• Next edition November 16, 2010


7

Safety Code for Existing Elevators and Escalators:

ASME A17.3

• Published January 2009

Standard for Elevator and Escalator Electrical

Equipment: ASME A17.5

• December 2004 current edition

ASME A17.6 Suspension Means Standard

• Approved by A17 Standards Committee– Steel wire rope

– Aramid fiber rope

– Non-circular elastometric coated steel

• Published July 30, 2010

• Referenced in 2010 A17.1/B44

ASME A18 Platform Lifts and Stairway Chairlifts

• NEII continues to monitor


8

ASME QEI-1-2010

• Issued June 1

• Effective December 1, 2010

• Meeting September 13, 2010, Skokie, Illinois

Thank You

Questions?


of 16 © 2010 - National Elevator Industry, Inc. Salem, New York

NEII LONG-RANGE STRATEGIC PLAN

Proprietary Property of NEII This document is the sole property of National Elevator Industry, Inc. (NEII) and is made available exclusively to directors, officers, and members of NEII and other specifically authorized individuals. This document may not be reproduced, distributed, or otherwise disclosed to others, in whole or in part, without the prior express written permission of NEII. Any unauthorized disclosure or use of this document may be prosecuted to the full extent provided by law.

Approval NEII Long Range Strategic Planning Committee: 18-Aug-2010 Board of Directors:



NEII LONG-RANGE STRATEGIC PLAN

INDEX

1. Introduction page 3 2. NEII Mission Statement page 4 3. Long-Range Strategic Focus page 5 4. Goals, Objectives, Priorities, Terms and Responsibilities page 8 5. NEII Committee Scopes and Long-Range Objectives page 11 6. Implementation Plan page 15

Appendix A List of Acronyms

page

16



1. INTRODUCTION The members of NEII are committed to the continuous improvement of safety in the building transportation industry for new and existing technologies. The NEII Long-Range Strategic Plan forms the basis of action by NEII. Fields of action in this plan include but are not limited to:

Developing model codes and standards; Promoting the adoption and enforcement of the latest model codes and standards by enforcing

authorities without modification; Developing architectural, engineering and performance standards and guidelines; Promoting responsible legislation and regulatory measures; Communicating NEII’s commitment to safety; and Developing and promoting measures that support the safety of industry workers.

Previously the NEII Long-Range Plan for Codes and Standards Development in North America served the organization well but it was limited in scope to the CCC. Notable accomplishments include:

Harmonized A17.1/B44 Safety Code for Elevators and Escalators; Development of a single US building code under ICC; codification of machine room-less elevator

requirements under A17.1/B44; Development of the A17.7/B44.7 Performance-Based Safety Code for Elevators (PBC); Accreditation of three Accredited Elevator / Escalator Certification Organizations (AECOs); Creation of CodeFinder database; Enhancement of NEII-1 Building Transport Standard; and Adoption of the Model Elevator Law in many jurisdictions.

NEII’s Mission Statement is presented in Section 2. The focus of the NEII Long-Range Strategic Plan is elaborated in Section 3. Specific goals, objectives, priorities and responsibilities are tabulated in Section 4. NEII committee scope and long-range objectives are summarized in Section 5. A detailed implementation plan is provided in Section 6.



2. NEII MISSION STATEMENT NEII, the national trade association of the building transportation industry:

Promotes safety in new and existing building transportation; Promotes laws and regulations that permit the introduction of safe, innovative technology; Endorses adoption of current model codes by local government agencies; and Advocates responsible laws and regulations at all levels of government.

NEII promotes the interests of its members in the following areas: Codes and Standards Drive the formulation of codes, standards, laws, regulations and industry practices that will:

Provide for the safety of the riding public; Permit the introduction of safe, innovative technology; Promote communication and coordination with government agencies regarding adoption and

enforcement of the latest model codes and standards; and Encourage deployment of new products and technologies that conform to the latest codes and

standards. Safety

Gather and distribute relevant data relating to industry worker safety issues; Develop and promote worker safety practices; Promote safe use of building transportation equipment by the riding public; and Support measures that promote the safety, reliability and performance of building transportation

equipment throughout its life. Communications

Be the primary organization for establishing and communicating positions on matters related to the building transportation industry; and

Be the primary source for communicating building transportation information to NEII members and the public.

Statistics

Gather and distribute relevant data relating to the building transportation industry. Education

Promote activities designed to increase the knowledge and understanding of the safe installation, service, repair, operation and use of building transportation equipment.

Liaison

Maintain constructive communication with its members by providing access to NEII information and standards;

Provide members the opportunity to participate in the process of defining NEII’s objectives; and Build relationships with other associations and institutions related to the industry through

information, tools and support that add value to their organizations and NEII. Pension, Welfare and Education Trusts

Oversee the appointment of NEII trustees on all trusts resulting from collective bargaining to protect the interests of both NEII Trust members and other contributing companies.



3. LONG-RANGE STRATEGIC FOCUS 3.1 Safety is the major focus of NEII. 3.2 Promote safety through responsible laws and regulations affecting the industry.

3.2.1 Develop on-going relationships with legislators and regulators to support uniform safety levels throughout North America.

3.3 An effective way of ensuring safety on a broad basis is through the adoption and enforcement of model safety codes and standards.

3.3.1 Ensure a uniform level of building transportation safety throughout North America, by promoting the adoption of the most recent version of the A17.1/B44 Code without modification in all jurisdictions. NEII is committed to assisting AHJs in understanding the latest codes and standards and promoting their adoption. 3.3.2 Advocate the development of practical A17.1/B44 MCP requirements in order to facilitate uniform adoption and enforcement by AHJs. 3.3.3 Promote adoption of the PBC and recognition of AECOs by AHJs. 3.3.4 Establish and maintain liaison with AECOs. 3.3.5 Promote the extension of the PBC to include escalators and moving walks to facilitate innovation.

3.3.6 Promote adoption by AHJs of A17.6 and corresponding A17.1/B44 code requirements for suspension means. 3.3.7 A large number of elevators and escalators exist which were installed to no code, a local code or earlier versions of the A17.1/B44 Code. To ensure a uniform level of safety, it is essential that the most recent version of A17.3 be adopted. 3.3.8 Advocate uniform enforcement of codes and standards requirements throughout NA. 3.3.9 Encourage AHJs to require that all inspectors be certified under QEI-1. 3.3.10 It is important that QEI-1 be kept current with model codes and standards. 3.3.11 Encourage appropriate enforcement of codes and standards.

3.4 To ensure a uniform platform for building transportation it is vital that the most recent versions of the model codes and standards (e.g., building codes, electrical codes, fire codes, accessibility standards, etc.) be adopted without modifications. NEII is committed to assisting AHJs in understanding the latest codes and standards and promoting their adoption. 3.5 Worker safety can be enhanced by developing and promoting accident prevention procedures and practices.

3.5.1 Develop and promote the Elevator Industry Field Employees’ Safety Handbook. 3.5.2 Promote the use of qualified elevator technicians.



3.6 An expanded destination oriented elevator industry guideline will also be an important baseline for elevator usage while addressing the needs and concerns of people with disabilities. 3.7 Increase the influence and prestige of NEII, so that it is in a position to positively affect public policy. 3.8 Position NEII to address issues that potentially impact the building transportation industry and to communicate effectively at all levels. 3.9 Communication within NEII regarding matters of industry interest is essential.

3.9.1 It is important that databases such as CodeFinder, MEL, PBC adoption matrix, NEII Code Record Archive and iStateLink be maintained and optimized as state-of-the-art references.

3.10 The world economy is increasingly global in nature, resulting in two major effects on the building transportation industry: a universal expectation of a consistent level of safety for all elevators; and a worldwide demand for safe innovative products.

3.10.1 Play an assertive role in Global Technical Barrier Free Trade (GTBFT) leadership to help facilitate the readiness of the NA building transportation industry to address the realities of a changing world. Steps include greater harmonization of prescriptive and performance based codes, mutual recognition agreements (MRAs) and promotion of uniform state-of-the-art standards, such as PESSRAL, PESSRAE and EMC/EMI.

3.11 The role of elevators in emergencies is an important component of the safe utilization of buildings. NEII will continue to play a leading role in influencing the direction established by other stakeholders (e.g., model code groups, emergency responders, and building industry).

3.11.1 NEII will continue to evolve its position in response to stakeholder needs and further hazard identification and mitigation, consistent with the NEII position on the use of elevators as a means of evacuation.

3.12 The efficiency of the codes and standards development process needs improvement to expedite positive changes.

3.12.1 Factors to be addressed include the qualifications and education of committee members and procedures for codes and standards development.

3.13 The trend toward green technologies is gaining momentum in NA, and building transportation is becoming a focus of environmental groups.

3.13.1 NEII will establish itself as a leader in developing green technology standards for building transportation. 3.13.2 NEII will monitor and assess the impact of environmental regulations on the building transportation industry and respond accordingly.

3.14 NEII committees are to establish a policy to review committee position papers periodically, with a period not to exceed three years.



The Long-Range Strategic Plan is set forth in Section 4. The various objectives which support each goal are marked in priority levels from 1 (highest) to 3 (lowest). The objectives are also identified as category 1 (near term), category 2 (completion within 5 years) and category 3 (develop industry trend). The priority and term categories are consistent with metrics previously employed.



4. GOALS, OBJECTIVES, PRIORITIES, TERMS AND RESPONSIBILITIES Goal Objective Priority Term Lead

Committee Support

Committee

4-1 Safe introduction of new technology

4-1.1 4-1.2 4-1.3 4-1.4 4-1.5 4-1.6

Adopt PBC throughout NA Periodic liaison with AECOs Extend PBC to escalators/moving walks Complete Suspension Means Standard Enhance ongoing relationships with legislators and regulators Develop a destination oriented elevator guideline

1 1 1 2 1 1

1-2 Cont. 2 1 1-2 1

CCC/GAC CCC CCC CCC CCC/GAC CCC

COM

GAC

4-2 Enhance NEII's influence and prestige

4-2.1

4-2.2

Increase NEII's ability to positively affect public policy. Establish NEII as premier building transportation industry representative in NA

1

2

1-2

3

CCC/COM/GAC

COM

All

GAC/CCC/ SAF

4-3 Safe introduction of standard products

4-3.1

4-3.2

4-3.3 4-3.4

Align local and regional requirements with model codes and standards Adopt current A17.1/B44 Code without modification. Maintain and enhance CodeFinder Explore feasibility of dimensional standard for MRL

1

1

1 1

2

2

1 1

CCC 00

CCC/GAC

CCC CCC

4-4 Manage issues that potentially impact building transportation

4-4.1

4-4.2

4-4.3

Position NEII with the media as an expert on building transportation codes, standards and safety Assist NEII Committees to better communicate NEII’s position Continuously improve the crisis and media response program

1 Cont. COM As required

4-5 Enhance industry worker safety

4-5.1

4-5.2

Update industry standards for high-risk tasks Proactivity in accident avoidance

1 1

1-3 1

SAF SAF

4-6 Enhance safety of existing 4-6.1 Update A17.3 considering international 1 1-3 GAC/CCC



Goal Objective Priority Term Lead Committee

Support Committee

elevators activity and promote adoption across US

4-7 Promote code compliance 4-7.1 4-7.2 4-7.3

Maintain and enhance CodeFinder Educate AHJs and inspectors Develop and implement effective A17/B44 MCP requirements

1 3 2

1 1-2 1-2

CCC CCC CCC

4-8 Global technical barrier free trade leadership

4-8.1 4-8.2 4-8.3 4-8.4 4-8.5

0 4-8.6 4-8.7

Greater harmonization of prescriptive codes Greater harmonization of PBCs Mutual recognition of AECOs/NBs/GCABs Convey message of GTBFT leadership Promote WW PESSRAL and PESSRAE Standards Promote WW EMC/EMI Standard Update NEII-1 and ISO 4190-1 for global use

3 2 2 2 2

2 2

3 2 2

2-3 2-3 0

2-3 2-3

CCC CCC CCC

CCC/COM CCC

0 CCC CCC

GAC/LAG

4-9 Define role of elevators in emergencies

4-9.1

4-9.2

4-9.3

Refine and promote NEII position on role of elevators in emergencies Develop standards for use of elevators in emergencies using hazard assessment Communicate with stakeholders

1

2

2

2

2-3

2-3

CCC

CCC

CCC

GAC/LAG

COM

4-10 Establish NEII as leader in green technologies related to building transportation

4-10.1

4-10.2

4-10.3

Develop energy standard for measurement and classification Work with LEED, ICC, ASHRAE and others Harmonize NEII/ISO positions on energy measurement and classification

2

2

3

2

1

2-3

CCC

CCC

Ad-Hoc

Ad-Hoc

4-11 Improve code and standardization process

4-11.1 4-11.2

Promote model code committee membership of competent, progressive individuals Develop guidelines for committee membership qualifications

3

3

3

3

CCC

CCC

4-12 Improve enforcement of codes and standards

4-12.1 4-12.2

Encourage AHJs to require that all inspectors be certified under QEI Keep QEI current with model codes and standards

2

2

3

2

CCC/GAC

CCC



Goal Objective Priority Term Lead Committee

Support Committee

4-13 Assess the impact of environmental regulations on the building transportation industry

4-13.1 Appoint an ad hoc committee to determine whether NEII has a role to play and to make recommendations to the NEII Board of Directors

1 1 BOD / Ad-Hoc

PRIORITY Highest 1 3 Lowest. TERMS

Category 1 – Near Term. Category 2 – Completion within five (5) years. Category 3 – Develop industry trend.



5. NEII COMMITTEE SCOPES AND LONG-RANGE OBJECTIVES

GENERAL

The National Elevator Industry, Inc. (NEII) Committees will collaborate and work cooperatively to advance their long-range objectives. For example, the Government Affairs and Central Code Committees work jointly on the adoption of the PBC.

NEII CENTRAL CODE COMMITTEE

Scope:

The Central Code Committee provides info rmation and guidance to NEII m embers by participating in m odel code and standard writin g organizations and worki ng with authorities to develop, m aintain and apply safe ty codes and standards that pe rtain to building transportation equipment.

NEII Central Code Committee Long-Range Objectives:

Refine NEII’s position on the role of elevators in emergencies; Maintain and enhance CodeFinder; Oversee NEII Area Code Committees’ activities and maintain membership rosters; Participate in the development of and promote a worldwide green elevator standard; Participate in the development of and promote a worldwide energy measurement and

classification standard; Promote the alignment of local and regional requirements with model codes & standards; Encourage compatibility of industry codes & standards; Update NEII-1 and promote updating ISO 4190-1 toward global applicability; Advocate alternative field testing for safeties, buffers and brakes in ASME A17.1/CSA

B44; Participate in the development of and promote worldwide EMC/EMI standard; Participate in the development of and promote worldwide PESSRAL and PESSRAE

standards; Encourage use of the ASME A17.7/CSA B44.7 Performance Based Code; Provide guidance and direction to the NEII Architectural Standards Committee and NEII

Performance Standards Committee; Execute the NEII strategy in support of Global Technical Barrier-Free Trade; Promote adoption of the latest version of model safety codes and standards (e.g., ASME

A17.1/CSA B44, ASME A17.7/CSA B44.7, ASME A17.3, ICC/ANSI A117.1, National Electrical Code®) in all jurisdictions;



NEII AREA CODE COMMITTEES Scope:

The Area Code Committees report to the CCC actively work with enforcing authorities to develop, maintain, interpret and apply safety codes and standards that pertain to building transportation equipment (e.g. elevators, dumbwaiters, escalators and moving walks) at the local level.

The Area Code Committees are NEII’s representatives at the local level and are charged with advocating adoption without modification of the latest model codes and standards (e.g., ASME A17.1/CSA B44, ASME A17.7/CSA B44.7, ASME A17.3, ICC/ANSI A117.1, National Electrical Code®)

NEII Area Code Committees Long-Range Objectives:

Increase NEII’s influence in state and local regulations by the appointment of NEII representatives to Elevator Safety Boards/Advisory Committees;

Attendance at regional Elevator Safety Board/Advisory Committee meetings; and Timely communication to the NEII Central Code Committee of local code and regulatory

activities.

NEII ARCHITECTURAL STANDARDS COMMITTEE Scope:

The Architectural Standards Committee reports to the CCC and is responsible for developing and periodically updating the architectural and engineering standards in the NEII Building Transportation Standards and Guidelines, NEII-1.

NEII Architectural Standards Committee Long-Range Objectives:

Investigate the feasibility of developing and publishing MRL standards; Strengthen seismic information in NEII-1; Explore standards for 8,000-lb. hospital car; Keep NEII-1 current with industry technology.

NEII PERFORMANCE STANDARDS COMMITTEE Scope:

The Performance Standards Committee reports to the CCC and develops industry standards that can be used as guidelines for building transportation equipment to achieve appropriate performance and maintain code and safety compliance.

NEII Performance Standards Committee Long-Range Objectives:

Expand NEII-1 to add a white paper and templates on MCP’s; Add guidelines in NEII-1 for compliance with the maintenance requirements in ASME

A17.1/CSA B44 (including PES certification), ASME A17.7/CSA B44.7, etc.; Update NEII-1 Energy Efficiency Guidelines;



Promote the harmonization of NEII/ISO positions on energy measurement and classification ;

Expand NEII-1 to address green building technology; Keep NEII-1 current with industry technology; and Develop destination dispatch elevator accessibility guidelines for NEII-1.

NEII COMMUNICATIONS COMMITTEE Scope: The NEII Communications Committee is charged with overseeing the association’s brand position, building its reputation, and promoting the positive contributions of the organization to members, industry stakeholders and the public. The committee recommends strategic communication policies and approaches, handles all interaction with the press and assists in managing industry issues. NEII Communications Committee Long-Range Objectives:

Promote the value of NEII to increase membership and membership involvement in the organization;

Help NEII define high-impact, consistent messages and recommend communication strategies that promote the value of the industry; assist the association in managing issues that impact the industry and its members;

Advance industry trends supported by NEII; Position NEII with the media as an expert on building transportation codes, standards and

safety; Assist NEII Committees in identifying opportunities that better communicate NEII’s

position and the positive contributions they make to the industry, its members and society;

Continuously improve the crisis and media response program.

NEII GOVERNMENT AFFAIRS COMMITTEE Scope:

To promote: Public and employee safety; New, safe and reliable technology; Open competition within the building transportation industry; and Common interests of the building transportation industry.

These are accomplished by fostering responsible legislation and regulatory measures and enforcement at all levels of government.

NEII Government Affairs Committee Long-Range Objectives:

Establish ongoing relationships with key legislators and regulators to effectively address industry-related matters;



Adopt the PBC in all jurisdictions; Adopt the latest version of model safety codes and standards (e.g., ASME A17.1/CSA

B44, ASME A17.7/CSA B44.7, ASME A17.3, ICC/ANSI A117.1, National Electrical Code®) in all jurisdictions;

Adopt the Model Elevator Law in jurisdictions as appropriate; and Improve NEII’s ability to positively affect public perception and policy relating to

building transportation.

NEII SAFETY COMMITTEE Scope:

The NEII Safety Committee provides information and guidance to members in the areas of OSHA, loss prevention, worker compensation, worker accident prevention and other subjects that encourage worker safety awareness in the building transportation industry.

NEII Safety Committee Long-Range Objectives:

Develop a relationship with OSHA to improve its understanding of safety requirements in the building transportation industry and create awareness of the industry’s risks and challenges;

Develop a system for informing the industry of all applicable safety alerts that affect workers;

Maintain and update the Elevator Industry Field Employees’ Safety Handbook; Improve the process to share best safety practices; Position NEII as the worker safety expert for the industry.

NEII LEGAL ADVISORY GROUP Scope: The NEII Legal Advisory Group is an informal body of members’ in-house lawyers. The NEII Legal Advisory Group reviews and advises on documents, policies, issues and other matters requested by NEII officers, the Board of Directors, committees or the Trust Committee. When appropriate, the NEII Legal Advisory Group may recommend outside counsel be consulted.

NEII TRUST COMMITTEE

Scope: The Trust Committee is solely responsible for administering the rights and obligations of NEII regarding the NEI Benefits and Educational Trusts. NEII Trust Committee Long-Range Objectives: The NEII Trust Committee is responsible for developing its Long-Range objectives.



6. IMPLEMENTATION PLAN 6.1 To implement this plan, it is essential that NEII committee members take an active role in their assignments, keep abreast of developments in their respective fields of expertise and communicate effectively. 6.2 The committee chairs shall report to the NEII Board of Directors on implementation of their respective goals and objectives in the NEII Long-Range Strategic Plan at the spring and fall Board meetings. The NEII Code and Safety Consultant and NEII Government Affairs Consultant shall report for Committees not submitting written reports to the Board. 6.3 The NEII Long-Range Strategic Plan shall be reviewed and updates prepared as needed annually by the Strategic Planning Committee comprising:

NEII Managing Director (Chair) Chair NEII Central Code Committee Chair NEII Government Affairs Committee Chair NEII Legal Advisory Group Chair, NEII Communication Committee NEII Code and Safety Consultant NEII Government Affairs Consultant

6.3.1 The Strategic Planning Committee shall report at the spring annual meeting of the

NEII Board of Directors. 6.4 The NEII Board of Directors will provide adequate member company resources to implement the plan.



APPENDIX A LIST OF ACRONYMS

Ad-Hoc Ad-Hoc Committee AECO Accredited Elevator/Escalator Certification Organization AHJ Authority Having Jurisdiction (Regulatory Authority in Canada) ASHRAE American Society of Heating, Refrigeration and Air Conditioning Engineers ASME American Society of Mechanical Engineers A17.1/B44 ASME A17.1/CSA B44 Safety Code for Elevators and Escalators A17.2 ASME A17.2 Guide for the Inspection of Elevators, Escalators and Moving Walks A17.3 ASME A17.3 Safety Code for Existing Elevators and Escalators A17.6 ASME A17.6 Standard for Elevator Suspension, Compensation and Governor Systems A17.7/B44.7 ASME A17.7/CSA B44.7 Performance-Based Safety Code for Elevators and

Escalators BOD Board of Directors (NEII) CCC Central Code Committee (NEII) COM Communications Committee (NEII) CSA Canadian Standards Association EMC/EMI Electro Magnetic Compatibility/Electro Magnetic Immunity GAC Government Affairs Committee (NEII) GCAB Global Conformity Assessment Body GTBFT Global Technical Barrier Free Trade IBC ICC International Building Code ICC International Code Council ISO International Standards Organization LAG Legal Advisory Group (NEII) LEED Leadership in Energy and Environmental Design MCP Maintenance Control Program MRL Machine Room Less NA North America NB Notified Body (in the EU) NEII National Elevator Industry Inc. PESSRAE Programmable Electronic Components and Systems in Safety Related Application for

Escalators PESSRAL Programmable Electronic Components and Systems in Safety Related Application for

Lifts PBC Performance Based Safety Code, ASME A17.7/CSA B44.7 QEI ASME QEI-1 Standard for the Qualification of Elevator Inspectors SAF Safety Committee (NEII) SCC Standards Council of Canada WW Worldwide h:\wpdocs\neii strategic planning committee\neii long range strategic plan [18-aug-10 final draft].doc


1

NEII Strategic PlanningAd-Hoc Committee

Report toNEII Board of Directors

Cincinnati, OHSeptember 28, 2010

Edward A. Donoghue, Chair

Ad-Hoc Committee Members

• NEII Central Code Committee Chair, Lou Bialy

• NEII Government Affairs Committee Chair, John Karnash

• NEII Legal Advisory Group Chair, Dennis Mayer

• NEII Code and Safety Consultant, Brian Black

• NEII Managing Director, Edward A. Donoghue

30-Sep-10 2

Background

• At Spring 2009 NEII Board of Directors meeting NEII Strategic Planning Ad-Hoc Committee established “to look at all aspects and activities of NEII”

• Seven meetings to date

• NEII Long-Range Strategic Plan approved by Ad-Hoc Committee August 18th

30-Sep-10 3

Table of Contents

1. Introduction

2. Mission Statement

3. Long-Range Strategic Focus

4. Goals, Objectives, Priorities, Terms and Responsibilities

30-Sep-10 4


2

Table of Contents

5. NEII Committee Scopes and Long-Range Objectives

6. Implementation Plan

Appendix A List of Acronyms

30-Sep-10 5

INTRODUCTION

The members of NEII are committed to the continuous improvement of safety in the building transportation industry for new and existing technologies. The NEII Long-Range Strategic Plan forms the basis of action by NEII. Fields of action in this plan include but are not limited to:

INTRODUCTION

• Developing model codes and standards;

• Promoting the adoption and enforcement of the latest model codes and standards by enforcing authorities without modification;

• Developing architectural, engineering and performance standards and guidelines;

INTRODUCTION

• Promoting responsible legislation and regulatory measures;

• Communicating NEII’s commitment to safety; and

• Developing and promoting measures that support the safety of industry workers.


3

STRATEGIC FOCUS

3.1 Safety is the major focus of NEII.

3.2 Promote safety through responsible laws and regulations affecting the industry.

STRATEGIC FOCUS

3.3 An effective way of ensuring safety on a broad basis is through the adoption and enforcement of model safety codes and standards.

STRATEGIC FOCUS

3.4 To ensure a uniform platform for building transportation it is vital that the most recent versions of the model codes and standards (e.g., building codes, electrical codes, fire codes, accessibility standards, etc.) be adopted without modifications. NEII is committed to assisting AHJs in understanding the latest codes and standards and promoting their adoption.

STRATEGIC FOCUS

3.5 Worker safety can be enhanced by developing and promoting accident prevention procedures and practices.

3.6 An expanded destination oriented elevator industry guideline will also be an important baseline for elevator usage while addressing the needs and concerns of people with disabilities.


4

STRATEGIC FOCUS

3.7 Increase the influence and prestige of NEII, so that it is in a position to positively affect public policy.

3.8 Position NEII to address issues that potentially impact the building transportation industry and to communicate effectively at all levels.

STRATEGIC FOCUS

3.9 Communication within NEII regarding matters of industry interest is essential.

3.10 The world economy is increasingly global in nature, resulting in two major effects on the building transportation industry: a universal expectation of a consistent level of safety for all elevators; and a worldwide demand for safe innovative products.

STRATEGIC FOCUS

3.11 The role of elevators in emergencies is an important component of the safe utilization of buildings. NEII will continue to play a leading role in influencing the direction established by other stakeholders (e.g., model code groups, emergency responders, and building industry).

STRATEGIC FOCUS

3.12 The efficiency of the codes and standards development process needs improvement to expedite positive changes.

3.13 The trend toward green technologies is gaining momentum in NA, and building transportation is becoming a focus of environmental groups.


5

STRATEGIC FOCUS

3.14 NEII committees are to establish a policy to review committee position papers periodically, with a period not to exceed three years.

GOALS, OBJECTIVES, PRIORITIES, TERMS AND RESPONSIBILITIES

The various objectives which support each goal are marked in priority levels from 1 (highest) to 3 (lowest). The objectives are also identified as category 1 (near term), category 2 (completion within 5 years) and category 3 (develop industry trend). The priority and term categories are consistent with metrics previously employed.

PATH FORWARD

• No action is requested by NEII Board of Directors at this meeting

• NEII Long-Range Strategic Plan on agenda for December and February NEII Board of Directors meeting– Discussion– Questions– Suggested Revisions

PATH FORWARD

• April 2011 NEII Board of Directors meeting Executive Session – NEII Long-Range Strategic Plan– Discussion

– Approval


6

QUESTIONS

30-Sep-10 21


1

Elevator Escalator Safety Foundation

Update report to the National Elevator Industry, Inc.

September 28, 2010

NEII’s Donations

TOTAL: $357,500

$1

2,5

00

$1

0,0

00

$1

0,0

00

$5

,00

0

$5

,00

0

$1

0,0

00

$2

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00

$2

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00

$3

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00

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00

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00

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00

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00

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00

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00

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00

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00

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00

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00

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10,000

15,000

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35,000

1992

1993

1994

1995

1996

1997

1998

1999

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

EESF 2009/2010 Officers

Michael J. Ryan, Chairman (Peelle Company)

Robert Merlo, Vice Chairman (GS Elevator)

Robert Kazar, Treasurer (Canton Elevator)

Ricia Hendrick, Secretary (Elevator World)

NEII Representative on EESF Board

José M. Upegui, KONE

NEII / EESF Liaison

From: Upegui José [mailto:[email protected]] Sent: Tuesday, September 07, 2010 1:23 PMTo: [email protected]: Barbara Allen; Ricia Hendrick; Tang Vance; Stepaniak Kurt; Bruner SteveSubject: 28-Sep-10 NEII Board of Directors Meeting

Ed,Hope all is going well for you. Please note KONE has asked me to take on an assignment that requires for me to be outside the US, therefore, I will no longer be able to

represent NEII to EESF. I have already spoken with Barbara about it and she can make the presentation to NEII on 28th September on behalf of EESF. We will have the PPP to you by the 20th as you have requested.

A replacement is needed to represent NEII to EESF. This is an item you might like to include in your upcoming agenda.I wish to thank NEII, you and KONE for the opportunity to serve as NEII’s representative to EESF. It was a very rewarding experience where I met many enthusiastic and

dedicated industry people. I know EESF is a worthy institution with the best interest of children’s safety in mind. It is my belief we all “raised the bar” during the past two years. Before leaving, I am challenging the person taking over to help in doubling up the efforts. It is needed in order for EESF to reach 1,000,000 children per year within the next four to five years. This past year we reached 607,617 children.

All major elevator companies compete with each other every day. Let us transfer that spirit of competition to the promotion of EESF. I propose we will set a collective goal of reaching 50,000 children during the 2010-2011 school year. Barbara Allen and her EESF team can keep track of how many children, schools, locations etc. are reached by each participating company. That statistic I shared monthly among all of us and becomes part of the reports from EESF to NEII. We need to keep in mind we are all doing this for the kids and their safety. The more children we educate on how to ride elevators and escalators, the fewer incidents and accidents our industry will have. As a side benefit, our industry will improve its safety record, and each one of our NEII companies most likely will have fewer legal expenses.

To reach 50,000 children we must “kick off” the concept early in the school year. We at EESF have developed step-by-step instructions on how to approach schools, make the presentations, coordinate with EESF, record each presentation and encourage other members of our organizations to participate. All the Safe-T Rider© materials have been translated into Spanish. Please refer back to May 2010 Elevator World article pages 117-120. The DVD version will be available in Spanish by the end of September 2010.

I would like to end by giving special thanks to NEII for all its various contributions to EESF. A recognition goes to each and every member of EESF Board and Staff for the support I was given. Also, I would like to recognize Elevator World for the continuous support it gives to EESF, not only monetarily, but by promoting EESF with frequent articles in its magazine.

Kind regards,

Customer Based Risk Management-DirectorPhones: Off. 309-743-5437 Cell: 309-314-0711 Fax: 309-743-5743


2

Program Update

Safe-T Rider Growth Chart

500,0

00

700,0

00

450,0

00

450,0

00

450,0

00

450,0

00

450,0

00

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00

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00

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00

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515,629

450,021380,216406,383

452,258

400,198420,176345,810

185,824148,143

69211,035

104,073

305,422

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450,201503,037

0

100,000

200,000

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600,000

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/92

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/10

School Year

To

tal St

ude

nts

0

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Goal Actual

Program Update - Elevator U Project

Elevator Poster Escalator Poster


Moving Walk Poster

Safety Brochure


Inside Safety Brochure


3


Other components

• Planning Guide

• Public Service Announcement

• Riding Elevators and Escalators Safely article

• Riding Elevators and Escalators Safely Press Release

Inside Elevator Poster

Strategic Plan

2) EXPAND PROGRAM SCOPE

Obtain Congressional Support for Safe-T RiderPursue California Congressman George Miller to promote support

for our programs. Plan a press conference in Washington with Congressman Miller. The press conference should include

presidents of the major elevator manufacturers, Exec. Directors of associations, and head of the foundation – all people who support

the foundation.-Deadline: Safety Awareness Week November 2009

Step #4 leader: Marie McDonald Step # 4 team: Riegler

Fundraising Efforts

2010 CAMPAIGN RESULTS TO-DATE

GOAL: $300,000

20 September 10 20 September 09

Total Donations & Pledges $231,512 $270,110Number of Contributors: 211 230

Of the 211 Total 2010 Campaign Contributors:161 maintain status quo (donation total the same from 2009) - $170,87512 increased donation from 2009 - $6,11624 decreased donation from 2009 - $28,7179 contributed in the past, but not in 2009 - $2,1785 contributors are new members of EESF - $550197 contributors have been retained from the 249 contributors to the 2009 campaign for a retention total of 79.12%.

2010 EESF U.S. Campaign ChairmanSterrett Lloyd, Draka Elevator Products

2010 EESF Canadian Campaign ChairmanJean Pierre LaPointe, Draka Elevator Product

2010 Campaign Goal

$300,000

Contributor History

EESF Contributor History

$72,500

$208,534

$177,947

$207,617

$236,543$222,175

$250,740$268,785

$287,047

$253,651$270,883

$282,574$265,977

$307,974$299,895$304,363$317,188

$286,033

$231,512

$0

$50,000

$100,000

$150,000

$200,000

$250,000

$300,000

$350,000

1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

(to

date)


4

EESF 2011 Annual General Membership MeetingAGM Committee Chair: Martha Hulgan

Anyone who contributes to the EESF is invited to this meeting. Location: Battle House Hotel - Mobile, AL Tentative Agenda

WEDNESDAY, FEBRUARY 23, 2011Time TBA - Safe-T Rider presentation at local schoolTime TBA – Visit to EESF Headquarters

THURSDAY, FEBRUARY 24, 20118:00 a.m. - 12 Noon - New Board Member Orientation12 Noon - 5:00 p.m. - Executive Board Meeting6:00 - 9:00 p.m. - Welcome Reception with special presentation by a Mobile historian

FRIDAY, FEBRUARY 25, 20117:00 - 8:00 a.m. - Continental Breakfast8:00 a.m. - 5:00 p.m. - Board & Member Meeting12 Noon - 1:00 p.m. - Lunch buffet1:00 - 5:00 p.m. - Strategic Plan Update* 6:00 - 9:00 p.m. - Mardi Gras Party and Dinner

SATURDAY, FEBRUARY 26, 20117:00 - 8:00 a.m. - Continental Breakfast8:00 a.m. - 12:00 Noon - Board & Member Meeting, continued (if needed)12:00 Noon - 1:00 p.m. - Lunch on your own

Elevator Escalator Safety Foundation

Update report to the National Elevator Industry, Inc.

September 28, 2010


1

19/30/2010

Presentation to

NEII Board of Directors

Dotty Stanlaske

Executive Director

NAESA International

Cincinnati, OH September 28, 2010

39/30/2010

Who We Are

NAESA International (National Association of Elevator Safety Authorities) Four Regions

Accredited by ASME

Located in Tumwater, WA

49/30/2010

Organization’s Structure

1971: 1st full Board meeting held

1972: 1st Workshop held

Non-profit organization 501(c)(6) 2262 Members

2430 Certified Inspectors/Supervisors

Board of Directors

Board of Certification


2

Mission and Vision

Mission Statement: To promote current codes and standards, teach and educate stakeholders, certify inspectors, and assist the populace in enhancing elevator safety and understanding new elevator technology.

Vision Statement: NAESA International is dedicated to being the recognized leader in education and certification of elevator personnel and becoming a worldwide advisor and authority on elevator safety.

59/30/2010

What We Do

Initial certification of Inspectors

Training sessions: Custom and Standard Code Update

New Technology

Continuing Education for Inspectors and MechanicsRecognized in CA, FL, IN, IL, PA, TX, VT,

WA

Recognized by NAEC, EWIPF and QEI Services

69/30/2010

79/30/2010

Our Instructors

Jonathan Brooks— Past Chief, NC

Norm Martin—Chief, State of OH

Jim Meyers—Past Chief, State of CA

Jim Runyan—Education Director and Past Chief, State of OR

Bill Snyder—Private Inspector, FL

Joe Strzelec—Lead Engineer, State of CA

Bill Watson—Chief, City of Seattle

89/30/2010

Partnership with NEII

New Technology MRL exposure

Performance Based Safety Code Dizzy Elevator

Co-sponsored PBSC Webinar


3

99/30/2010

Partnership with NEII

A17.6-2010 Standard for Elevator Suspension, Compensation, and Governor Systems

Co-sponsor webinar on December 8, 2010

109/30/2010

Our Request

Resources

Resources

Resources

Mission and Vision

Mission Statement: To promote current codes and standards, teach and educate stakeholders, certify inspectors, and assist the populace in enhancing elevator safety and understanding new elevator technology.

Vision Statement: NAESA International is dedicated to being the recognized leader in education and certification of elevator personnel and becoming a worldwide advisor and authority on elevator safety.

119/30/2010

Thank you !

Questions . . . discussion

www.naesai.org


Amy J. Blankenbiller 5537 SW Urish Road • Topeka, Kansas 66610 • [email protected] • 785.580.5070

Executive & strategic leader with keen instincts and over 22 years of experience providing strengths in government relations, regulatory development, business management and corporate leadership.

PROFESSIONAL EXPERIENCE ADVOCACY • STRATEGIC PLANNING • PROBLEM SOLVING • CORPORATE MANAGEMENT

REGULATORY DEVELOPMENT • POLITICAL STRATEGY • POLICY EXPERTISE • BUDGETING COALITION BUILDING • PUBLIC SPEAKING • CONFERENCE & EVENT PLANNING

President AjB Strategies, LLC

January, 2010 - present Topeka, KS & Washington, DC

AjB Strategies, LLC is a consulting firm working with association, organizations and private businesses to develop and implement effective policy strategies at all levels of government.

Represent multiple client interests simultaneously, without conflict of interest. Provide strategic advice to clients on various advocacy, grassroots, communications, events and management. Work with client organizations to identify issues and develop policies. Generate specific strategies, including goals, tasks, timelines and deliverables. Manage national messaging and fundraising campaigns. Build strong grassroots and broad coalitions to move client agendas forward. Utilize diverse communication tools to deliver client messages to target audiences. Work with organizational boards, committees and other key stakeholders to serve client needs. Develop press releases, policy statements, briefing materials and other documents to support efforts. Serve as media spokesperson on behalf of clients as needed. Supervise a team of professionals to serve our clients. Provide weekly progress reports to clients on various projects.

President & Chief Executive Officer Kansas Chamber of Commerce

July, 2007- January, 2010 Topeka, KS

The Kansas Chamber is a statewide business advocacy organization comprised of five corporations and five affiliate programs, representing over 10,000 businesses through direct membership and coalition activities.

Directed ten staff and six contract service providers to meet all organizational goals. Created and maintained positive balance budgets of nearly $2M annually. Defined annual policy objectives and advocacy strategies; high rate of success on achieving goals. Created a dynamic new membership development program to increase average revenue per member. Crafted policy, political and membership messaging for organization. Maintained strong relationships with state and federal policy leaders, businesses and other key stakeholders. Seized opportunities for innovation, partnerships and coalitions to move organizational interests forward. Developed five year strategic plan with overall organization objectives and measurable goals. Conducted complete internal assessment of structure, policies and procedures; implemented revisions to

increase efficiency, revenue and member involvement; implemented SMART goals for staff and departments. Oversaw operations, fundraising and campaign involvement for third largest political action committee in Kansas. Managed multiple events including largest gathering of business and political leaders in state, economic summits,

congressional summits, political fundraisers and high profile stakeholder meetings. Served as chief spokesperson for organization, testifying before legislative committees, speaking to the press,

delivering speeches on a variety of policy, political, organizational and leadership issues. Represented organization on numerous state and national boards and commissions.


Amy J. Blankenbiller • 785.580.5070 • [email protected]

page 2

Senior Associate & Client Manager Waterman & Associates, Government Relations

December, 1996 – July, 2007 Washington, DC

Waterman & Associates is private firm working with national organizations to develop and implement effective federal policy strategies and provide business solutions to assist clients in meeting organizational goals.

Managed two trade association contracts representing $500,000 in firm revenue. Provided technical and strategic advice to clients on environment, energy and business policy. Developed client policies and strategies, including timelines, goals, objectives and deliverables. Managed legislative and regulatory initiatives; analyzed impacts; gathered data; and prepared issue briefs,

articles, testimony, regulatory comments and position papers. Managed technical committees and negotiated numerous federal rulemakings on behalf of clients. Represented multiple client interests simultaneously on issues before Congress and federal regulatory agencies. Managed two large, annual conferences and numerous other special events. Served as client representative at conferences and other forums; delivered speeches across the nation on policy,

political and technical issues. Supervised staff and volunteers to meet the needs of client groups; assisted with internal firm management

including client development, staffing and strategic business decisions. Areas of focus included: All major environmental statutes, energy efficiency and business issues.

Legislative Director , Environmental Issues National Association of Home Builders

November, 1992 - November,1996 Washington, DC

The National Association of Home Builders is one of the largest national trade associations, representing over 200,000 members.

Represented the housing industry and its interests before Congress and regulatory agencies. Defined organization’s policy objectives; developed and managed advocacy strategies; facilitated member

participation in the federal policy arena. Monitored and analyzed legislative and regulatory activities; wrote issue briefs, testimony and policy statements. Developed compliance assistance tools for the home building industry. Provided written and verbal updates to key stakeholders; delivered speeches on a variety of topics. Participated in national coalitions on behalf of industry. Areas of focus included: Clean Water Act, natural disasters, air pollution, solid waste and Superfund.

Congressional Liaison Specialist U.S. Environmental Protection Agency

January, 1991 – November, 1992 Washington, DC

Appointed by President George H.W. Bush to serve as the liaison between Congress and U.S. EPA. Represented agency before Congress in meetings, briefings and congressional hearings; responded to inquiries

from Members of Congress; and negotiated legislative provisions on behalf of the agency. Analyzed legislation, wrote congressional testimony, assessed policy initiatives, drafted issue briefs and analyses. Areas of focus included: toxics, emergency response, Persian Gulf War environmental impacts and Alaska issues.

Staff Assistant U.S. Representative Bob Whittaker (R-KS)

June, 1988 – December, 1990 Washington, DC

Provided general staff support to Ranking Member of the U.S. House of Representatives Committee on Energy and Commerce and his senior staff.

Managed the constituent services and casework database. Reviewed legislation, attended hearings, conducted research and drafted correspondence.


Amy J. Blankenbiller • 785.580.5070 • [email protected]

page 3

BOARDS, ORGANIZATIONS & OTHER

U.S. Chamber Committee of 100, Committee Member, 10/2009 – 1/2010 Leadership Kansas, Class of 2008, Board Member, 8/2009 – 1/2010 Kansas Environmental & Energy Policy (KEEP) Advisory Group, Member, 5/2008 – 1/2010 Information Network of Kansas, Board Member, 1/2008 – 1/2010 Eisenhower Excellence in Public Service Series, Board Member, 8/2009 – Present Council of State Chambers, Member, 7/2007 – 1/2010 Council of State Manufacturing Associations, Member, 7/2007 – 1/2010 RNC Women’s Leadership Conference, Invited Participant, 2/2009 Adjunct Professor, George Washington University, Graduate School of Political Management, 2007

EDUCATION

Masters Coursework: Environmental Urban Planning & Law University of Virginia B.A. Political Science University of Kansas Negotiation Training, “Getting to Yes!” Harvard University


Proposal to the National Elevator Industry, Inc. for services of their Government Affairs Consultant

Submitted by AjB Strategies, LLC September 8, 2010

Overview

AjB Strategies, LLC is a consulting firm focused on advocacy, communications, political strategy and event services tailored to meet the individual needs of our clients. The company’s principal, Amy J. Blankenbiller, has 22 years of government affairs experience, coupled with the capabilities of key members of my professional network, will create a formidable government affairs team for NEII. After our discussions on August 26, it was clear that NEII desires a new, creative and comprehensive government affairs program to promote elevator safety and help drive the adoption of associated codes, standards and policies across the nation. And, given the nature of an unstable regulatory environment and the fact that building codes are not universally implemented, NEII will need plans tailored to the political environments of each state/jurisdiction. This is a complex and sizeable undertaking that requires a team of professionals to address numerous jurisdictions simultaneously. As we have discussed, I have assessed various political landscapes and developed effective strategies to secure legislative and regulatory policy objectives on both the national and state levels. My strategies are based on solid research, a thorough analysis of previous efforts and personal attention to detail. They are multi-faceted, drawing on a variety of tactics in order to formulate the most effective plan for the desired outcome in a given area. I have identified at least two professional partners who will work with me on the NEII contract. They have experience from working in numerous state political arenas, strong coalition building capabilities and keen political instincts. Collectively, we have key contacts in nearly every state across the country and the knowledge, skills and abilities to move the NEII agenda forward. In response to the NEII’s invitation to meet with the Board of Directors and the request for additional information, I am submitting this more detailed proposal to outline how AjB Strategies would fulfill the role as NEII’s Government Affairs Consultant. As requested, this proposal addresses three main areas: getting up to speed, how we plan to carry out the duties and responsibilities of this position and the fee structure associated with these services. In addition, I have included an estimated timeline for the development and implementation of the new NEII Government Affairs Strategy.


AjB Strategies Proposal to NEII

Page 2

Getting up to Speed

From its inception, NEII has been representing its members in the codes and standards arenas, and more recently NEII has engaged in the public policy arena as well. NEII cannot move forward effectively without a clear understanding and thorough analysis of what has been done in the past. Additionally, elevator safety issues and associated building codes are technical and complex. Time and attention must be dedicated to the comprehension of the codes, standards and policy issues for the elevator industry. The following are activities AjB Strategies recommends be undertaken to get up to speed on NEII’s issues, efforts and relationships:

EDUCATION

Review NEII Government Affairs Committee and Board minutes.

Visit NEII member facilities.

Tutorial on key issues, codes and standards provided by key NEII representatives.

Attend ICC, ASME and other conferences or meetings that impact industry regulations and legislation.

RESEARCH

Examine current approaches utilized by NEII to move policy and code objectives forward.

Gather code and policy authority, process, key dates and other information related to elevator code consideration in each state or key local jurisdiction.

Characterize the political landscape of each state.

INTERVIEWS

NEII Managing Director.

Chair and members of the Government Affairs Committee.

Key members of the NEII Board and leadership.

Consultants who provide services in the following areas: o Legislative and/or regulatory issues. o Codes and standards. o Communications.

NEII members working on efforts in various states.

COALITIONS & MEMBERSHIPS

Assess existing relationships.

Identify coalition activities of benefit.

Recommend potential organizational memberships.

Identify opportunities to build strategic partnerships.

AREAS OF FOCUS

Prioritize policy objectives.

Identify a preliminary list of top tier states.

Identify those states where less urgent attention is needed.



Page 3

Codes, Standards & Government Affairs

In order to be successful, it is essential to know your audience and complete your research before developing your plan of action. We need to analyze each state and overlay the NEII priority objectives in order to develop strategies tailored to the specific political landscapes.

STATE PROFILES AjB Strategies recommends developing a catalogue of state profiles that contains critical information from each state. We will utilize this information to develop the most effective policy and code adoption strategies. The state profiles should include:

Code authority in each state and in some cases, key local jurisdictions.

Overview of code adoption process at state and local levels.

Identification of key state and regional code and fire official associations and their policy positions on issues impacting the elevator industry.

Dates for future consideration of elevator codes.

NEII presence in the state and previous NEII strategies.

Identification of lessons learned from past successful and less effective efforts.

State legislature and/or regulatory agency overview.

Key stakeholders.

PRIORITY STATES Not all states are equal, and they do not address codes in the same fashion or on the same timeline. NEII will be most effective with a systematic approach that focuses time and attention on the top priority areas first. Key tactics to identify the priority states include:

Develop a timeline when each state will likely address/update elevator codes.

Overlay NEII’s priority issues and key states.

Group states in categories of top priority, 2nd tier, 3rd tier, etc. (approx. 10 each)

INDIVIDUAL STATE STRATEGIES Once we have identified NEII’s top priority states, we will develop strategies for each state. In some cases, the strategy may be focused on one or more jurisdictions within a state (ex. NYC, Dallas/Houston/San Antonio, Atlanta) rather than the state as a whole. In addition, it may be determined that NEII will need to retain local lobbyists to implement one or more aspects of a specific strategy. Key tactics to develop state-specific strategies include:

Utilize state profile.

Meet with key policymakers and stakeholders to: o Define political landscape. o Identify most influential players within policy arena.

SUPPLEMENTAL TACTICS Utilizing relationships with national organizations to adopt model legislation or policy proposals can provide additional opportunities to move NEII’s efforts forward. Opportunities include:

Council of State Governments (CSG).

American Legislative Exchange Council (ALEC).

National Conference of State Legislatures (NCSL).



Page 4

Communication

Ensuring that your message is heard and understood is an essential component of any successful advocacy strategy. There are numerous ways to convey information and not all communication tools are equally effective. NEII should utilize a multi-faceted strategy that incorporates a variety of mechanisms in order to reach the target audience and prompt the desired action. A communication plan to support the NEII government affairs efforts should include:

Review and assessment of current communication methods and materials.

Input from Government Affairs Committee and others on information of greatest interest.

Routine updates on the NEII website.

Action Alerts.

Briefing materials for policymakers.

Grassroots materials.

Monthly reports to NEII Government Affairs Committee Chairman or Managing Director.

Education

It is clear that an educational component needs to be incorporated into the overall NEII government affairs program. Educational efforts can be included in the state-specific strategies as well as developed for broader audiences. Key elements to support educational efforts include:

Reviewing existing materials.

Modify or develop materials as needed.

Work with regulatory agencies or other organizations representing key constituencies on promotional efforts.

Work with the communications consultant to develop a core presentation as needed.

Secure opportunities at various upcoming conferences, seminars or other events where it would be appropriate to conduct a program or make a presentation.

Identify organizations where we might partner to reach broader audiences.

Conduct meetings with key stakeholders.

Other Core Responsibilities

As the NEII Government Affairs Consultant, AjB Strategies will provide certain other services that directly support the success of our program. These services include:

Ms. Blankenbiller will participate in each NEII GAC meeting.

Another member of the AjB Strategies team will participate in the NEII GAC to record the minutes and provide additional administrative support as needed.

Serve as a spokesperson to the media and other organizations

Coordinate efforts with other key committees and personnel.

Participate in coalitions as appropriate.

Participate in other NEII meetings/sessions as requested.

Other tasks as assigned by Government Affairs Chair or Managing Director.



Page 5

Timeline

Creating an effective national program is time intensive. It is important that we do not shortcut any part of the process and work deliberately to ensure the greatest opportunity for success. A solid foundation is built on good data and credible information. Comprehensive plans are developed carefully to build on success and seize new opportunities. Long-term success is derived from strategic implementation with ongoing review and modifications as needed. To follow is an estimated timeline for the strategic implementation of NEII’s government affairs program.

Staffing

Due to the breadth and complexity of this proposal, AjB strategies will engage a team of 3-4 professionals to fulfill the duties and responsibilities of this program. Ms. Blankenbiller will serve as the primary point of contact, key strategist and principle representative of NEII. Other team members will gather information, draft updates and other communications, work on the state profiles and assist in the management of the multiple strategies in numerous states/jurisdictions. Work experience from the additional AjB Strategies team members includes:

State Government Affairs Manager for two Fortune 100 companies.

Public affairs for a national property insurance trade association.

National political conventions state delegations manager.

Management positions in PA, MA, TX and CA statewide policy conferences.

Local government advocacy campaigns.

VIP state event advance work and state political strategies for two Administrations.

National, state and local campaign management and fundraising.

AjB Strategies will also leverage the strong relationships our team members have built with lobbyists, organizations and other political operatives across the country. These state-level contacts can provide insight on the political arenas in which they work and on-site assistance if needed.

2011

•Get up to speed.

•Gather information.

•Develop State Profiles.

•Develop first set of state strategies.

•Evaluate supplemental tactics, coalitions, communications and educational efforts.

2012

•Implement strategies in top tier states.

•Develop tier two state strategies.

•Update State Profiles.

• Modify education and communication efforts as needed.

•Review, assess and modify ongoing efforts.

2013

•Implement strategies in tier two states.

•Develop tier three state strategies.

• Update State Profiles.

• Modify education and communication efforts as needed.

•Review, assess and modify ongoing efforts.



Page 6

Fee Structure

A monthly retainer of $23,500 is requested to cover the staff time necessary to fulfill the Government Affairs Consultant duties and responsibilities outlined for the first year of this proposal. Expenses will be billed separately. AjB Strategies will submit a monthly invoice for the retainer and outline any associated expenses. Once the priority states/jurisdictions have been identified and specific strategies developed for those target areas, additional funds may be necessary if we identify a specific need to hire a local operative (i.e., contract lobbyist) in one or more states. AjB Strategies estimates, however, that this tactic would not be employed until 2012.

Also, in order to assist NEII is its overall budgeting efforts AjB Strategies would like to recommend that NEII have a Government Affairs travel budget of $20,000-$25,000. While it is important to note that AjB Strategies will be as efficient as possible, the first year of this plan will require team members to be on site in different states at various times. This budget item is based on an estimated 20+ trips with a breakdown of key expenses averaged as follows: $500 per airline ticket, $200 per night hotel and $100 per diem for meals and miscellaneous expenses. The scope of this proposal and all associated fees are negotiable. Thank you for your consideration. Respectfully submitted,

Amy J. Blankenbiller President, AjB Strategies, LLC


Robert J. Bain

7 Spring Farm Lane, Schenectady, NY – (518) 429-9450 Qualifications Summary Seasoned lobbyist and public affairs professional with solid management experience. Dynamic and resourceful public spokesperson with strong communication skills and media savvy. Author, researcher, writer and administrator with a reputation for competence, integrity and good humor. Experience Highlights Administrator

Led a statewide research and public information (The Crisis Program) that raised public awareness of poor transportation infrastructure conditions in New York State.

Administered union political activity and instituted programs to support state legislative candidates.

Manager

Managed the Manhattan offices of a state agency and a diverse staff of 75. Formally received the 18-member Jiangsu Foreign Affairs Delegation of business,

government and media officials from China on behalf of the State of New York. Led a six-member staff to pursue a union’s state legislative agenda in Albany.

Communicator

Statewide media spokesperson for New York’s highway construction industry and author of Meeting The Challenge, a hard cover history of New York’s highway development from 1926 to 1976.

Magazine and newsletter editor, writer and columnist. Energized a union grassroots network by developing and presenting political training

seminars to members statewide. Strategist

Advisor to two New York secretaries of state and reported on state issues of interest to the Department.

Advisor to a union president and officers, as well as the contract negotiation team and a 130-member executive board regarding strategies and public policy positions.

Worked with a 35-member industry association board of directors and committee chairpersons to develop and execute legislative strategies to achieve the goals of the organization.

Advocate

Successfully lobbied to create the first dedicated highway trust fund in New York. Coordinated business and industry coalitions in support of successful state bond

issues and legislation of mutual interest. Successfully lobbied on key union issues like pension reform and worker safety.


Employment History DEPUTY SECRETARY OF STATE FOR OPERATIONS DIRECTOR OF PROGRAM REVIEW New York Department of State, Albany/NYC 2003 - 2008 POLITICAL DIRECTOR Public Employees Federation, Albany, NY 1998 - 2003 DIR. OF GOVERNMENT AFFAIRS Associated General Contractors, Albany, NY 1975 – 1998 Volunteer Leadership PRESIDENT EPILEPSY FOUNDATION OF NORTHEASTERN NY, Albany, NY

Two-term president, member of the Board of Directors, fundraising committee chair and board officer.

Oversaw significant growth of the organization, the expansion of its programs and client services and the initiation of a strategic planning process.

Recipient of the Foundation’s Volunteer Leadership Award in recognition of outstanding leadership and support.

PRESIDENT EMPIRE STATE SOCIETY OF ASSOCIATION EXECUTIVES, Albany Two-term president, member of the Board of Directors, board officer

and chair of several committees. Recipient of ESSAE’s Active Member Award recognizing

outstanding contributions to the profession of association management.

PRESIDENT GUILDERLAND ELEMENTARY SCHOOL PTA, Guilderland, NY Two-term president who developed fundraising programs that

provided additional student resources outside of the regular school budget.

Education & Training UNION COLLEGE Schenectady, New York B.A. Political Science

NIMS INTRODUCTION (IS-700) – National Incident Management System Training Presented by the NY Department of State and acknowledged by FEMA in 2005 ICS INTRODUCTION (IS-100) – National Incident Command System Training Presented by the NY Department of State and acknowledged by FEMA in 2005

R. Bain Resume Page Two


NEII GOVERNMENT AFFAIRS CONSULTANT PROPOSAL

BAIN GOVERNMENT AFFAIRS Robert J. Bain, Principal

September 8, 2010

Getting Started Review minutes of the Board of Directors meetings and the GAC meetings over the last year to assess actions taken and priority objectives identified by the BOD. Also review listings of NEII member firms, committees and any documents relating to strategic planning activity undertaken by the association. Meet with the full GAC, the NEII Managing Director and Codes and Safety Consultant to further identify issues of immediate concern and establish an open line of communication between all parties. Complete and submit forms to the Federal government, appropriate states and cities authorizing the Consultant to lobby on behalf of NEII. Meet with Gibbs & Soell Public Relations to review NEII’s communication efforts and discuss additional options available to spread the association’s message to the media, the general public and the membership. Identify and reach out to other industry groups, trade associations and organizations that work with NEII on issues of common interest, as determined by the BOD. Secure a schedule of all industry meetings and conferences held on a regular basis in which NEII and its members participate. Prioritize Issues & Objectives Produce a list of key government affairs issues to be addressed and the specific outcomes desired for BOD discussion and approval. This will include both short and long term objectives. Plan and Execute Identify and contact key government officials. Face to face meetings will be preferred in areas where priority issues exist. Engage lobbyists and others monitoring regulatory matters in those areas to discuss strategies and local information. Draft and circulate letters and memoranda in support to legislators, staff and key agency officials supporting our position. Make public presentations to committee and agency hearings.


Page Two Research and distribute data detailing the significant impact the Industry has on local, state and national economies. Produce and circulate op-ed pieces and news articles to raise public awareness of our priority issues and the elevator industry. Offer a positive narrative detailing how the building transportation industry touches the lives of millions of people every day and how the use of new technology can improve safety, save energy and create thousands of jobs. Build or maintain relationships with other organizations approved by the BOD that can join NEII in pursuing the stated objectives in those regions where priority issues exist. Member Communication Submit activity and issue reports to the Board of Directors on a regular basis of the Board’s choice. Research and report to Board and membership regarding industry news and developments of interest. Make presentations to Full Regular Member companies to discuss NEII’s government affairs activities, the issues at hand and the importance of their support and engagement in these efforts. Establish a government affairs “blog” on the NEII web site to further involve members in identifying and discussing issues and objectives, as well as providing up to date information on specific items, upcoming meetings and events. Compensation The fee for the services of BAIN GOVERNMENT AFFAIRS as NEII Government Affairs Consultant is a flat monthly payment of $ 12,500 under an initial consulting agreement of twelve months. In addition, NEII will also pay for the following expenses: ~All travel expenses to and from all work sites ~Meal expenses ~Lodging expenses if work demands overnights stays ~Miscellaneous travel-related expenses including parking and tolls


1

Performance Based Code Project CCC/GAC Report

Presentation to:NEII Board of DirectorsCincinnati, OHSeptember 28, 2010

Presented by:Lou BialyJohn Karnash

Confidential 2

Introduction

• Adoption of A17.7 / B44.7 PBC is crucial for the successful introduction of innovative technology and is the remaining major step in the NEII plan for PBC

• Stateside Associates is our lobbying organization to encourage adoption on jurisdiction by jurisdiction basis

Confidential 3

Process

• Regular discussions continue to be held with Stateside Associates to review progress and assist in meeting objectives

• Overall approach focuses direct lobbying of key jurisdictions by lobbyists and the creation of a supportive atmosphere for adoption of the A17.7 / B44.7 PBC

Confidential 4

Process• Emphasis being placed on Target States

• Leveraging other Stakeholders

– ASME

– AECOs

– NAESA

• Effort is continuing to educate the AHJs and create a positive atmosphere


2

Confidential 5

Action

• PBC website is active and providing information and answering questions about the PBC– Website address: http://www.pbc-elevator.com

• Website explains PBC and has list of FAQs and answers

• Website is being used extensively

Confidential 6

Action• Three NEII webinars conducted by Lou Bialy

and Ed Donoghue for AHJs, Consultants and NEII members

• Elevator World Webinar for AHJs and Consultants conducted by Lou Bialy and Jim Coaker in Feb ‘10

• Webinar conducted by UL for all Jul ‘10

Confidential 7

Action• Podcast being prepared

– Intended to address concerns of enforcing authorities

• Safety of process• Concerns about loss of authority• Don’t feel there is an imminent need at present

– Podcast will be in form of Q&A and will feature NEII, AECO and AHJ experts

– Ed Donoghue will Chair the Podcast– Podcast will be available on PBC, ASME,

NAESA and AECO websites

Confidential 8

Action

• AECOs helping in lobbying AHJs

• ASME cooperating in promoting A17.7/B44.7

• Lobbying and presentations to AHJs

• PBC Papers in Elevator World– Sept 09 by Lou Bialy

– Jan 10 by Norm Martin

– Mar 10 by Lou Bialy and Davis Turner

– May 10 by Lou Bialy and Davis Turner


3

Confidential 9

Progress

• Strong adoption in Canada

– 8 Provinces, 1 Territory

– others in process

• US adoption is slow at this time

– 16 Jurisdictions so far

• Strong action by NEII in CA

Confidential 10

CA Action

• CA is major target at present as it is an example for the others

• Stateside engaged Greenberg Traurig to lead lobbying activity

– Jeff and Dan Leacox playing leading role

– Director Debra Tudor and staff supportive

– Adoption process proceeding

Confidential 11

PBC – Projected 2010 Expenditures

• Board Authorized $275,000 PBC Budget for 2010

• Projected Expenditures for 2010:

– Management Contract Amount (Stateside) $120,000

– Estimated Non-Contract Amount 80,000(Counsel, conference calls, etc.)

Total $200,000

Confidential 12

PBC – Proposed 2011 Budget

• Budget includes four (4) critical areas:

1. Project Management

2. Lobbyists / Attorneys

3. Webinars

4. Printing, Travel, Miscellaneous


4

Confidential 13

• Project Management - $120,000

– Fee: Covers statutory and regulatory research, management of lobbyists / counsel, webinars, etc.

• Lobbyists/Attorneys - $140,000

– Target jurisdictions focus

– Leverage existing adoptions, e.g. IL

• Travel & Miscellaneous - $10,000

Confidential 14

2011 Proposal:

• Budget proposal for PBC Project is $270,000


ANTITRUST GUIDE FOR MEMBERS OF

NATIONAL ELEVATOR INDUSTRY, INC.

Page 1 of 3

As with all trade associations, the National Elevator Industry, Inc. (NEII) is subject to strict scrutiny under federal and state antitrust laws. One of the most powerful laws is the Sherman Act. Section 1 of that Act prohibits "contracts, combination or conspiracies... in restraint of trade.” To prove a violation, it has often been difficult to demonstrate the essential element of "combination.” By its very nature, however, a trade association is a combinat ion. Thus, there is no problem in proving that fact. This should signal trade associations such as NEII, that they must proceed with extreme caution to avoid being cited for ant i t rust infr ingements, which carry st i f f f ines and jail sentences.

Responsibility for enforcement of the antitrust law lies with the Department of Justice, the Federal Trade Commission, and the more than 40 states which have enacted antitrust legislation.

The federal government can be expected to bring approximately five civil and ten criminal cases each year against or involving trade associations. Penalties are severe. For violations of the Sherman Act, each individual can be fined up to $1,000,000 and receive up to a 10-year prison sentence, and each member corporation can be fined up to $100,000,000. In certain circumstances, the maximum fines can go even higher, up to twice the gain or loss involved. Individuals and corporate officers are subject to imprisonment of up to three years. In addition, the government can impose civil penalties such as cease and desist orders. These result in government oversight of association members. This, in turn, inhibits association activities and may culminate in the dissolution of the association entirely.

In addition to lawsuits prosecuted by the government, civil treble damage suits can be brought by competitors and consumers. For example, discussions among members about future product plans or marketing plans, or with regard to specific customers, may be interpreted as creating an understanding that the companies will restrain competition. Members may be held liable for treble damages for injury resulting from this type of conduct. Some types of conduct, such as price-fixing or marketing allocation, do not provide for any defenses, so that proof of the mere fact of the activity constitutes a violation.

From a practical standpoint, trade associations such as NEII should focus their concern on five principal areas. These are: (1) price fixing (2) division of markets, jobs and customers (3) membership (4) standardization and certification, and (5) industry self-regulation.

Price-Fixing. Violations of antitrust laws are most likely to occur in the area of price-fixing. The government has evinced its greatest concern about this area. A price-fixing violation can be inferred from the fact of similar price conduct by members, even though there is no written or oral agreement shown. One court of appeals emphasized that an unlawful price-fixing agreement may be shown in many




Page 2 of 3

different ways, including "a knowing wink," and declared that a jury could infer such an agreement from evidence of meetings among competitors at which prices were discussed, followed by generally uniform prices or price changes. If prices are fixed, it is no defense that the prices set are reasonable or that the ends sought are worthy.

Division of Markets, Jobs and Customers. Competitors cannot establish competitive stability by dividing markets, jobs or customers. Any agreement between competitors to permit one "to take this one and I'll take the next one" is illegal. Similarly, in bidding situations, agreements to refrain from bidding or acting in collusion in preparing bids are illegal because they eliminate competition.

Membership. A basic assumption about associations is that an economic benefit is derived from membership. Otherwise, no one would pay to join associations. Denial of membership to an applicant where membership is necessary in order to effectively compete in the industry may therefore constitute a restraint of trade. Membership criteria must be carefully drafted to reduce the potential of issues relating to membership exclusion.

Standardization and Certification. An association must not draft voluntary industry standards to favor some and discriminate against others. Similarly, antitrust problems may result if association certification activities further interests of certain groups to the exclusion of others.

Industry Self -Regulation. Codes of ethics with enforcement procedures are commonly established by associations. It is laudable for an association to wish to promote high ethical standards, but antitrust problems may ensue if an association's code of ethics or its enforcement causes economic injury and has an anticompetitive or insufficient business purpose.

GUIDE FOR MEMBERS AT ASSOCIATION GATHERINGS The best way to avoid possible violation of the antitrust laws at association gatherings is compliance. The association should resolve to avoid discussion of certain sensitive subjects. Informal gatherings, such as dinners or "rump sessions," which may occur in conjunction with association meetings, are viewed with great suspicion by the government and private parties.

The following topics should be scrupulously avoided in formal meetings or "rump sessions,” or at any time amongst NEII members. Therefore:

1. Do not discuss prices, past, present or future. 2. Do not discuss what is a fair prof it level. 3. Do not discuss an increase or decrease in price.




Page 3 of 3

4. Do not discuss standardizing or stabilizing prices 5. Do not discuss pricing procedures. 6. Do not discuss discounts. 7. Do not discuss credit terms. 8. Do not discuss controlling sales. 9. Do not discuss allocating markets. 10. Do not complain to a competitor about its prices or that its prices

constitute unfair trade practices. 11. Do not discuss bids with competitors or identify costs included in bids

with competitors. 12. Do not discuss refusing to deal with a buyer because of its pricing or

distribution practices. With regard to antitrust risks present in membership and industry self-regulation, membership policies must avoid:

1. Restrictions on dealing with non-members. 2. Exclusions from membership, if there is a significant business advantage

in being a member. 3. Limitations on access to non-confidential association information,

unless the limitation is based upon protection of trade secrets, although reasonable charges for access can be imposed.

Industry self-regulation and codes of ethics must avoid:

1. Requiring refusal to deal with any member violating the association's

code of ethics. 2. Arbitrary enforcement of the code. 3. Unreasonably severe penalties for violation of the code. 4. Regulations or policies which have price-fixing implications, such as

preventing the advertising of prices. Trade associations such as NEII should bear in mind that they are targets for government antitrust enforcers and private treble damage suits. By conducting its business openly and avoiding even the appearance that its members are engaging in activity which might be seen to have an effect on prices or competition, NEII can put itself and its members in a strong position to protect against any charges of antitrust violations. APPROVED: NEII Board of Directors, 28-Sep-2010 h:\wpdocs\neii\neii antitrust guide.doc


NEII ADMINISTRATION AGREEMENT National Elevator Industry, Inc. (NEII) and Edward A. Donoghue Associates Inc. (EADAI) hereby agree as following: NEII shall retain EADAI to perform administration services for NEII consisting of the following: TELEPHONE

NEII telephone calls to be answered automatically as NEII, then directing caller to proper extension.

Respond to request for information and assistance. Telephone equipment supplied by EADAI. Separate fax telephone number not required. EADAI fax number and equipment will be

used for NEII. MAIL

Pick up and sort mail. Distribute as needed. Respond to request for information and assistance.

FININCAL

Maintain NEII books using QuickBooks computer software. o Make records available to NEII Account for annual audit. o Monthly statements to NEII Treasurer.

Checking account to be maintained at Glens Falls National Bank. o Prepare checks and circulate for signature by treasurer or president. o Make deposits.

Review bills and process for payment. Prepare dues statements. Maintain NEII GAC Services budget report and distribute to NEII Government Affairs

Consultant, NEII Code and Safety Consultant, Chair NEII Government Affairs Committee and NEII Treasurer.

WEB SITE

NEII web site hosted locally. Work with web master on design and updates. Work with CodeFinder Developer and NEII Code and Safety Consultant to maintain and

update database. Post all new and revised information provided by NEII Code and Safety Consultant and

NEII Government Affairs Consultant.


NEII ADMINISTRATION AGREEMENT Page 2 of 3

Respond to request for information and assistance. Monthly securities checks and revoke privileges of individuals no longer with member

companies. Set access permission for individuals appointed/removed from committees. Send out notice when new edition of NEII Now and NEIEP Conduit available on web

site. Respond to notices of excessive use of NEII CodeFinder. Collect document for updating and maintaining NEII Code Records Database.

BOARD OF DIRECTORS

Prepare Board and NEII Annual meeting agenda and minutes. Provide secretarial service (Board Meeting, etc.)1. Provide liaison between Board of Directors, Committees and Members. Facilitate Board of Directors letter ballots.

NEII COMMUNCATIONS COMMITTEE

Provide secretarial service1. Coordinate work of NEII Public Relations Firm. Act as NEII spokesperson. Coordinate publication of NEII NOW.

MEETING ARRANGEMENTS

Board of Directors. Annual meeting. NEII Communications Committee. Travel to other than NEII Board of Directors Meetings and NEII Annual Meetings will be

billed at $450.00 per day plus expenses.

MISCELANEOUS

Oversee record storage (off site). Stationary control. Maintain membership records. Support and coordinate activities of NEII Code and Safety Consultant and NEII

Government Affairs Consultant. Collection and distribution of quarterly statistics and annual accident statistics survey. Chair NEII Strategic Planning Committee.

1 Including Board and NEII Annual meeting attendance and travel.


NEII ADMINISTRATION AGREEMENT Page 3 of 3

The following expenses will be billed directly to NEII at cost:

Telephone and telegraph charges. Postage. NEII stationary. Reproduction and facsimile. Accountant fees. Bank fees. P. O. Box fee. NEII Web Site fees. Off site record storage fees. Travel expenses including air fares, lodging, meals, car rental, parking, highway mileage,

etc. Other out of pocket expenses directly attributable to NEII.

Except for reimbursement of the expenses detailed above, EADAI shall bear all the costs of maintaining the office for the NEII administrative services. EADAI will provide the NEII administrative service for a period commencing January 1, 2011 and ending December 31, 2013. NEII and EADAI agree that either party may cancel this agreement after January 1, 2012 by giving the other party sixty (60) days written notice. NEII shall pay EADAI four-thousand five-hundred dollars ($4,500.00) per month for administration services. NEII will be invoiced monthly for all cost and fees as specified in this agreement. Invoices are to be paid within twenty-five (25) days of the billing date, as shown on the monthly statement. FOR NATIONAL ELEVATOR INDUSTRY, INC. By: ___________________________________________ _________________ Randy Wilcox, President Date FOR EDWARD A. DONOGHUE ASSOCIATES INC. By: ___________________________________________ _________________ Edward A. Donoghue, President Date c:\my documents\wpdocs\business\neii administration agreement 2011.doc


1

Edward A. Donoghue

From: Upegui José <[email protected]>Sent: Tuesday, September 07, 2010 2:23 PMTo: [email protected]: Barbara Allen; Ricia Hendrick; Tang Vance; Stepaniak Kurt; Bruner SteveSubject: 28-Sep-10 NEII Board of Directors Meeting

Ed, Hope all is going well for you. Please note KONE has asked me to take on an assignment that requires for me to be outside the US, therefore, I will no longer be able to represent NEII to EESF. I have already spoken with Barbara about it and she can make the presentation to NEII on 28th September on behalf of EESF. We will have the PPP to you by the 20th as you have requested. A replacement is needed to represent NEII to EESF. This is an item you might like to include in your upcoming agenda. I wish to thank NEII, you and KONE for the opportunity to serve as NEII’s representative to EESF. It was a very rewarding experience where I met many enthusiastic and dedicated industry people. I know EESF is a worthy institution with the best interest of children’s safety in mind. It is my belief we all “raised the bar” during the past two years. Before leaving, I am challenging the person taking over to help in doubling up the efforts. It is needed in order for EESF to reach 1,000,000 children per year within the next four to five years. This past year we reached 607,617 children. All major elevator companies compete with each other every day. Let us transfer that spirit of competition to the promotion of EESF. I propose we will set a collective goal of reaching 50,000 children during the 2010-2011 school year. Barbara Allen and her EESF team can keep track of how many children, schools, locations etc. are reached by each participating company. That statistic I shared monthly among all of us and becomes part of the reports from EESF to NEII. We need to keep in mind we are all doing this for the kids and their safety. The more children we educate on how to ride elevators and escalators, the fewer incidents and accidents our industry will have. As a side benefit, our industry will improve its safety record, and each one of our NEII companies most likely will have fewer legal expenses. To reach 50,000 children we must “kick off” the concept early in the school year. We at EESF have developed step-by-step instructions on how to approach schools, make the presentations, coordinate with EESF, record each presentation and encourage other members of our organizations to participate. All the Safe-T Rider© materials have been translated into Spanish. Please refer back to May 2010 Elevator World article pages 117-120. The DVD version will be available in Spanish by the end of September 2010. I would like to end by giving special thanks to NEII for all its various contributions to EESF. A recognition goes to each and every member of EESF Board and Staff for the support I was given. Also, I would like to recognize Elevator World for the continuous support it gives to EESF, not only monetarily, but by promoting EESF with frequent articles in its magazine. Kind regards,


2

Customer Based Risk Management-Director Phones: Off. 309-743-5437 Cell: 309-314-0711 Fax: 309-743-5743 THE INFORMATION CONTAINED IN THIS MESSAGE IS INTENDED FOR THE EXCLUSIVE USE OF THE ADDRESSEE, AND MAY CONTAIN CONFIDENTIAL OR ATTORNEY-CLIENT PRIVILEGED INFORMATION. IF YOU ARE NOT THE INTENDED RECIPIENT, YOU ARE HEREBY NOTIFIED THAT ANY FORM OF DISSEMINATION OF THIS COMMUNICATION IS STRICTLY PROHIBITED. IF THIS MESSAGE WAS SENT TO YOU IN ERROR, PLEASE IMMEDIATELY NOTIFY US.

Safety is "everyone's responsibility". It can't be delegated! Please consider the environment before printing this email.


NATIONAL ELEVATOR INDUSTRY, INC.Full Year 2009 through 2011 Plan

2009 2010 2010 2011Actual Plan LE Budget

Ordinary Income3010 · Members Dues 555,500 1,203,500 1,213,000 559,000 3011 · Individual Members Dues - 3,500 3,000 3020 · Other Income 4,252 4,250 4,252 4,250 3030 · Royalties/Codefinder 42,500 - 2,500 - Total Income 602,252 1,207,750 1,223,252 566,250

Expense 1000 · Administrative1010 · Administrative Services 36,000 36,000 36,000 54,000 1020 · Accounting/Auditing 3,785 3,500 3,860 4,200 1030 · Insurance 6,277 9,000 5,992 6,000 1040 · Professional Fees 21,208 7,000 25,000 28,000 1050 · Office Expense 324 1,000 486 700 1110 · Supplemental Pension 4,267 4,267 4,267 4,300 1120 · Postage & Delivery 1,275 1,500 1,188 1,200 1130 · Telephone 11,344 7,500 6,267 8,000 1140 · Stationery, Printing & Supplies 17,048 4,000 3,539 3,600 1150 · Depreciation & Amortization 70,255 70,000 70,000 70,600 1170 · Bank Charges - - - - 1180 - Misc. Administrative Expenses 298 500 300 300 1190 · Contingency - 50,000 - 25,000 Total 1000 · Administrative 172,081 194,267 156,899 205,900

2000 · Operating2010 · Advertising & Public Relations 87,360 98,500 95,000 104,000 2020 · Code 30,698 49,300 35,000 49,000 2025 · GAC Travel - - - 25,000 2040 · Consultant - Codes 114,204 109,180 104,596 112,020 2050 · Dues & Subscriptions 750 2,000 750 1,000 2060 · EESF 30,000 30,000 30,000 30,000 2070 · Legal - 25,000 - 25,000 2080 · GAC Services 434,493 535,000 535,000 475,000 2085 - Consultant - GA - 150,000 25,000 150,000 2090 · Meetings 1,160 6,000 2,000 2,000 2100 · Travel 1,900 3,000 2,000 2,000 Total 2000 · Operating 700,565 1,007,980 829,346 975,020 Total Expense 872,646 1,202,247 986,245 1,180,920

Net Ordinary Income (270,394) 5,503 237,007 (614,670)

Other Income/(Expense)2120 · Bad Debt Expense - - 3040 · Interest Income 1,712 2,000 1,450 1,200 3050 · Annuity Income - 4,260 - - Net Other Income/(Expense) 1,712 6,260 1,450 1,200

Net Income (268,682) 11,763 238,457 (613,470)

Trust Committee3015 · Trust Members Dues 12,000 12,000 12,000 12,000 2045 · Consultant - Trust 4,800 2,000 4,200 4,200 1015 · Trust Administration 1,313 3,500 1,957 2,000 Trust Net Income 5,887 6,500 5,843 5,800


minutes...2010/09/28 · minutes – neii board of directors september 28, 2010 page 6 of 7 full...

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