1 Standards Development: An Overview Karen A. Wetzel NISO Standards Program Manager [email protected] Last Updated August 2008.

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Standards Development:An Overview

Karen A. WetzelNISO Standards Program Manager

[email protected]

Last Updated August 2008

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Standards Development

• Phase 1: Idea to Proposed Work Item• Phase 2: Approved Work Item• Phase 3: Creating Work Plan • Phase 4: Work Plan to Draft Standard

• Phase 5: Working Draft to DSFTU/Ballot

• Phase 6: Approval• Phase 7: Maintenance

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Phase 1: Idea to Proposed Work Item

A work item can be proposed by the Topic Committee (TC) if:

1. the item is of sufficient value to warrant NISO’s investment;

2. it fits within NISO’s standards program as defined by the NISO Framework;

3. the standard is feasible from technical, economic, and political viewpoints;

4. no conflict exists with other standards inside or outside NISO; and

5. a working draft can be completed within 18 months.

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Phase 1: Idea to Proposed Work Item, cont.

Ideas for work items come from individuals, groups, TC plans, etc. The TC must evaluate and respond to formal proposals for standards.

The proposed work item (see template) includes:– Working Group (WG) charter– description of the proposed standard– a suggested timeframe for development

– a description of related standards

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Phase 2: Approved Work Item• NISO Office circulates proposed work item.

– Members have 30 days to vote to express interest in the work item.

– NISO also announces the work item in media to alert interested parties outside the NISO membership.

• Approval– 10% of the membership votes in favor – Members voting “yes” join the Voting Pool– NISO Office alerts ANSI

• TC recruits Working Group– first the chair, then members– formally approves roster

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Phase 3: Creating Work PlanWorking Group expands Approved Work Item into Draft Work Plan. When Work Plan is approved by TC, WG begins work.

Work plans include: – WG charge– description of the standard or other deliverable

– scope of work– work approach– timeline (including proposed completion date)

– budget

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Phase 3: Work Plan (timelines)Work plan timelines typically account for:

– data gathering– development of initial draft– review of draft– trial use– Ballot– ballot review– final editorial work– development of implementation and marketing plans

Work should be scoped to fit development of a final standard for ballot or a draft standard for trial use within 18 months.

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Reporting to TC

• WGs must submit quarterly progress reports to the TC and the Architecture Committee for review.

• Each progress report includes a comparison of work to date with the proposed timeline. A new timeline must be submitted if there is more than a 30-day delay beyond the current work target.

• A TC may disband any WG that fails to make continuous progress toward completion.

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Phase 4: Work Plan to Draft Standard

Data Gathering•Process for data gathering developed by WG as part of its work plan.

•Actual work of data gathering should fit in a 3-6 month window.

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Phase 4, cont.

Data gathering may include:– Examining related standards

– Questionnaires, surveys, or other techniques

– Interviews that can provide in-depth information from potential users

– Use cases or other usage scenarios

– Working prototypes

The WG must publish its findings in a public forum and gather feedback before preparing the draft for ballot or trial use.

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Phase 4, cont.

Preparing the Working Draft

• Working Group’s responsibility

• Supported by NISO Office

• May submit the draft to reviewers for input or include an open comment period in this process

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Phase 5: Working Draft to DSFTU/Ballot

Submitting the Working Draft

• Two-thirds approval by the WG is required – The WG sends the final standard draft to the Topic Committee with a recommendation that NISO release it as a Draft Standard for Trial Use (DSFTU) or for ballot.

– WG Chair must include any dissenting votes in the report to the Topic Committee.

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Draft Standard for Trial Use (DSFTU)1. WG recommends the length of the Trial Use to the TC

(from 6-18 months). 2. TC must approve (by 2/3 vote) 3. TC posts the document to the NISO website 4. WG must develop an explicit description of the

commitment sought from Trial Users5. WG must monitoring usage during the trial period and

responding to information requests and problem reports

6. WG is responsible for recruiting usage of the proposed standard (with assistance of TC & NISO Office).

7. WG must review and reports on trial results, and submit recommended action to TC within 60 days of trial end.

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DSFTU: Recommended Actions

• WG must recommended an action within 60 days of trial period close:– Extend the Trial Use period with the current draft.

– Release the current draft standard for ballot.

– Revise the standard and re-release the revision for trial use or for ballot.

– Release the document as a lower-level consensus document, e.g., a recommended practice or technical report.

– Withdraw the document and disband the Working Group

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Balloting

• NISO Office issues a standard ballot if it gets:– two-thirds vote of a Topic Committee,

– two-thirds vote of the Architecture Committee,

– majority vote of the NISO Board of Directors.

– direction of the Managing Director, or

– petition of five (5) or more NISO Voting Members.

• Members have 15 days to join Voting Pool– Voting Pool must consist of 15% of membership to move forward

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Balloting, cont.

With sufficient Voting Pool:• NISO sends to ANSI for 60-day public review

• Ballot extends for 45 days

• NISO alerts Voting Pool members who haven’t voted two weeks before ballot closes– Ballot may be extended 45 days in the case of insufficient votes

• Ballot options:– Affirmative– Negative, with Comment– Abstain, with Reasons

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Balloting, cont.

• At close of ballot, NISO sends report & ballot comments to:– Working Group– Voting Pool– Voting Members– Members of public who voted

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Phase 6: Approval

• Approval: majority of Voting Pool and 2/3 votes are affirmative– Abstentions and negative without comment are excluded

– Comments must be addressed and negative votes must be resolved

– Once approved by membership, NISO submits standard to ANSI approval

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ANS Approval ProcessExcerpted from “American National Standards Process Summary” (May 14, 2007)

– Stage 1: PINS form to ANSI • Announcement of project initiation• PINS deliberation if claim of conflict or duplication is raised

– Stage 2: Approval of draft• Consensus body approves text of draft standard• Must meet numerical requirements for consensus as described in developer’s accredited procedures (e.g. approval by a majority of consensus body and 2/3 of those voting, etc.)

– Stage 3: Public Review• BSR-8 form initiates announcement in Standards Action. Developer may also announce in industry publications, etc. (multiple public reviews are possible)

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ANS Approval Process

– Stage 4: Comment resolution• Public and consensus body member comments

– Stage 5: Recirculation (if applicable)• Unresolved negative comments from consensus body members and public review commenters as well as any substantive changes to the text, must be recirculated to the entire consensus body to allow them to vote, reaffirm a vote or change a vote

– Stage 6: Appeals at developer level

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ANS Approval Process

– Stage 7: Submittal to ANSI for approval• Submittal of final standard for approval with evidence of consensus (BSR-9 form)

– Stage 8: Notification• Notification of final approval/disapproval

– Stage 9: Appeal at ANSI• Hearing is scheduled if appeal is filed

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Phase 7: Maintenance

• A Maintenance Agency (MA) or a Standing Committee may be appointed by the Board at the recommendation of the managing TC

• MAs and Standing Committees report to a TC or to the Architecture Committee

• MAs and Standing Committees respond to requests for change, clarification, or interpretation

• Periodically maintained standards are sent for reaffirmation ballot every 5 years

• Maintenance plans should be created, at least in part, by the WG during development

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Resources

• NISO Operating Procedures PDF: 5/30/08http://www.niso.org/about/documents/NISOprocedures2008final.pdf

• ANSI Documents– ANS Deliverables and Maintenance Options Matrix

Word: 3/27/2007– ANS Flow: Accreditation through final appeals

Word: 5/14/2007– ANS Process Basic Overview

Powerpoint: 5/14/07• NISO Proposed Work Item Template

PDF: 2008http://www.niso.org/standards/NISOProposedWorkItemTemplate.pdf

• NISO Topic Committee Criteria for Considering New Work ItemsWord: November 2007http://www.niso.org/apps/group_public/document.php?document_id=200&wg_abbrev=d2d