1 Overview January 16, 2002 M1/02-0012 Kate McMillan, Director INCITS Secretariat
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OverviewJanuary 16, 2002
M1/02-0012
Kate McMillan, DirectorINCITS Secretariat
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About INCITS
The InterNational Committee for Information Technology
Standards (INCITS) is the forum of choice for informationtechnology developers, producers and users for the creationand maintenance of formal de jure IT standards.
INCITS is accredited by the American National StandardsInstitute (ANSI) and operates under its rules, which are
designed to ensure that voluntary standards are developed bythe consensus of directly and materially affected interests.
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Standards
A standard is a definition or a format that falls into oneof two categories—a de facto standard or a de jure standard.
Standards such as GIF and Windows™, both of which
are in large use in the market and associated withparticular companies, are examples of de facto
standards The most widely used web browsers arealso de facto standards.
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De Jure StandardsA de jure standard reflects the collaborative efforts ofvendors and consumers on specifications and involvesground rules to prevent antitrust and intellectual
property rights violations.
By historical definition, de jure standards are ratified byinternational bodies recognized by the World Trade
Organization, such as the International Organizationfor Standardization. The de jure process in the UnitedStates is linked with the American National StandardsInstitute (ANSI).
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Who participates?
More than 2,000 individuals from 13 countriesparticipate in INCITS’ 52 Technical subgroups.
They represent consulting groups; financial institutions;government agencies; hardware and softwarevendors; manufacturers in automotive, aerospace, and
many other industries; universities; and user groups.
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Developing what?
The INCITS catalog of standards contains informationtechnology standards that were developed by X3 (asINCITS was known from 1961 - 1996) and standards
that were developed in ISO/IEC Joint TechnicalCommittee 1 (JTC 1). INCITS currently has 612published standards: 56 NCITS standards (publishedfrom 1997 - 2001), 202 X3 standards, and 354
ANSI/ISO standards.
They include base standards (C++), securitytechniques, MPEG… the list goes on.
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Name Change
Formerly known as INCITS, the organization replaced“National” with “InterNational” in 2001 to reflect its
agenda of developing market-driven standards withglobal relevance and reach.
INCITS is sponsored by the Information Technology
Industry Council (ITI), a trade association representingthe leading U.S. providers of information technologyproducts and services. ITI members employ more thanone million people in the United States and in 2000,their revenues exceeded $668 billion worldwide.
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INCITS Executive Board
INCITS has the committed participation of technologyexperts from multiple industry sectors as well asgovernment, universities and user groups; it supports
their work with sound, highly respected procedures.
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INCITS Executive Board
The Executive Board approves standards developed
by the technical committees or submitted to INCITS asFast Track candidates.
The Executive Board meets 4 times a year and the
dues are $3200.
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Members
Producers (10) Apple Computer, Bull-HN, Hewlett-Packard, Hitachi, IBM, Intel, Microsoft,Panasonic, Sony, Unisys
Consumers (3) Oracle, Share, U.S. Department of Defense/DISA
General Interest (4) Institute for Certification of Computing Professionals (ICCP), NationalInstitute for Standards and Technology (NIST), Open Strategies, Sun
Microsystems
Advisory Members (5) Boeing, Center for Global Standards Analysis, Imation, Sybase, U.S.Department of Energy
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Organization Chart
CT22 TAG - U.S. TAG to ISO/IEC JTC 1/SC22
*Maintenance technical committeesINCITS/B9 Paper/Forms Layout*INCITS/J1 PL/I*INCITS/J15 PL/B*INCITS/J17 Prolog*INCITS/J18 REXX*
INCITS/T6 Radio Frequency
Identification (RFID) Technology INCITS/T10 I/O Interface - Lower Level
INCITS/T11 I/O Interface - Device LevelINCITS/T13 I/O Interface - AT
AttachmentINCITS/T20 Real Time Locating
Systems (RTLS)INCITS/V1 Text: Office & Publishing
SystemsINCITS/V2, Information Technology
Access Interface INCITS/V3, eCommerceINCITS/W1 Office Machines
INCITS/J16 C++INCITS/K5 VocabularyINCITS/L1 Geographic
Info. Systems (GIS)INCITS/L2 Codes & Character
SetsINCITS/L3 Audio/Picture CodingINCITS/L8 Data RepresentationINCITS/M1 Biometrics INCITS/R1 Real-Time
Computing SystemsINCITS/T3 Open DistributedProcessingINCITS/T4 Security Techniques
INCITS/B5 Flexible MagneticMedia and Formats
INCITS/B10 Identification Cardsand Related Devices
INCITS/B11 Optical Digital
Data DisksINCITS/H2 DatabaseINCITS/H3 Computer Graphics
& Image ProcessingINCITS/J3 FORTRANINCITS/J4 COBOLINCITS/J7 APTINCITS/J9 PASCALINCITS/J11 CINCITS/J13 LISP
INCITS Technical Committees
INCITS Secretariat - ITI Members - Producers/Consumers/General Interest
ANSIAmerican National Standards Institute
JTC 1Information Technology
JTC 1 TAG Administrator - ITI
PPC Procedures and Policy Committee
MOC Management Operations Committee
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2002 Dues
These fees directly support INCITS and its program of work, including includingstandards processing, web-integrated services for the members (documentdistribution, balloting), meeting support and marketing. INCITS also supports theSecretariats held by the U.S. National Body at ANSI.
INCITS Executive Board Fortune 1000 or Fortune Global 500 Company, or Federal Government Agency -$3200Others - $1000
INCITS Subgroups
Voting members and advisory members on Technical Committees(including one Alternate) - $800
Technical Committee Additional Alternates, Technical Committee Task Groups -$800
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Two INCITS processes
Participants can take two routes to developing astandard—both can lead to the international arena andboth reflect the need of the marketplace for technicallysuperior standards produced in a timely manner.
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1. Development withinINCITS
INCITS can approve a new project based on technicalmerits. INCITS publicizes the effort to alert allmaterially interested parties, and then work on thestandard commences.
The new project can be assigned to an existingINCITS technical committee, or a new TC may beformed.
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Milestones of theDevelopment
process
Milestone 1: Approval of the Project Proposal
Milestone 2: Notification to the Public
Milestone 3: Technical Development
Milestone 4: Initial Public Review
Milestone 5: Management Review (Audit Trail of Standard)
Milestone 6: INCITS Approval
Milestone 7: ANSI Approval
Milestone 8: Publication
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Project Proposal
http://www.incits.org/sd3.htm
Scope of the Project: Title, submitter
Process Description: New or revised, standard or technicalreport, recommended TC
Business Case: Need for a standardImplementation impactsConformity assessment (methods)Legal issues (patents, copyrights)
Related Standards Existing or underway, national orActivity: international, liaisons
TC Empowerment: With 2 weeks notice, TC can start a new project
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2. INCITS Fast Track
The INCITS Executive Board can approve a fast-trackcontribution based on the availability of maturespecifications in as little as 4 months.
The sponsor will review the public review comments,make edits as required and submit it to the ExecutiveBoard for formal approval as a de jure standard.
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Fast Track Path
Milestone 1: Work with Fast Track Facilitator
([email protected], 202-626-5742)
to submit candidate standard with required
documentation
Milestone 2: Presentation to INCITS (Acceptance)
[Milestone 3: Development completed by Sponsor]
Milestone 3: Public Review
Milestone 4: Management Review (Audit Trail of Standard)
Milestone 5: INCITS Approval of the standard
Milestone 6: ANSI Approval
Milestone 7: Publication
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Overview of ANSI
Accreditation
ANSI: • accredits entities to develop base standards• three types of accreditation: - accredited standards committee (e.g. , INCITS, X9, T1)
- accredited organization (e.g., IEEE, EIA, NISO)- accredited canvass (e.g., NIST, UL, HFS )
ANSI requires the following elements to ensure due process:
• Openness• Balance• Written Procedures• Appeals
• Notification of Standards Development• Consideration of Views and Objections• Consideration of Standards Proposals• Records
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Accredited Procedures
ANSI reviews our procedures to ensure we are in
compliance with ANSI requirements.
This helps us to avoid legal problems -- andpenalties -- incurred by other standards developersor the companies participating in standards
development.
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Legal Issues -PATENTS
Call for Patents
As INCITS subscribes to the ANSI Patent Policy, a call for patents
and pertinent issues is issued now and throughout the developmentof a project to determine if a proposed standard may require the useof a patented invention.
If such notice is received, INCITS seeks a statement that the patent
holder will comply with the ANSI Patent Policy. Please send thestatement to the INCITS Secretariat at 1250 Eye Street NW, Suite200, Washington DC 20005.
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Legal Issues -PATENTS
ANSI Patent Policy http://www.ansi.org/public/library/guides/ppguide.html
There is no objection in principle to drafting a proposed AmericanNational Standard in terms that include the use of a patented item, if
it is considered that technical reasons justify this approach…
a. - a license will be made available without compensation to theapplicants desiring to utilize the license for the purpose ofimplementing the standard;
or b. - a license will be made available to applicants under reasonableterms and conditions that are demonstrably free of any unfairdiscrimination
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Legal Issues -Antitrust
ITI has antitrust guidelines for all of us to follow.See http://www.ncits.org/natrust.htm
Never discuss the following topics at any INCITS or an INCITS subgroup meeting:
•Any company's prices or pricing policies;
•Specific R&D, sales and marketing plans;
•Any company's confidential product, product development or production strategies;
•Whether certain suppliers or customers will be served;
•Prices paid to input sources; or
•Complaints about individual firms or other actions that might tend to hinder a
competitor in any market.
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Legal Issues
ANSI Accreditation Is Important because of U.S. Antitrust Laws.
Recent past legal action resulting in treble-damage awards include:
•"Allied Tubing"
•"Hydrolevel "
Other actions have an impact on intellectual property rights:
•"Dell Computer"
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ALLIED TUBING
Case: "Allied Tubing"
Description: NFPA final draft standard (NEC) that excluded PVC Conduit
Issue: A member of NFPA standards activity, Allied Tube (a manufacturer of steelconduit), led effort to have many "new"members join NFPA (legally) in time for finalballot on this standard. NFPA membership rules for voting on its draft standardsallowed for this "stacking" for vote.
Result: Allied Tubing and NFPA (Secretariat) was sued by Indian Head Corporation(a leading manufacturer of PVC tubing). NFPA asked Indian Head Corporation toplease drop them from litigation and they agreed. Allied Tubing lost at the Supreme
Court. The Supreme Court ruled that treble damages in the amount of $11.4Million be awarded to Indian Head Corporation.
In light of this case, ANSI has asked its accredited standards developers to institutemanagement controls and review their procedures to guard against possible abusivesituations.
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HYDROLEVEL
•Hydrolevel went out of business because of the interpretation that theirproduct was not in conformance with an American Society of MechanicalEngineering (ASME) Standard.
•Issue: No management controls by SDO on interpretations of its standards
•Results:
1) Technical development group officer issuing interpretation and hisemployer settled out of court. Amount of damages paid is unknown.
2) ASME, as secretariat, lost at all levels of litigation through the Supreme
Court. Treble damages by ASME to Hydrolevel was $7 million.
3) ANSI required accredited standards developers to institute managementcontrols for the interpretation of standards.
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Dell Computer
The FTC brought suit under Section 5 of FTC Act when Dell failed to disclose that itowned the patent for the VL Bus design incorporated into a Video ElectronicsStandards Association standard, and in fact represented that the standard did notinfringe, and then attempted to enforce patent rights after the standard was adopted.As part of the settlement, Dell agreed not to enforce its patent.
As a result of the FTC v Dell Computer decision(http://www.ftc.gov/opa/1995/9511/dell.htm), the INCITS Secretariat further advisesits participants:
1. Failure to disclose a patent or other intellectual property claim to anyinvention, the use of which would be required for compliance with the proposed
standard, could result in the imposition of a civil penalty by applicablegovernment authorities as well as the imposition of a duty to license the propertyon reasonable and non-discriminatory terms.
2. INCITS and the TC membership will be advised [at the time of managementreview] of the names of those who have filed responses to the call for patents.
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Officers
Chairman
Presides at meetings, ensures that the Program ofWork is carried out in a prompt, efficient and effectivemanner in accordance with the objectives, policies andprocedures of the INCITS/ standards program;
prepares the required reports; and ensures that theadministrative duties are fulfilled.
Appointment process:
1. Secretariat asks for candidates
2. A letter of management support is required 3. Ballot issued to INCITS Executive Board
4. Term is three years.
** Chairs must be trained within one year of appointment.
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Required Officers
Some technical committees require an InternationalRepresentative. Most require a vice chairman and asecretary (although some rotate that function).
A technical committee MUST have a Chairman or it will bedisbanded.
Other reasons for disbandment:
- work is complete
- support for the work falls below 4-member minimum
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Participation
'Participation' is defined as the privilege to attend meetings,speak and submit contributions.
Participation on INCITS and all of its subgroups is open to all directly and materially affected interests.
However, any person who represents a non-U.S. domiciledorganization may not participate on questions establishing aU.S. position in international matters.
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Membership
Categories of Membership
• Voting Members
• Advisory Members
• Liaison Members
• Ex Officio Members
_________________________________________________
Minimum number of voting members is 4
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Definitions for Voting
One vote per organization ( Section 4.2.4, INCITS/SD-2)
• Government
• Corporation
• Academia
• Vendor -Specific User Groups, Professional Societies,Consortia, and Other Standards Developing Organizations
• All Other Organizations (Legal or Commercial Entities)
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Government
• Government
There shall be only one voting membership for separate government
subdivision or agency. A separate government subdivision or agency isdefined as an entity that reports to its parent executive, legislative, or judicial branch of government.
Note: On TCs, TGs, and SGs, the U.S. Department of Defense (DoD) isallowed a maximum of four votes from separate and unrelated entities
such as the Department of Army, Department of Navy, Department of AirForce, Defense Logistics Agency, Defense Mapping Agency, etc. Thisexception is due to the unique nature of the DoD and is, therefore, notconsidered a precedent for any further exceptions.
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Consultant Organization
• Consultant Organization
In order to be in the voting member category, consultantorganizations shall have to declare that their participation is notbeing funded by any organization already having votingmembership.
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Responsibilities andPrivileges
Voting Members
• Responsibilities
- attend meetings
- return letter ballots- pay appropriate service fees
• Privileges:
- receive all documents
- submit contributions
- speak
- make motions, second motions
- vote
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Termination ofMembership
Termination:
- failure to attend meetings
- failure to return letter ballots
- failure to pay appropriate service fees
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Voting Eligibility
•Principal members in good standing
-Attendance rules not violated
-Letter ballots returned
-Service fees have been paid
•Alternate if principal fails to vote
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Criteria for Approval
We use Robert’s Rules of Order as our authority for theconduct of meetings and the criteria for approval.
Exceptions are identified in a table in the SD-2,Organization and Rules of INCITS .
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Buddy Systems
Education
• establish a "Buddy System" for new members
• take advantage of INCITS training sessions
Procedures
• know and follow INCITS Procedures (INCITS/SD-2)
• know and use Robert's Rules of Order to efficiently progress meetings
Project Management
• assign action items, target dates and person(s) responsible basedupon meeting schedules
• assign back-up person(s) for crucial action items
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Questions to Ask
Questions to be asked before starting a Standards Development Project
• Is the end goal an international standard?
• Are there other arenas developing standards for the same subject,
e.g. X9, ETSI, CEN/CENELEC?• If the end goal is an international standard, what is the best method of
developing standards to assure U.S. and international consistency
- develop in JTC 1; adopt in U.S.
- develop in U.S., fast-track or submit for JTC 1 processing
• Are any consortia addressing the same subject, e.g., BioAPIConsortium, Open GIS, IETF, W3C?
• How can feedback mechanisms be established with other relatedorganizations?
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Institutional Memory
Document rationale for subgroup decisions on important issues
- explanatory appendices to standards- subgroup decision lists- expository document accompany dpANS
Use of Standing Committee Documents - examples
• meeting calendar • membership list • document register
Judicious Use of Ad Hoc Groups
For Multiple Related Standards
• use common vocabulary • use common wording for subjects
Share experiences with officers of other subgroups
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Web Resources
SD2 Organization, Rules and Procedures of INCITS
• http://www.INCITS.org - under selection “INCITS Standing Documents”
SD8 Officers Reference Manual
• http://www.INCITS.org - under selection “INCITS Standing Documents”
HELP• http://www.INCITS.org - under selection “FAQ’s”
All of the following reference materials can be found at
• http://web.ansi.org/public/ref_lib.html
- Procedures for the Development and Coordination of American
National Standards- Guidelines for Implementation of the ANSI Patent Policy
- ANSI Procedures for U.S. Participation in the International Standards
Activities of the ISO
Note: Copies of “Style Manual - for preparation of proposed American NationalStandards” are available from the INCITS Secretariat.
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TC Home Page
The INCITS Secretariat maintains an individual home page for eachtechnical committee which includes:
• A brief scope of the committees’ activities
• Names of the TCs’ officers
• Links to the technical committees’
- Annual Report
- Membership List
- Projects
- Calendar for INCITS and all Technical Committees
Also, the INCITS Secretariat will add or link new information at the
request of the chairman. Hosting of TC Websites and reflectors is alsoavailable through the Secretariat.
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Secretariat Staff
Staff Support - http://www.INCITS.org/staff.html
° Panic Button: Call 202-737-8888 - ask for INCITS
Manager