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

2. 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

3. Phase 1: Idea to Proposed Work Item
A work item can be proposed by the Topic Committee (TC) if:
the item is of sufficient value to warrant NISO’s investment;
it fits within NISO’s standards program as defined by the NISO Framework;
the standard is feasible from technical, economic, and political viewpoints;
no conflict exists with other standards inside or outside NISO; and
a working draft can be completed within 18 months.

4. 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

5. 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

6. Phase 3: Creating Work Plan
Working 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

7. 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.

8. 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.

9. 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.

10. 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.

11. 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

12. 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.

13. Draft Standard for Trial Use (DSFTU)
WG recommends the length of the Trial Use to the TC (from 6-18 months).
TC must approve (by 2/3 vote)
TC posts the document to the NISO website
WG must develop an explicit description of the commitment sought from Trial Users
WG must monitoring usage during the trial period and responding to information requests and problem reports
WG is responsible for recruiting usage of the proposed standard (with assistance of TC & NISO Office).
WG must review and reports on trial results, and submit recommended action to TC within 60 days of trial end.

14. 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

15. 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

16. 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

17. Balloting, cont.
At close of ballot, NISO sends report & ballot comments to:
Working Group
Voting Pool
Voting Members
Members of public who voted

18. 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

19. ANS Approval Process Excerpted 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)

20. 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

21. 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

22. 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
for standards that require ongoing maintenance activities

23. Resources
NISO Operating Procedures PDF: 5/30/08
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:
NISO Topic Committee Criteria for Considering New Work Items Word: November