Standards Development: An Overview Nettie Lagace NISO Associate Director of Programs nlagace@niso.org

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

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.

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

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

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

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.

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.

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.

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.

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

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.

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.

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

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

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

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

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

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)

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

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

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

Resources NISO Operating Procedures PDF: 2009 http://www.niso.org/apps/group_public/download.php/3246/NISOprocedures_ansiapproved9dec09.pdf ANSI Documents ANSI Essential Requirements: Due process requirements for American National Standards PDF: 2013 http://www.niso.org/apps/group_public/download.php/10932/2013_ANSI_Essential_Requirements.pdf NISO Proposed Work Item Template PDF: 2008 http://www.niso.org/standards/NISOProposedWorkItemTemplate.pdf