Introduction to Standards and IEEE Standards Development Howard Wolfman IEEE Workshop on Engineering Standards 12 February 2011

What are Standards? Standards are published documents that establish specifications and procedures designed to ensure the reliability of the materials, products, methods, and/or services people use every day. Standards address a range of issues, including but not limited to various protocols that help ensure product functionality and compatibility, facilitate interoperability and support consumer safety and public health. Standards form the fundamental building blocks for product development by establishing consistent protocols that can be universally understood and adopted.

What are Standards? Standards fuel compatibility and interoperability and simplify product development, and speed time-to-market.  Standards make it easier to understand and compare competing products.  As standards are globally adopted and applied in many markets, they also help with international trade. It is only through the use of standards that the requirements of interconnectivity and interoperability can be assured. Standards fuel the development and implementation of technologies that influence and transform the way we live, work and communicate.

Standards Development Organizations (SDOs) Process of developing a standard is typically facilitated by a Standards Development Organization (SDO) SDOs adhere to fair and equitable processes that ensure the highest quality outputs and reinforce the market relevance of standards.  SDOs such as IEEE, International Electrotechnical Commission (IEC), International Organization for Standardization (ISO), and others offer time-tested platforms, rules, governance, methodologies, and services that objectively address the standards development lifecycle, and help facilitate the development, distribution and maintenance of standards.

Standards Development Organizations Most countries have some form of standardizing activities. Many participate in regional and international standardization activities. Some countries have a number of standards development organizations. While the goals of each SDO are essentially the same, each applies its own rules, processes, terminology to the standards development process.

Who participates in standards development Stakeholders and Interested Parties Individuals Industry/Companies Government/Federal Agencies Public

IEEE Standards Association (SA) 4/6/2017 IEEE Standards Association (SA) Oversees development of standards within IEEE Global Membership Over 7,000 individual members 127 corporate members Approximately 20,000 participants Broad Standards Portfolio Approximately 1,000 active standards Approximately 400 standards in development Governed by volunteers An independent organization Participants come together to develop standards independent of any government organization

IEEE-SA Mission WTO Core Principles To enable and promote the collaborative application of technical knowledge to advance economic and social well-being To ensure: Global and timely market relevance Technical integrity and excellence Collaboration and community building Consensus Due process Openness Right of appeals Balance IEEE-SA Values WTO Core Principles

IEEE-SA Global Strategy Maintain a strong global standards perspective in IEEE Leverage IEEE expertise, competence, track record, and processes to achieve global standards goals Provide a forum to develop market-relevant standards Recognize and promote Emerging technologies Standards life cycle requirements Regulatory harmonization Society betterment

IEEE Standards Are Pervasive Address a broad spectrum of technologies Aerospace Electronics Bioinformatics Broadband Over Power Lines Broadcast Technology Clean Technology Cognitive Radio Design Automation Electromagnetic Compatibility Green Technology LAN/MAN Medical Device Communications Nanotechnology National Electrical Safety Code Next Generation Service Overlay Networks Organic Components Portable Battery Technology Power Electronics Power & Energy Radiation/Nuclear Reliability Transportation Technology Test Technology

IEEE-SA Agreements Agreements in place or under development in: China Japan Korea Europe Canada Middle East Brazil South Africa Types of agreements 1. Provides for the adoption of IEEE standards as National Standards Standards Institute of Israel (SII) South Africa Standards Bureau (SABS) 2. Identifies mechanisms for collaborative work and cooperation between organizations Korea Electric Association (KEA) Canadian Standards Association (CSA) China Electronics Standardization Institute (CESI)

IEC/IEEE Dual Logo Agreement Approved IEEE Standards are eligible for submission IEC adoption takes about six months IEC national members have the same rights regarding adoptions as with other IEC standards Dual Logo Standards currently exist in: Design Automation Microprocessors Switchgear Transformers Joint Development addendum to agreement enables both organizations to work collaboratively Joint copyright and distribution rights Maintenance procedures developed The highlights of the IEC/IEEE dual logo agreement are as follows: Only approved IEEE Standards are eligible for submission. Documents are submitted to the IEC Standardization Management Board (SMB for short) for consideration. The IEC Technical Committee reviews the document. Please note that, in order for the document to be accepted as a dual logo standard, no revisions to the document can be made. Once the IEC TC has agreed that the document should be accepted as a dual logo document, both organizations agree on the designation. This process is estimated to take approximately six months. IEC members will have the same rights regarding national adoptions as with other IEC standards.

ISO/IEEE PSDO Agreement Addresses adoptions and joint development work Covers the following areas: ISO TC 204: Intelligent transportation ISO TC 215: Point-of-care medical device standards ISO/IEC JTC 1 SC 6 LAN/MAN SC 7 Software Engineering SC 22 POSIX SC 25 Microprocessors SC 31 Sensor Technology SC 36 Learning Technology

International Telecommunication Union (ITU) and IEEE 4/6/2017 International Telecommunication Union (ITU) and IEEE The IEEE is a Sector Member of ITU-R (Radio Communications) ITU-T (Telecommunications) ITU-D (Developing Nations) Example technical areas Radio regulatory activities Mobile broadband wireless access Joint workshops 2009: Geneva Auto Show Networked Car Workshop 2008: ITU-T/IEEE Workshop on Next Generation Optical Access Systems 2007: ITU-T/IEEE Workshop on Carrier-Class Ethernet

IEEE-SA Governance Structure Board of Governors (BOG) Legal & fiduciary, strategy, policy, finance, Bus Dev, International, Appeals, Awards ISTO Standards Board (SASB) Standards Process SCC Oversight Corporate Advisory Group (CAG) Corporate Program Strategy Sponsor Approach here is to start big picture and break it down Sponsors from societies are shown with dotted line: these are aggregated entities for purposes of showing that they all report to the Standards Board and ultimately to the Board of Governors for purposes of the standards process in IEEE. Within the societies there is a separate organizational/governance infrastructure, and only the parts relevant to standards, and in particular P&Ps, are subject to the oversight of the SA> Sponsors Societies, Standards Coordinating Committees, CAG, etc. Standards Working Groups/ Projects

4/6/2017 IEEE Sponsors Organization within IEEE that assumes responsibility for a particular standards idea Takes responsibility for the technical content of the document and provides oversight Responsible for determining the scope and nature of the technical content Not a financial sponsorship IEEE already has a large number of Sponsors There are the various societies within the IEEE Within those societies, there are often many committees that are active in standards development Finding a home for a project within IEEE. The committee structure of each standards sponsor can be different. For instance the Power Engineering Society has Technical Committees governing standards work, while the Computer Society has Standards Committees under the auspices of its Standards Activities Board.

IEEE-SA Development Groups Technical Society/Sponsor Subcommittees Project Groups

IEEE Standards Development: Getting Started Technical Determine technical area of interest Existing? Is IEEE already working in this area? = Join existing group http://grouper.ieee.org/groups/index.html (Working groups) http://standards.ieee.org/db/status/index.shtml (Projects) http://standards.ieee.org/db/balloting/ballotform.html (Join ballot) New! New area of interest = Begin new project Contact IEEE-SA staff http://standards.ieee.org/people/liaisons.html

What do good standards offer? A balanced blend of: Technical alternatives Economic needs Global requirements

IEEE-SA Individual and Corporate Standards Development Open, consensus process Individual standards development Each individual has one vote Corporate standards development One company/one vote Results frequently adopted by national, regional, and international standards bodies

IEEE Standards Development Five principles guide standards development Ensuring integrity and wide acceptance for IEEE standards IEEE standards follow the standardization principles as stated by the WTO

Due Process Develop operating procedures Publish and make procedures available Follow procedures The following points define due process: • Operating procedures should have been or should be developed within your working group. For instance, it should be stated what is needed to establish a quorum to vote on an issue. Check your society and sponsor procedures for guidance. The IEEE Standards Department also has a presentation on preparing procedures. • All procedures should be published and available. • Follow your procedures in your working group meetings.

Openness Everyone has access to the process; Make information and actions publicly available for examination; Include all materially interested and affected parties; Avoid antitrust situations/appearance of collusion; Opportunity to participate does not necessarily mean membership or a vote • Bullet 1: Openness means ensuring that everyone has access to the process. • Bullets 2 & 3: Openness is accomplished by making sure that all information and actions are made publicly available and that all affected parties have been invited to participate in your working group. This is usually achieved by having readily available minutes of the meetings. • Bullet 4: The purpose of all of this is to avoid the appearance of collusion, or seeming to obstruct anyone from participating. Openness also provides protection against antitrust situations. Since standards are so broadly used and often carry the weight of the law, it is important to allow all parties to participate and be heard to avoid a situation that would imply that any company or individual was restricted from speaking. • Bullet 5: Working groups are open to anyone—participants don’t even have to be IEEE members. However, it’s usual to have a procedure for determining voting rights in the working group. This can be as simple as “anyone can vote” to allowing members to vote contingent on attendance. The voting rules do not preclude a participant’s right to comment at any meeting.

Consensus Agreement among the majority Not 100% agreement Defined in the IEEE Sponsor balloting rules as 75% of 75% • Consensus means agreement among the majority. • You should strive for as high a level of consensus as possible, but consensus does not mean unanimity. • According to the IEEE rules, consensus is defined as a minimum 75% return of ballots from the balloting group, and a 75% approval rate from that 75% return group.

Consensus Obligation to the majority Obligation to the minority Approve and make available expeditiously Obligation to the minority Attempt to resolve comments The consensus process is easily the most challenging and time-consuming part of the standards procedure. There are many factors to balance. Once you have achieved consensus, an obligation to the majority exists to approve and publish the standard quickly. However, you are obligated to respond to the negative comments of the minority. You should attempt to resolve those negative comments, but if there is no indication that further resolution can be achieved based on that, you should move your document forward for approval, still having met the terms of consensus.

Balance Representation from all materially interested and affected parties Goal for development Encourage participation during standard’s draft development stages Mandatory for balloting Lack of dominance by any one interest group Common categories for interest groups: Producer, user, and general interest Balance comes into play when forming the balloting group (after the draft standard has been completed and voted on by the working group). • All interested and affected parties should be invited to be part of the balloting group. • The group must consist of a balance of a variety of interests, without domination by any one group or company. • Balance is achieved by placing potential balloters into one of three common categories—producer, user, and general interest. Additional categories can be added when needed. No one category can be 50% or more of the full balloting group. • It is ideal to have a balance of participants throughout the process, whether it’s in your working group or balloting group. • Encourage participation in your working groups, where balance is less of an issue. If attending meetings is a problem for potential members, consider allowing them to participate via regular mail, teleconferences, or email. • Balance is mandatory for your balloting group. A ballot cannot start until the balloting group is balanced and approved by the sponsor.

Right of Appeal The right to initiate a challenge of the process Bases of appeal can be Technical (within Sponsor) Procedural • The right to appeal means that any person has the right to appeal a standard during any stage and have the case heard by the respective authoritative body depending on the stage of the standard. • Each working group should follow the appeals policy of their sponsor or the IEEE-SA Standards Board. • The two types of appeals are technical in nature or procedural. Most appeals are technical in nature and should be addressed at the Sponsor level. If you have a procedural issue for appeal, make sure it is truly procedural. Many procedural issues mask technical ones.

Three Choices for Standardization Standards Documents with mandatory requirements Recommended Practices Documents with preferred procedures and positions Guides Documents with suggested approaches to achieve good practice but with no clear-cut recommendations Here is a description of what you saw on the previous chart with additional detail about the 3 formal categories of standards developed under the IEEE-SA.

Determination of Method Developers can choose the appropriate venue for development, depending on technology Individual (one person, one vote) Corporate (one company, one vote) Type of standards development indicated at time of project approval Can change during standards development Recommended to use same type of planned balloting method for development method Once project enters ballot, method cannot change Because ballot group must remain stable

IEEE-SA Standards Development Process

IEEE Standards Development: Process Flow This chart illustrates the whole standards process in simplified form. Idea: The idea for a standard is usually developed by a group of people, and the responsibility for the idea is assumed by the sponsor. The sponsor is usually a society or an existing standards committee. Project Approval Process: This idea is then transferred onto a form called the Project Authorization Request (PAR) and submitted to the New Standards Committee (NesCom) for approval. Develop draft standard: The draft is then developed and revised by the working group. Ballot draft: When the draft work is finalized, the sponsor forms the balloting group and ballots the standard. Standards Board Approval: After your ballot has achieved consensus, the draft then goes to the Review Committee (RevCom) and the Standards Board for approval. The amount of time from PAR to Board approval is 4 years (an extension can be made if absolutely necessary). Publish Standard: The draft is then edited and formatted by an IEEE Project Editor and published. The standard is valid for 5 years before it must be reaffirmed, revised, or withdrawn.

IEEE Standards Development: Project Authorization A project may be started by any individual or company Each project must be supported by a technical group in the IEEE Referred to as a “Sponsor” Official developer of standard Projects approved through document called Project Authorization Request (PAR) Summarizes details of project Approval of a PAR means that the work is authorized by the IEEE-SA Standards Board The PAR is the means by which IEEE can extend the umbrella of indemnification (or protection) to its standards developers

IEEE Standards Development: Develop Draft Standard Standard is written by working group Working group consists of developers interested in creating the standard Working group chooses way to create first draft document Group writes initial draft Draft developed from existing documents and specifications Draft document refined in working group through multiple iterations and review Some tips for starting the development of your draft include the following: • Develop an outline that will be used as key clauses. • Divide up each topic or clause among working group members, preferably according to their experience. • It is to your advantage to assign a working group member as a technical editor. During the development process, the technical editor will ensure consistency and can gather and incorporate all contributions and comments. • The working group meetings should only be used for reviewing important points in the draft and resolving areas of disagreement. • Working with an IEEE Project Editor will expedite the project since the editor can flag items that could otherwise be slowed down by the IEEE-SA Standards Board during the approval process. • Use the IEEE Standards Style Manual as the reference for document structure.

IEEE Standards Development: Consensus process Consensus is determined through a ballot Interested persons or organizations are invited to ballot on draft standards Ballot group receives document, reviews it, and votes/comments on it Vote yes (approve), no (disapprove), abstain Can offer comments on document as well Ultimate approval of standard is granted by IEEE-SA Standards Board • The sponsor forms the balloting group. In some cases, this may involve using the membership of an active committee or committees; in other cases, this may involve inviting a wide variety of interested parties to participate. • The sponsor also approves the balance of the group. No one interest group can be 50% or more. • Once the balloting group is formed, the composition of that balloting group cannot change until the close of the ballot. • The IEEE-SA now allows three types of ballot groups: one made up of individuals, one made up of persons who are of any category other than individual, and one made up of both of these types of ballots. See the IEEE-SA Standards Board Operations Manual for details of these balloting processes.

Publication & Maintenance Standard published after approval Standard is valid for 5 years after approval After 5 years, must be revised, reaffirmed, or withdrawn Once your standard has been approved, it will receive a thorough, detailed edit from an IEEE Standards editor. The editor does not make any technical changes, thereby ensuring the technical integrity of the document. It is also the role to the editor to format the text in accordance with IEEE Standards Style. A draft copy is then provided to the committee for final review. Appropriate editorial corrections are then made and the standard is published. Complimentary copies are then issued to the working group and awards are given to the Chair of the working group in recognition of the work done.

Summary Standards form the fundamental building blocks for product development by establishing consistent protocols that can be universally understood and adopted. Standards fuel the development and implementation of technologies that influence and transform the way we live, work and communicate. The IEEE Standards Association Fosters an environment of mutual respect amongst all participants. Recognizes the value of partnership and collaboration. IEEE standards Strive to achieve a balanced blend of technical alternatives, economic/market needs, and political views. Adhere to five imperative principles of standards development We have reviewed the five imperative principles of standards development. If you have any questions at any time concerning these principles, your standards liaison (http://standards.ieee.org/people/liaisons.html) will be happy to help.

Resources http://standards.ieee.org 4/6/2017 Resources http://standards.ieee.org http://standards.ieee.org/develop/index.html http://standards.ieee.org/develop/getinvolved.html http://standardseducation.org/ The Ten Commandments for Effective Standards: Practical Insights for Creating Technical Standards, by Karen Bartleson, Synopsys Press, May 2010.

Contacts Howard Wolfman, Principal, Lumispec Consulting h.wolfman@ieee.org Jennifer McClain, Program Manager, IEEE Standards Education j.mcclain@ieee.org