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

2. 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.

3. 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.

4. 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.

5. 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.

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

7. 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

8. 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

9. 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

10. 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

11. 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)

12. 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.

13. 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

14. 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

15. 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

16. 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.

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

18. IEEE Standards Development: Getting Started
Technical
Determine technical area of interest
Existing?
Is IEEE already working in this area? = Join existing group
(Working groups)
(Projects)
(Join ballot)
New!
New area of interest = Begin new project
Contact IEEE-SA staff

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

20. 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

21. 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

22. 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.

23. 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.

24. 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.

25. 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.

26. 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 .
• Balance is mandatory for your balloting group. A ballot cannot start until the balloting group is balanced and approved by the sponsor.

27. 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.

28. 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.

29. 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

30. IEEE-SA Standards
Development Process

31. 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.

32. 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

33. 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.

34. 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.

35. 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.

36. 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 ( will be happy to help.

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

38. Contacts Howard Wolfman, Principal, Lumispec Consulting
Jennifer McClain, Program Manager, IEEE Standards Education