1

Standards Development:An Overview

Discovery to Delivery Topic Committee Meeting

October 30, 2007

Karen A. WetzelNISO Standards Program Manager

kwetzel@niso.org

October 30, 2007 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

October 30, 2007 3

Phase 1: Idea to Proposed Work Item

A work item can be proposed by the Topic Committee (TC) if:

1. the item is of sufficient value to warrant NISO’s investment;

2. it fits within NISO’s standards program as defined by the NISO Framework;

3. the standard is feasible from technical, economic, and political viewpoints;

4. no conflict exists with other standards inside or outside NISO; and

5. a working draft can be completed within 18 months.

October 30, 2007 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

October 30, 2007 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

October 30, 2007 6

Phase 3: Creating Work PlanWorking 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

October 30, 2007 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.

October 30, 2007 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.

October 30, 2007 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.

October 30, 2007 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.

October 30, 2007 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

October 30, 2007 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.

October 30, 2007 13

Draft Standard for Trial Use (DSFTU)

1. WG recommends the length of the Trial Use to the TC (from 6-18 months).

2. TC must approve (by 2/3 vote) 3. TC posts the document to the NISO website 4. WG must develop an explicit description of the

commitment sought from Trial Users5. WG must monitoring usage during the trial period and

responding to information requests and problem reports6. WG is responsible for recruiting usage of the proposed

standard (with assistance of TC & NISO Office). 7. WG must review and reports on trial results, and submit

recommended action to TC within 60 days of trial end.

October 30, 2007 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

October 30, 2007 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

October 30, 2007 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

October 30, 2007 17

Balloting, cont.

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

October 30, 2007 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

October 30, 2007 19

ANS Approval ProcessExcerpted 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)

October 30, 2007 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

October 30, 2007 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

October 30, 2007 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

October 30, 2007 23

Resources

• NISO Operating Procedures PDF: 9/18/07

• 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