Transcript Standards Development: An Overview

Standards Development:
An Overview
Discovery to Delivery
Topic Committee Meeting
October 30, 2007
Karen A. Wetzel
NISO Standards Program Manager
[email protected]
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Standards Development
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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
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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.
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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
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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
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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:
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WG charge
description of the standard or other deliverable
scope of work
work approach
timeline (including proposed completion date)
budget
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Phase 3: Work Plan (timelines)
Work plan timelines typically account for:
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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.
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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.
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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.
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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.
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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
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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.
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Draft Standard for Trial Use (DSFTU)
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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.
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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
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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
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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
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Balloting, cont.
• At close of ballot, NISO sends report & ballot
comments to:
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Working Group
Voting Pool
Voting Members
Members of public who voted
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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
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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
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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)
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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
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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
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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
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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
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