ANSI-D20 PROCEDURES GUIDE VERSION 1.0 FOR AMERICAN NATIONAL STANDARDS INSTITUTE D20 TRAFFIC RECORDS 2011 ANSI-D20 Procedures - 2009 Procedures for maintaining and enhancing the ANSI-D20 Traffic Records Data Dictionary. AAMVA - Public Document
The American Association of Motor Vehicle Administrators (AAMVA) is a nonprofit organization, representing the state and provincial officials in the United States and Canada who administer and enforce motor vehicle laws. This document was produced by the Enterprise Architecture Department of AAMVA. This release of this document was prepared on Monday, August 22, 2011. Address : AAMVA, Inc 4301 Wilson Boulevard Suite 400 Arlington, Virginia 22203 Telephone : 1-703-522-4200 Fax : 1-703-522-1553 Website : www.aamva.org i
Contents 1 Document Introduction... 1 1.1 Document Purpose... 1 1.2 Contact Information... 1 2 Background... 3 3 ANSI-D20 Procedures... 5 3.1 Change Requests and Impact Analysis... 5 3.2 Notification of Standards Development... 5 3.2.1 PINS Form... 6 3.2.2 BSR-8 Form... 6 3.3 Development of Canvass List or Consensus Body... 6 3.3.1 Lack of Dominance... 6 3.3.2 Balance... 6 3.3.2.1 Interest Categories... 7 3.3.3 Develop Canvass List... 7 3.3.4 Pre-canvass... 8 3.4 Conduct of Canvass... 8 3.4.1 Canvass Requirements... 8 3.4.2 Public Review... 9 3.4.3 Consideration of Comments... 9 3.4.4 Criteria for Approval... 9 3.4.5 Termination of Voting Membership... 9 3.5 Disposition of Views and Objections... 9 3.5.1 Comments on PINS Announcement... 10 3.5.2 Public Review and Consensus Body Comments... 10 3.5.3 Appeals... 10 3.5.3.1 Complaint... 10 3.5.3.2 Response... 11 3.5.3.3 Hearing... 11 3.5.3.4 Appeals Panel... 11 3.5.3.5 Conduct of the Hearing... 11 3.5.3.6 Decision... 11 3.6 Submittal of Standard... 11 3.7 Requests for Interpretation of Standards... 12 3.7.1 Requesting a Technical Interpretation... 12 3.7.2 Processing a Request for Technical Interpretation... 12 3.7.3 Dissemination of Final Technical Interpretations... 12 3.8 Maintenance of D20 by AAMVA... 13 3.8.1 Maintenance of Standards (Continuous Maintenance)... 13 3.8.2 Coordination and Harmonization... 13 3.8.3 Compliance with ANSI Patent Policy... 13 3.8.4 Compliance with ANSI Commercial Conditions... 13 3.8.5 Copyright... 13 3.8.6 Measurement Policy... 13 3.8.7 Records Retention Policy... 14 3.8.8 Withdrawal of a Standard... 14 3.8.9 Discontinuance of a Standards Project... 14 ii
4 Glossary of Terms... 17 5 Index... 19 iii
1 DOCUMENT INTRODUCTION 1.1 DOCUMENT PURPOSE This document describes the process used to maintain and enhance the ANSI-D20 standard. The document is used to: Obtain approval of the procedures from ANSI. Explain to the public, how ANSI-D20 is maintained. Provide a guide for the AAMVA developers to follow when working on ANSI-D20. 1.2 CONTACT INFORMATION Questions regarding this document should be directed to the Enterprise Architecture Department at AAMVA. Hours : 8:00 a.m. - 6:00 p.m. Eastern Time Telephone : 1-888-AAMVA-80 (1-888-226-8280) Fax : 1-703-522-1553 E-mail : Website : Address : PBoyer@aamva.org or MPritchard@aamva.org www.aamva.org/knowledgecenter/techstandards/ansid20 AAMVA, Inc 4301 Wilson Boulevard Suite 400 Arlington, Virginia 22203 AAMVA - Public Document 1
2 BACKGROUND The American Association of Motor Vehicle Administrators (hereafter referred to as AAMVA) has developed these procedures for developing evidence of consensus for the approval, reaffirmation, revision, or withdrawal of ANSI D20 for Traffic Record Systems (hereafter referred to as D20), through the use of a canvass process. In addition to these procedures, the latest edition of the American National Standards Institute (ANSI) Essential Requirements: Due process requirements for American National Standards (ANS) shall be the final controlling document for all procedural and policy issues. AAMVA (and its predecessor organizations) has been accredited by ANSI as a standards developer since 1986 for the development of ANS related to Traffic Record Systems. AAMVA - Public Document 3
3 ANSI-D20 PROCEDURES The following diagram provides a summary of the steps for revising D20. Request from AAMVA membership or from the public Ballot Track Change Request(s) Resolve Objections Impact Analysis & Package Requests Document Ballot Reaffirmation Impact to D20 Change approved Notification of D20 Development D20 Revised Prepare Canvas List Figure 1: ANSI-D20 Steps 3.1 CHANGE REQUESTS AND IMPACT ANALYSIS AAMVA shall accept requests to change to an element, add a new element, or to remove an element. The requests can come from: Groups working on AAMVA applications and systems (e.g. the Commercial Driver License Information System). These groups typically are composed of stakeholders and subject matter experts from the state governments, federal government, government business partners and AAMVA. Groups working on AAMVA standards (e.g. the DL/ID Card standard). Sources outside of AAMVA. Requests for changes originating outside AAMVA, should be sent to the AAMVA D20 point of contact (see the contact information above). Each request shall be reviewed and evaluated by AAMVA to determine the impact on D20. Requests for elements that are not used in Traffic Records Systems are out of scope of D20 and no D20 action need be taken. D20 standards development tasks shall be initiated for requests related to elements affecting Traffic Records Systems. When multiple change requests for D20 elements are received, they shall be grouped into a package for review. 3.2 NOTIFICATION OF STANDARDS DEVELOPMENT D20 development can be initiated by: 1. A change request for an element, which requires a change to D20. AAMVA - Public Document 5
ANSI-D20 Procedures - 2009 2. If no changes occur within 4 years of the completion of the last release of D20, AAMVA will take action to reaffirm the standard. Re-affirmation of the standard will occur with within 5 years from the last published edition of D20. Whenever standards work is identified AAMVA shall announce standards activity via ANSI forums, the AAMVA's public web site and use e-mail to communicate the change to known materially affected persons. The notification is intended to make materially affected parties aware of the upcoming changes so they have the option of contributing to the revision and may plan for their adoption of the changes. The majority of element change requests are generated by work on AAMVA applications. Work on an application may take from a couple of months to a couple of years, depending on the size of the project. For the longer projects, the notice will remain on the AAMVA web for the duration of the project. 3.2.1 PINS Form The Project Initiation Notification System (PINS) form publicizes the standard for 30 days and is used to solicit public comment on the need for the standard. While ANSI-D20 is maintained under continuous maintenance, a submission of a notice via the PINS is not a requirement for new revisions of ANSI-D20. If ANSI-D20 (a) changes from continuous maintenance and needs to be revised, (b) needs to be reaffirmed, or (c) withdrawn, then a PINS notification may be submitted, but is not required. A PINS notice is submitted on-line through the ANSI web site (http://psawebforms.ansi.org). Comments received in connection with a PINS announcement shall be handled in accordance with the appropriate section of the Comments on PINS Announcement. 3.2.2 BSR-8 Form Proposals to revise, reaffirm, or withdraw approval of D20 shall be transmitted to the ANSI Board of Standards Review using the BSR-8 form, or its equivalent, for listing in Standards Action in order to provide an opportunity for public comment. A BSR-8 form is submitted on-line through the ANSI web site (http://psawebforms.ansi.org). The ANSI Public Review comment period requirements are: "30 days if full text 5 pages or less is published; 45 days if standard is available electronically within 1 day of the request or 60 days if draft is not available electronically". As D20 is published in its entirety, is longer than five pages and is available electronically, the public review comment period for D20 is 45 days. Proposals for new standards shall use the same protocol. 3.3 DEVELOPMENT OF CANVASS LIST OR CONSENSUS BODY 3.3.1 Lack of Dominance Any single interest category, individual or organization should not dominate the standards development process. Dominance means a position or exercise of dominant authority, leadership, or influence by reason of superior leverage, strength, or representation to the exclusion of fair and equitable consideration of other viewpoints. 3.3.2 Balance The standards development process should have a balance of interests. Participants from diverse interest categories shall be sought to represent all materially affected parties with the objective of achieving balance. No single interest category should constitute more than one third of the membership of a consensus body. D20 is primarily used by U.S. Motor Vehicle Agencies to exchange data. Each state is governed by their own laws and regulations, which often results in different states having different interests in what should be reflected in D20. To ensure the users are fairly represented and to ensure no single state dominates the consensus body: 6 AAMVA - Public Document
Each state shall be considered to be a distinct interest category. The consensus body shall have representatives from at least three different states. 3.3.2.1 Interest Categories The interest categories for D20 are: State Government: A State, District, Territory or Province government agency or department that has an interest in the use of D20. Each jurisdiction shall be considered to be a distinct interest category. Federal Government: Any National Government agency or department that has an interest in the use of D20. Commercial Organization: A company that has an interest in the use of D20. Not for Profit Organization: A not for profit organization that has an interest in the use of D20. General Interest: An organization or person that has an interest in the use of the D20 data dictionary, but does not use it directly. Other: If none of the above categories are deemed relevant, an interested party shall identify and define their category. When presenting information about interest categories include the category name (as described above) and in the case of State Government, identify each participating state. i.e. Category... State Government AL State Government State Government Federal Government Commercial Organization Not for Profit Organization General Interest Other AK etc 3.3.3 Develop Canvass List AAMVA shall develop a list of potential canvassees consisting of organizations (e.g., companies, government agencies, standards developers, individuals, etc.) known to be, or who have indicated that they are, directly and materially affected by the standard. Each canvassee shall nominate one principal representative and may nominate one or more alternate representatives. No individual shall represent more than one canvassee. Canvassees will generally be members of AAMVA working groups who are actively supporting the development of an application. Being subject matter experts for the application and its data, makes the working group members ideal canvassee candidates. At a given time it is possible that multiple canvasses will be undertaken, each addressing a different section of the standard. AAMVA shall ensure the relevant subject matter experts are available and each canvass has a balance of interested parties. When applying to be a voting member on a canvass list, applicants shall declare their interest category in accordance with the list of interest categories and select the one that is most applicable. Members who identify their interest as State Government shall also be asked to identify which State, District, Territory or Province they are associated with. AAMVA - Public Document 7
ANSI-D20 Procedures - 2009 3.3.4 Pre-canvass In order to determine if potential canvassees are interested in participating, AAMVA shall conduct a pre-canvass interest survey, in which AAMVA informs the potential canvassees in writing about the use of AAMVA's canvass process for developing evidence of consensus, and, if the potential canvassees are interested in participating, obtains an appropriate interest category classification. AAMVA's e-mail shall contain the title, designation, scope, description of the standard along with the history of its development, purpose and intended application of the standard, and an explanation of the ANSI function, as described in the Historical Letter. The time for response shall be at least 30 calendar days from the date of the AAMVA's e-mail and shall be so noted in the e-mail. Include the details of becoming a canvassee, when the correspondence that forms the working group is formed. If an interest survey is not filled in correctly, that the survey will be returned to the canvassees and a request be made for it to be corrected and resubmitted. All those who have agreed to participate shall be included on the canvass list, together with their agreed-upon interest categories. In addition, the affiliation and interest category of each member of the consensus body shall be made available to interested parties upon request. (Affiliation refers to the entity that the consensus body member represents (which may or may not be that person's employer). If the consensus body member is serving in an individual capacity, then the name of the individual, that person's employer and interest category should be available. Contact information is not required.) Once an interest survey has been completed for a standard, it need not be repeated for subsequent balloting of the document. In addition, AAMVA may conduct a single interest survey for a group or category of standards. A canvassee who has indicated a desire to be on the AAMVA's canvass list for a particular category or categories of standards shall receive the draft document(s), e-mail ballot(s), and all appropriate information pertaining to Public Review And Consensus Body Comments and Appeals. The review period shall be 30 calendar days from the date of publication. Any resulting proposals for addition to the canvass list shall be referred directly to AAMVA. Additional canvassees may be added by AAMVA before the close of the canvass ballot period. 3.4 CONDUCT OF CANVASS AAMVA may begin to conduct the canvass at any time after establishment of the consensus body. 3.4.1 Canvass Requirements A ballot shall be conducted on all proposals to change the functional content of D20. Non-functional changes (such as changing the formatting or correcting spelling) shall not be subject to a ballot. AAMVA shall make available, at minimum, the following information to all canvassees and other interested parties: 1. the purpose and intended application of the standard; 2. a brief history and explanation of how the standard was developed; 3. an explanation of ANSI's function and AAMVA's procedures; 4. a copy of the canvass list, consisting of the name, affiliation, and category of interest of each canvassee; 5. a copy of the current D20; 6. the relevant portion under consideration; 7. official letter ballot(s) to all canvassees. E-mails shall be used to communicate the information. Some of the information will be attached in the e-mail, while links will be provided to the rest of the information on AAMVAs web page. Multiple canvasses may be conducted concurrently on different parts of D20. A change to a given D20 element should only be reviewed in one of the ongoing canvasses. Should the document contain material that is not to be considered for approval in D20, such as an introduction or annex, a clear statement shall be included indicating those portions of the standard that are not to be considered for approval by ANSI. 8 AAMVA - Public Document
The ballot form used by AAMVA shall provide opportunity for the canvassee to vote one of the following positions: 1. Affirmative; 2. Affirmative, with comment; 3. Negative, with reasons (the reasons for a negative vote shall be given and if possible should include specific wording or actions that would resolve the objection); 4. Abstain (with comment). The ballot form shall include advice that, in order to receive consideration, negative votes must be accompanied by supporting written reasons and, where possible, proposals for a solution to the problem raised. The ballot form shall provide the option for a canvassee who is inactive to indicate that the canvassee no longer wishes to be a voting member. Negative votes without any accompanying reason or abstentions without any accompanying comment shall be considered invalid responses and shall not be considered when determining the numerical requirements for consensus. Such votes shall be recorded as "abstain without comment" or "negative without comment" and shall be reported to the BSR. At least one follow-up shall be sent to canvassees not responding. The canvass ballot may be closed at the end of 30 calendar days or sooner if all canvassees have responded. Upon request from any canvassee giving a legitimate reason, a single 15 calendar day extension to the ballot period may be granted. Those not on the canvass list who have a direct and material interest in the standard have an opportunity to participate in the review of the standard during the public review process, announced in Standards Action. 3.4.2 Public Review Proposals to revise, reaffirm, or withdraw D20 shall also be transmitted to ANSI for listing in Standards Action for comment. Public review will normally be concurrent with the canvass. 3.4.3 Consideration of Comments Views and objections resulting from the canvass and public review shall be dealt with in accordance with Disposition Of Views And Objections. 3.4.4 Criteria for Approval Approval of a new standard, or revision or reaffirmation of an existing standard, or an addendum to part or all of an existing standard shall require approval by at least: a majority of the canvass list, excluding abstentions and invalid responses, and at least two-thirds of those voting, excluding abstentions and invalid responses. 3.4.5 Termination of Voting Membership Voting members on the canvass list constitute the consensus body and have an obligation to vote and return ballots on time. Failure to return two consecutive ballots may result in termination of voting membership by AAMVA. 3.5 DISPOSITION OF VIEWS AND OBJECTIONS Prompt consideration shall be given to the written views and objections of all participants, including those commenting on either the PINS announcement or public comment listing in Standards Action. AAMVA - Public Document 9
ANSI-D20 Procedures - 2009 3.5.1 Comments on PINS Announcement If AAMVA receives written comments within 30 calendar days from the publication date of a PINS announcement in Standards Action, and said comments assert that a proposed standard duplicates or conflicts with an existing American National Standard (ANS) or a candidate ANS that has been announced previously in Standards Action, a mandatory deliberation of representatives from the relevant stakeholder groups shall be held within 90 calendar days from the comment deadline This deliberation shall be scheduled as soon as possible. Such a deliberation shall be organized by AAMVA and the commenter and shall be concluded before AAMVA may submit a draft standard for public review. If the deliberation does not take place within the 90-calendar day period and AAMVA can demonstrate that it has made a good faith effort to schedule and otherwise organize it, then AAMVA may be excused by ANSI from compliance with this requirement. The purpose of the deliberation is to provide the relevant stakeholders with an opportunity to discuss whether there is a compelling need for the proposed standards project. The outcome of such a deliberation shall be conveyed in writing by AAMVA and the commenter (ideally as a joint submission) to the ANSI Board of Standards Review (BSR) for consideration should the developer ultimately submit the related candidate standard to ANSI for approval. 3.5.2 Public Review and Consensus Body Comments In connection with an objection articulated during a public comment period, or submitted in connection with a vote, an effort to resolve all expressed objections shall be made, and each objector shall be advised in writing of the disposition of the objection and the reasons therefore. If resolution is not achieved, the objector shall be informed in writing of the right to appeal and that an Appeals process exists. In addition, each objection resulting from public review or submitted by a member of the consensus body, and which is not resolved (see definition in glossary) must be reported to the BSR. AAMVA may consider any comments received subsequent to the closing of the public review and comment period, or shall consider them at the next review. Each unresolved objection with the attempt at resolution and any substantive change (see definition in glossary) made in a proposed D20 release shall be reported to the consensus body, along with a 30 calendar day recirculation ballot in order to afford all voting members an opportunity to respond, reaffirm or change their vote. There is no obligation by voting members to return the recirculation ballot unless the voting members wish to change their original vote. If the recirculation ballot is not returned, the original vote stands. Substantive changes made in a proposed D20 release shall be listed by ANSI, in their Standards Action. Timely comments that are not related to the proposal under consideration shall be documented and considered in the same manner as submittal of a new proposal. The submitter of the comments shall be so notified. 3.5.3 Appeals Persons who have directly and materially affected interests and who have been or may be adversely affected by a procedural action or inaction of AAMVA shall have the right to appeal. AAMVA shall provide or arrange for an impartial appeals body composed of at least three individuals knowledgeable as to the policy or other concerns related to the appeal. Such individuals must not have demonstrably real or apparent conflicts of interest with the subject of the appeal or the person filing the appeal. 3.5.3.1 Complaint The appellant shall file a written complaint with AAMVA within 30 calendar days after the date of notification of action or at any time with respect to inaction. The complaint shall: state the nature of the objection(s) including: any adverse effects, the clause(s) of these procedures or the standard that is at issue, actions or inactions that are at issue, and the specific remedial action(s) that would satisfy the appellant's concerns. 10 AAMVA - Public Document
Previous efforts to resolve the objection(s) and the outcome of each shall be noted. 3.5.3.2 Response Within 30 calendar days after receipt of the complaint, AAMVA shall respond in writing to the appellant, specifically addressing each allegation of fact in the complaint to the extent of the respondent's knowledge. 3.5.3.3 Hearing If the appellant and the respondent are unable to resolve the written complaint informally in a manner consistent with these procedures, the AAMVA shall schedule a hearing with an appeals panel on a date agreeable to all participants, giving at least 10 working days notice. A hearing will be conducted via teleconference. Alternatives to a teleconference may be considered. 3.5.3.4 Appeals Panel The appeals panel shall consist of three individuals who have not been directly involved in the matter in dispute, and who will not be materially or directly affected by any decision made or to be made in the dispute. At least two members shall be acceptable to the appellant and at least two shall be acceptable to the respondent. 3.5.3.5 Conduct of the Hearing The appellant has the burden of demonstrating adverse effects, improper actions or inactions, and the efficacy of the requested remedial action. The respondent has the burden of demonstrating that the consensus body and AAMVA took all actions in compliance with these procedures and that the requested remedial action would be ineffective or detrimental. Each party may adduce other pertinent arguments, and members of the appeals panel may address questions to individuals. Robert's Rules of Order (Scott, Foresman and Company, 2000) shall apply to questions of parliamentary procedure for the hearing not covered herein. 3.5.3.6 Decision The appeals panel shall render its decision in writing within 30 calendar days, stating findings of fact and conclusions, with reasons therefore, based on a preponderance of the evidence presented to the appeals panel. Consideration shall be given to the following positions, among others, in formulating the decision: 1. Finding for the appellant, remanding the action to the consensus body or AAMVA with a specific statement of the issues and facts in regard to which fair and equitable action was not taken; 2. Finding for the respondent, with a specific statement of the facts that demonstrate fair and equitable treatment of the appellant and the appellant's objections; 3. Finding that new, substantive evidence has been introduced, and remanding the entire action to the consensus body or AAMVA for appropriate reconsideration. A summary of the nature of the appeal, and the decision and rationale thereof, shall be reported by AAMVA to the canvass list. 3.6 SUBMITTAL OF STANDARD Upon completion of the procedures for canvass, for disposition of views and objections, and for appeals, the proposed standard may be submitted to ANSI for approval. ANSI uses form BSR-9, to request approval. The information to be supplied to ANSI shall include: 1. title and designation of the proposed D20 release; 2. indication of the type of action requested (that is, reaffirmation, revision, or withdrawal of an existing D20); 3. a declaration that applicable procedures were followed; 4. a declaration that the proposed standard is within the scope of the previously registered standards activity; 5. a declaration that conflicts with another American National Standards have been addressed in accordance with these procedures; AAMVA - Public Document 11
ANSI-D20 Procedures - 2009 6. a roster of the consensus body that indicates: the vote of each member including abstentions and unreturned ballots, if applicable; the interest category of each member; and a summary thereof; 7. a declaration that all appeal actions related to the approval of the proposed standard have been completed; 8. a declaration that the criteria contained in the ANSI patent policy have been met, if applicable; and 9. identification of all unresolved negative views and objections, with names of the objector(s), and a report of attempts toward resolution. 3.7 REQUESTS FOR INTERPRETATION OF STANDARDS 3.7.1 Requesting a Technical Interpretation Request for a technical interpretation of a standard shall be submitted in writing to AAMVA. A request for technical interpretation shall contain the following information: 1. Name of organization submitting request; 2. Name of individual within the submitting organization who may be contacted concerning the request; 3. Date by which interpretation is desired; 4. Appropriate references to the standard's clauses that have a bearing on the problem cited in the request; 5. A concise explanation of the problem requiring a technical interpretation; 6. Any supporting documentation that will assist in understanding or describing the problem; 7. Any recommendations the requesting organization would like to make concerning a possible technical interpretation, along with appropriate justification or comments. 3.7.2 Processing a Request for Technical Interpretation Upon receipt, AAMVA will develop a draft proposed technical interpretation to the request in consultation with persons recognized as expert in the particular subject matter of the interpretation request. Upon completion of the proposed technical interpretation, AAMVA shall: a) Arrange for publication of the proposed technical interpretation (or a source from which to obtain it) in Standards Action and forward it to the members of the canvass list which approved the standard. b) Notify the requester of the proposed technical interpretation. Comments received as a result of the publication and review of the proposed technical interpretation shall be reviewed by AAMVA, as well as the initial expert consultants, and AAMVA will develop a final interpretation. 3.7.3 Dissemination of Final Technical Interpretations AAMVA shall be responsible for the dissemination of the final technical interpretation. The final technical interpretation shall consist of the following information: a) Definition of the problem being resolved; b) Discussion of the issues relevant to the problem; c) Discussion of the solution to the problem (interpretation); d) Effective date of the technical interpretation. The final interpretation shall be disseminated as follows: publication in Standards Action; in writing to the members of the canvass list, which approved the standard; in writing to the requester; others as deemed appropriate. AAMVA shall maintain a central registry of technical interpretations for reference. Revisions to the standard resulting from requests for interpretations shall be processed in accordance with these procedures. 12 AAMVA - Public Document
3.8 MAINTENANCE OF D20 BY AAMVA 3.8.1 Maintenance of Standards (Continuous Maintenance) Continuous maintenance is defined as the maintenance of a standard by consideration of recommended changes to any part of it for consideration and action by the consensus body. The standard shall be maintained by an accredited standards developer. A documented program for publication of revisions shall be established by the standards developer (AAMVA). Processing of these revisions shall be in accordance with these procedures. The published standard shall include a clear statement of the intent to consider requests for change and information on the submittal of such requests. Procedures shall be established for timely, documented consensus action on each request for change and no portion of the standard shall be excluded from the revision process. In the event that no revisions are issued for a period of five years, action to revise, reaffirm, or withdraw the standard shall be initiated in accordance with the procedures contained herein. In the event that a BSR-8/108 has not been submitted for D20 under continuous maintenance within five years of its approval, the standards developer may request an extension, but shall then maintain D20 under periodic maintenance. 3.8.2 Coordination and Harmonization In accordance with the latest edition of the ANSI Essential Requirements: Due process requirements for American National Standards, good faith efforts shall be made by AAMVA to resolve potential conflicts between and among existing American National Standards and candidate American National Standards. 3.8.3 Compliance with ANSI Patent Policy AAMVA agrees to comply with the ANSI Patent Policy. AAMVA does not hold and does not intend holding any essential patent claim(s) on D20 or any of its contents. AAMVA is not aware of any patent claim(s) on D20 or any of its contents. 3.8.4 Compliance with ANSI Commercial Conditions AAMVA agrees to comply with the ANSI Commercial Terms and Conditions Policy. D20 shall not contain or endorse any commercial products. 3.8.5 Copyright The dictionary shall contain a copyright notice, to establish ownership, but still allow users to use the definitions from the dictionary. The American Association of Motor Vehicle Administrators (AAMVA) produced this document. Users are hereby granted permission to reproduce this work so long as written attribution is included prominently. 3.8.6 Measurement Policy Some elements in D20 describe a measurement that could use a U.S. or an International metric unit of measure (e.g. miles or kilometers). D20 does not require a particular measurement scale, because the determination of which scale to use is made by the user of D20 to support their environment. Note: Most D20 measurement elements include an optional "unit of measure", so systems using D20 that will encounter both U.S. and metric measurements can use the unit of measure. Systems which always use a given unit of measure can opt to not use the unit of measure. AAMVA - Public Document 13
ANSI-D20 Procedures - 2009 3.8.7 Records Retention Policy Electronic records shall be retained for one complete standards cycle, or until the standard is revised. Records concerning withdrawals of D20 shall be retained for at least five years from the date of withdrawal or for a duration consistent with the audit schedule. 3.8.8 Withdrawal of a Standard Withdrawal of an existing standard, or an addendum to part or all of an existing standard shall require approval by at least a majority of the canvass list, excluding abstentions and invalid responses, and at least two-thirds of those voting, excluding abstentions and invalid responses. If the criteria for withdrawal of D20 are met, AAMVA shall notify ANSI immediately and the standard shall be withdrawn as an ANS and announced in Standards Action. 3.8.9 Discontinuance of a Standards Project AAMVA may abandon the processing of a proposed D20 revision or portion thereof if it has followed its accredited procedures. A written justification for such an action shall be made available upon receipt of any written request received by AAMVA within 60 calendar days of the date of the final action. Appeals of such actions shall be made to the Executive Standards Council based on procedural noncompliance. 14 AAMVA - Public Document
A. HISTORICAL LETTER Dear Canvass Member, Along with a draft of the revised proposed standard, I have provided a historical summary of the ANSI D20. summary will also provide the purpose and scope of the standard. This Background: The need for the D20 Data Element Dictionary for Traffics Records Systems was created by the Highway Safety Act of 1966, which required states receiving federal highway safety funds to develop better systems for collecting and processing data to be used in operating safety programs. Traffic Records in this context refer to records related to motor vehicle registration, driver licensing, highway design and operations, accidents, financial responsibility, motor vehicle inspection, commercial vehicle reciprocity, traffic law enforcement, emergency medical services, etc. Under the leadership of AAMVA, several hundred persons from more than eighty public and private organizations on a D20 Parent Committee participated in compiling the dictionary. With funding and computer services provided by NHTSA and FHWA, the first edition of the dictionary was issued in 1979 as American National Standard ANSI D20.1-1979. A second edition was approved October 11, 1993 by the American National Standards Institute as ANSI D20.1-1993. The third edition was published in 1998 and the fourth edition was published in April 2003. The D20 Parent Committee was dissolved and responsibility for the maintenance of the D20 dictionary was transferred to AAMVA's Standing Committee on Motor Vehicle Information Systems (MVIS) after a 1984 ballot of the D20 Parent Committee. On May 6, 1986, MVIS formally submitted a request to ANSI that AAMVA be accredited as the sponsor charged with maintenance of the D20 Dictionary. ANSI notified AAMVA by letter of August 28, 1986, that the request was approved. Scope and Purpose: The purpose of this American National Standard is to provide a common set of coding instructions for data elements related to highway safety, driver licensing, and vehicle registration. The first edition of the Data Element Dictionary for Traffic Records Systems was published by the American Association of Motor Vehicle Administrators in 1979, after six years of work by ten technical subcommittees and hundreds of individuals. In the second edition, many data elements were updated for greater compatibility with operating data systems. The third edition, D20-1998, is unique in that throughout the revision an effort to synchronize the Dictionary with the AAMVA data repository was attempted. The AAMVA repository was developed using as a source of reference, the different AAMVA Electronic Data Interchange applications used the AAMVA community on a national basis. These applications encompass the driver licensing, vehicle registration and titling, and motor carrier registration business areas of the Departments of Motor Vehicles in the U.S. and Canada. It is important to note that most of these applications were initially developed using D20 as a reference. It is only when the data elements did not meet the application's exact requirements that new elements were created in the AAMVA repository. When new data elements are created for the repository, their definitions are reviewed and approved by working groups representing either a sub-set of the AAMVA community or its entirety. AAMVA's goals today with the revision of D20, and for the future, are to ensure that discrepancies between the Standard and the AAMVA repository are reduced to a minimum. The Fourth Edition of D20, like the first three, is designed to facilitate continued coordination among data system developers. It is not intended or anticipated that any single user will incorporate all of the elements listed in this dictionary into a single system. However, for both new systems and for system modification, developers are encouraged to use data elements in D20 whenever possible. The fifth edition includes updates to elements that have occurred since 2003. Compatibility with the Dictionary does require conformity. If more detail is required by some users than elements in the Dictionary provide, it is often possible to design codes in a manner that permits downward compatibility to the format given in the Dictionary. However, when possible users should include the details given in the Dictionary to maximize compatibility among systems operated by different agencies and organizations. AAMVA - Public Document 15
ANSI-D20 Procedures - 2009 This Standard is the product of a dynamic environment and it is expected that improvements to the Standard may be necessary on a regular basis. For this reason AAMVA applied for authority through the American National Standards Institute (ANSI) to maintain D20 through the "Continuous Maintenance" method. Revisions to the Standard will include the following: Deletion of existing data element(s) Modification of existing data element(s) Addition of new data element(s) Revisions of the Dictionary follow procedures established by ANSI to promote the development of voluntary standards through consensus. 16 AAMVA - Public Document
4 GLOSSARY OF TERMS A AAMVA The American Association of Motor Vehicle Administrators (AAMVA) is a nonprofit organization, representing the state and provincial officials in the United States and Canada who administer and enforce motor vehicle laws. ANSI American National Standards Institute, is an organization that oversees the development of voluntary consensus standards for products, services, processes, systems, and personnel in the United States. ANSI D20 A set of standard terminology and coding instructions designed to facilitate representations of standardized data elements communicated between motor vehicle agencies and other users of traffic records systems. B BSR ANSI Board of Standards Review C Consensus Body The group that approves the content of a standard and whose vote demonstrates evidence of consensus. I In Writing Communication sent by electronic mail (e-mail). R Resolved A negative vote cast by a member of the consensus body or a comment submitted as a result of public review where the negative voter agrees to change his/her vote or the negative commenter accepts the proposed resolution of his/her comment. S Substantive Change A substantive change in a proposed American National Standard is one that directly and materially affects the use of the standard. Examples of substantive changes are: "shall" to "should" or "should" to "shall"; addition, deletion or revision of requirements, regardless of the number of changes; addition of mandatory compliance with referenced standards. U Unresolved Either (a) a negative vote submitted by a consensus body member or (b) written comments, submitted by a person during public review expressing disagreement with some or all of the proposed standard, that have not been satisfied and/or withdrawn after having been addressed according to the developer's approved procedures. W Working Group A group officially established by AAMVA to provide guidance and support an AAMVA authorized program or activity. It is comprised of selected individuals from appropriate jurisdictions and industry. The Working Group reports to a Chairman and has a charter, mission statement and work plan.
5 INDEX A AAMVA 17 ANSI 17 ANSI D20 17 ANSI-D20 Procedures 5 Appeals 8, 10 Appeals Panel 11 B Background 3 Balance 6 BSR 17 BSR-8 Form 6 C Canvass Requirements 8 Change Requests and Impact Analysis 5 Comments on PINS Announcement 6, 10 Complaint 10 Compliance with ANSI Commercial Conditions 13 Compliance with ANSI Patent Policy 13 Conduct of Canvass 8 Conduct of the Hearing 11 Consensus Body 17 Consideration of Comments 9 Contact Information 1 Coordination and Harmonization 13 Copyright 13 Criteria for Approval 9 D Decision 11 Develop Canvass List 7 Development of Canvass List or Consensus Body 6 Discontinuance of a Standards Project 14 Disposition of Views and Objections 9 Dissemination of Final Technical Interpretations 12 Document Introduction 1 Document Purpose 1 H Hearing 11 Historical Letter 8, 15 I In Writing 17 Interest Categories 7 L Lack of Dominance 6 M Maintenance of D20 by AAMVA 13 Maintenance of Standards (Continuous Maintenance) 13 Measurement Policy 13 N Notification of Standards Development 5 P PINS Form 6 Pre-canvass 8 Processing a Request for Technical Interpretation 12 Public Review 9 Public Review and Consensus Body Comments 8, 10 R Records Retention Policy 14 Requesting a Technical Interpretation 12 Requests for Interpretation of Standards 12 Resolved 17 Response 11 S Submittal of Standard 11 Substantive Change 17 T Termination of Voting Membership 9 U Unresolved 17 W Withdrawal of a Standard 14 Working Group 17