Standards Development Guide PE/SPDC Meeting Oct 14 th, 2014 Revised: 12 Oct, 2014
Table of Contents 1. Governance Structure a. Governance Structure pg 4 2. Standards Development Overview a. Five Basic Principles pg 6 b. Standards Development Flowchart pg 7 3. Standards Development Process Guide a. Key Steps in Standards Development pg 9 b. Submit PAR to NesCom pg 10 c. Issue Call for Participation pg 11 d. Acquire Working Group Tools pg 12 e. Working Group Meetings pg 13 f. Draft Development pg 14 g. Mandatory Editorial Coordination pg 15 h. Sponsor Balloting pg 16 i. Submit Draft to RevCom pg 19 j. Publish the Standard pg 20 k. Maintain the Standard pg 21 2
Governance Structure 3
Governance Structure 1. IEEE-SA Board of Governors (BOG) governs the IEEE-SA. BOG Chair reports to the IEEE Board of Directors IEEE org chart: http://www.ieee.org/documents/organization_summary.pdf 2. IEEE-SA Standards Board (SASB) oversees the standards development process. SASB reports directly to the BOG 3. SASB Committees: New Standards Committee (NesCom) recommends the approval of new or revised PARs ( Project Authority Requests) to the SASB. Review Committee (RevCom) recommends the approval of standards to the SASB. Procedures Committee (ProCom) recommends changes in procedures to the SASB. Patents Committee (PatCom) provides oversight of the use of any patents and patent information in IEEE standards and reviews conformity with the patent procedures and guidelines. Audit Committee (AudCom) oversees the standards development activities of IEEE Societies, their standards-developing entities, and the Standards Coordinating Committees (SCCs). Standards Coordinating Committee (SCC) act as Sponsor when the scope of a standards activity is too broad for a single Society, or a Society is unable to carry out the work. 4. Primary Governing Documents: SASB Bylaws, SASB Operations Manual 4
Standards Development Overview 5
Guided By Five Basic Principles Standards development follow a well-defined path from concept to completion, guided by a set of five basic principles: Due process - Having highly visible procedures for standards creation and following them. Openness - All interested parties can participate in the IEEE standards development process Consensus - A clearly defined percentage of those in a balloting group vote to approve a draft of the standard Balance - Balloting groups include all interested parties. No one party has an overwhelming influence in the balloting group. Right of appeal - Anyone may appeal a standards development decision at any point, before or after a standard has been approved. IEEE-SASB Bylaws: http://standards.ieee.org/develop/policies/bylaws/index.html IEEE-SASB Operations Manual: http://standards.ieee.org/develop/policies/opman/ 6
Standards Development Flowchart Idea! Maximum of 4 years Project Approval Process Develop Draft Standards (in Working Groups) Sponsor Ballot IEEE-SA Standards Board Approval Process Publish Standards No need to revise Standard Revise Standard Maximum of 10 years Archive Withdraw Standard Resources: http://standards.ieee.org/develop/overview.html 7
Standards Development Process Guide 8
Key Steps in Standards Development ** Staff Liaison provides guidance ** 1. Sponsor formed and P&Ps approved by IEEE-SA Standards Board. 2. Sponsor submits PAR to IEEE-SA Standards Board. 3. PAR approved and call for participation issued. 4. WG Chair works with Sponsor Chair to acquire teleconference and web conference services, currently we have Join.Me which involves sign up on Central Desktop. 5. Development of WG P&Ps. 6. Process questions related to WG developing the draft standard. 7. WG Chair submission of draft standard for Mandatory Editorial Coordination (MEC) before Sponsor balloting begins. 8. Initiation of Sponsor balloting 9. WG Chair submission of draft standard to IEEE-SA Standards Board for approval 10.IEEE-SA Editor performing final editing. 11.Standard publication. Complimentary copies to WG members. 12.Sponsor/WG maintains the standard. 9
PAR Submission process to NesCom The PAR is a legal document and the means by which a WG gets indemnification from IEEE. Procedure: 1. Existing WG, or Study Group, drafts the PAR and submits it to the Sponsor for approval. Consider the NesCom conventions: http://standards.ieee.org/about/sasb/nescom/conv.html 2. Sponsor approves the PAR text 3. SG Chair, WG Chair, or standards Representative enters the PAR in myproject. See myproject User Guide: https://mentor.ieee.org/etools_documentation/bp/myproject 4. Sponsor Chair approves the PAR in myproject and submits it to NesCom 5. If a new WG was requested when the PAR was entered in myproject, then: a. A WG is created in myproject b. WG chair is selected c. WG chair enrolls in the WG in myproject d. Sponsor Chair/Standards rep. appoints the WG Chair in myproject e. WG Chair accepts the appointment in myproject 6. NesCom members review the PAR and submit comments. 7. WG Chair or Sponsor Chair responds to NesCom comments timely. 8. NesCom recommends approval of the PAR to the SASB. 9. SASB approves the PAR. 10
Issue Call for Participation To ensure representation from all impacted parties and/or balance among the parties affected by the standard, a call for participation (CFP) can be issued. The CFP is usually done as an email blast to IEEE Societies and email lists supplied by the Sponsor Chair or WG Chair. A press release may also be issued for projects with high interest (i.e. very newsworthy) Procedure: 1. WG agrees to the text of the CFP. (Include the date of the next WG meeting and how to join the WG.) 2. If the Sponsor requires approval of the CFP (not usually) the WG Chair sends the CFP to the Sponsor for approval. 3. WG Chair sends the CFP text to the Staff Liaison along with the following: a. The names of the IEEE Societies to send the CFP to. See IEEE Societies at http://www.ieee.org/membership_services/membership/societies/index.html b. Other email lists to send the CFP sent to c. Contact name for the CFP. (The person who will answer questions from the email recipients.) d. Target date for distributing the CFP 4. Staff Liaison submits the CFP to IEEE-SA Marketing. 5. IEEE-SA Marketing puts the CFP in the IEEE-SA CFP format and returns it to the WG Chair (and Sponsor Chair if required by the Sponsor) for approval. 6. IEEE-SA Marketing distributes the email blast when the WG chair (or Sponsor Chair) approves the CFP for distribution. 11
Acquire WG Tools 1. Document Management: A. Central Desktop: Is an online collaboration tool WG can request this via staff Liaison Files and Discussions a. MS Word plug-in b. Share, lock for editing, version control c. Password protect d. Discussions around a document Project Management/Tasks a. Assign task to individuals, set time frame, priority, reminders b. Reports c. Templates for the SA processes B. Mentor is a web based tool: WG Chair chooses Mentor features and Staff Liaison submits the request. This is also available for Sponsors. a. Ability to make documents public (Contributions and draft standards shall not be public) b. Calendar c. email alias (For WGs, the subscribers are tied to the WG roster in myproject) d. epoll 3. Listserv: Some groups prefer an IEEE listserv instead of the Mentor email alias. a. Listserv subscribers are not tied to the WG roster in myproject. b. Listserv overview/procedures: http://eleccomm.ieee.org/maillist.shtml 4. Teleconference & Web Conference Services: Join.Me is provided can can be requested. a. Request form: https://ieee-sa.centraldesktop.com/joinme/ b. Introductory Video: https://ieee-sa.centraldesktop.com/joinme/doc/32297589/w- JoinMeIntroductoryWebinar 5. IEEE-SA etools a. Login Page: https://development.standards.ieee.org/my-site b. Etools Documentation: https://mentor.ieee.org/etools_documentation/ 12
Working Group Meetings 1. Review the IEEE-SA Meeting Guidelines and Antitrust Policy: IEEE-SA Meeting Guidelines: http://development.standards.ieee.org/myproject/public/mytools/mob/me etguide.pdf IEEE-SA Antitrust Policy: http://standards.ieee.org/develop/policies/antitrust.pdf 2. Meetings shall be conducted in compliance with all applicable laws, including antitrust and competition laws. 3. Do not discuss the following at WG meetings: (Found on Patent Slides) a. Interpretation, validity, or essentiality of patents/patent claims b. License rates, terms, or conditions. (Relative costs, including licensing costs of essential patent claims, of different technical approaches may be discussed ) c. Setting product prices, allocation of customers, or division of sales markets d. The status or substance of ongoing or threatened litigation 4. Meetings shall be run in accordance with the parliamentary procedures of the latest edition of Robert s Rules of Order. Consult Robert s Rules of Order for guidance on parliamentary procedures not addressed in the WG s P&Ps. Robert s Rules of Order: http://mentor.ieee.org/myproject/file/public/mytools/mob/robrules.pdf 13
Draft Development 1. Review and follow the IEEE-SA Copyright Policy. Copyright Policy: http://standards.ieee.org/ipr/copyright.html Copyright FAQs: http://standards.ieee.org/faqs/copyrights.html 2. The IEEE owns the copyright in all work products. WG Chair should obtain copyright permission as soon as borrowed material is put into the draft. Sample copyright permission letters: http://standards.ieee.org/develop/permissionltrs.zip 3. Refer to the IEEE Standards Style Manual for document structure. Style Manual: https://development.standards.ieee.org/myproject/public/mytools/draft/styleman.pdf Draft templates are available in MS Word and FrameMaker formats: https://development.standards.ieee.org/myproject/public/mytools/draft/wordtemp.zip https://development.standards.ieee.org/myproject/public/mytools/draft/frame_template.zip Template Webinars : #1 Getting Started with the Template http://www.youtube.com/watch?v=-ube4pwef-i&feature=youtu.be #2 Composing Your Draft in the Template: http://www.youtube.com/watch?v=yz2mhbusoo4&feature=youtu.be #3 Adding Figures & Tables in the Template http://www.youtube.com/watch?v=cvjy37j1ixq&feature=youtu.be #4 Adding Annexes, Bibliography, Cross-References http://www.youtube.com/watch?v=5ytkql_jk6u&feature=youtu.be 4. WG Chair shall request a Letter of Assurance (LOA) from any potential essential patent holders IEEE-SA Patent Materials: http://standards.ieee.org/about/sasb/patcom/materials.html 5. Develop an outline of the draft. 6. Assign writing among working group members. 7. Appoint/hire a technical editor. The technical editor gathers inputs and ensures technical consistency. 8. IEEE-SA project editors are available to answer questions on style and formatting 9. Do not make the draft, or contributions to the draft, public. 14
Mandatory Editorial Coordination 1. Mandatory Editorial Coordination (MEC) ensures that basic elements of the document, such as draft labeling, copyright statements and releases are all handled properly in the draft. 2. When the WG is ready to send the draft to ballot, the draft is submitted to the IEEE-SA project editors for the MEC. MEC submission form: http://standards.ieee.org/develop/mecform.html What the editors check for: http://standards.ieee.org/develop/draft_cklst.pdf 3. Will the standard need a registry to maintain codes or objects? If yes, check the registration of objects button on the MEC submission form. IEEE Registration Authority: http://standards.ieee.org/develop/regauth/index.html 4. The MEC is usually started when the ballot invitation opens. MECs typically complete within 30 days. 5. The MEC report contains two sections: a. Items/issues that shall be resolved before balloting begins. b. Items/issues that shall be resolved before the final recirculation. These issues have to be resolved and viewed by balloters. 15
Sponsor Balloting Balloters shall classify their relationship relative to the scope of the draft standard (e.g. producer, user, academic, government). The ballot group shall be balanced. No group (classification) shall constitute one-third or more of the balloting group membership. Sponsors may define additional classifications. Ballot groups shall have at least 10 members for Individual ballots and 5 members for Entity ballots. Balloting shall begin within 6 months of when the ballot invitation closed. Procedure: 1. Ballot Invitation - Opened for 30 days in myproject. a. Must be IEEE-SA Individual Member to join Individual ballots, or pay per-ballot fee. b. Must be IEEE-SA Corporate Member to join Entity ballots. c. Invitation may be extended to increase/balance the ballot group. 2. Ballot Opens - WG Chair, Sponsor Chair, or a designee submits draft for balloting in myproject. Ballot opens when Staff Liaison approves the request. a. Balloters notified that ballot opens b. Ballot opened for 30 days 3. Balloters Vote - Approve, Do Not Approve, or Abstain. 16
Sponsor Balloting, cont d 4. Comment Resolution WG responds to ballot comments in myproject. a. WG shall respond to all comments. b. Response should show that the WG seriously considered the comment. c. The WG shall make a reasonable attempt to resolve all Do Not Approve votes that are accompanied by comments. d. Editorial comments addressing grammar, punctuation, and style, whether attached to an Approve or a Do Not Approve vote, may be referred to the publications editor for consideration during preparation for publication e. SASB Operations Manual on comment resolution: http://standards.ieee.org/develop/policies/opman/sect5.html#5.4.3.3 5. Recirculation Ballot Required if substantive changes were made to the draft, or if there are any unresolved Do Not Approve (with Comments) votes (not editorial comments). a. Until 75% approval is achieved, comments can be based on any part of the document. b. Once 75% approval is achieved, comments shall be based only on the changed portions of the draft, portions of the draft affected by the changes, or portions of the draft that are the subject of unresolved comments associated with Do Not Approve votes. c. Recirculation ballots are opened for at least 10 days. d. Balloters can change their votes during a recirculation ballot. e. Balloters who did not vote previously can vote now. 17
Sponsor Balloting, cont d 6. Balloting Completes The IEEE consensus requirement is met when the following is achieved: a. At least 75% of the ballot group voted (response rate) b. Fewer than 30% of the ballot group voted Abstain c. The number of Approve votes is 75% or more of the total Approve and Do Not Approve (with Comments) votes. ( Approval Rate) 18
Submit Draft to RevCom 1. The draft standard is ready to submit to the IEEE-SA Standards Board for approval when the following is met: a. Consensus voting requirements met b. All comments are responded to c. All comments accompanying, Do Not Approve votes have been circulated to the ballot group. 2. WG chair, Sponsor Chair, or a designee submits the draft with other documentation to RevCom in myproject. 3. RevCom members review the draft and balloting documentation and submit comments. RevCom checklist: https://development.standards.ieee.org/myproject/public/mytools/appro ve/subchklst.pdf RevCom Conventions: http://standards.ieee.org/about/sasb/revcom/conv.html 4. WG Chair or Sponsor Chair responds to RevCom comments timely. 5. RevCom recommends approval of the draft standard to the SASB. 6. SASB approves the draft standard. 19
Publish the Standard 1. After the IEEE-SASB approves the standard, an IEEE editor edits the document to ensure that the standard is grammatically and syntactically correct 2. The editor cannot make any changes that affect the technical meaning of the standard. a. The editor can make rewordings, editorial changes, and formatting changes to assist in publication of the standard. b. The editor ensures that the document meets the rules in the IEEE Standards Style Manual. 3. The IEEE editor works with a primary contact for the WG (usually the WG Chair or technical editor). a. The IEEE editor will discuss any questions or potentially problematic changes with this contact. b. The contact will also receive the final standard to review and approve prior to publication. 4. The primary contact is responsible for reviewing the edited and formatted pages to ensure that no errors have crept into the document during the editorial and publishing process. 5. After review and inclusion of any changes, the document can be published and disseminated as an IEEE standard! 6. WG members receive complimentary copies of the standard 7. After the standard is published, the WG Chair will be asked to identify candidates for the IEEE-SA Working Group Chair Award. The IEEE-SA Working Group Chair Award is presented to WG Chairs, Co-Chairs, Editors and/or others in recognition of their contribution to the development and publication of a standard. http://standards.ieee.org/develop/awards/wgchair/index.html 20
Maintain the Standard 1. Effective 1 January 2012, the status of a standard will be either active or inactive. 2. Standards must have a revision approved by the IEEE-SASB prior to the close of year 10 in order to remain active. 3. Any standard without an approved revision will become inactive after year 10. 4. A revision action can result in: a. Changes to the standard b. Changes to only the references or bibliography c. No changes If no changes are made the standard will retain its designation (i.e., the year will not change). The title page will reflect the fact that a maintenance action occurred but no changes were made. 5. In between revisions of a standard the Sponsor may develop: a. Amendments: Documents that contains new material to an existing IEEE standard and may contain technical corrections to that standard. b. Corrigenda: Documents that only contains technical corrections to the standard. 6. Standards that are no longer useful or contain significant obsolete or erroneous information should be recommended for withdrawal by the Sponsor. 21
Questions? Contact your IEEE-SA Staff Liaison: Malia Zaman M.Zaman@ieee.org +1.732.562.3838 Visit the IEEE-SA web site: http://standards.ieee.org 22 22