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`
`American National Standards Institute
`
`Procedures for the
`Development and Coordination of
`American National Standards
`
`Approved by the ANSI Board of Directors,
`March 1997
`
`

`
`Contents
`
`Foreword .................................................................................................................................................................... iv
`Due process and criteria for approval and withdrawal of American National Standards ...................................... 1
`1 .1 Applicability ..................................................................................................................................................... 1
`1.2 Due process requirements ............................................................................................................................. 1
`1.2.1 Openness ................................................................................................................................................. 1
`1.2.2 Balance .................................................................................................................................................... 1
`1.2.3
`Interest categories ................................................................................................................................... 1
`1 .2.4 Written procedures ............. : .............................. : .............................................. · ..... ······ .. ········· .. ···· .. ··· .. ···· 2
`1.2.5 Appeals ............................................................................................ , .......... ' .............................................. 2·
`1.2.-6 Notification of standards development.. ................................................................................................... 2
`1.2.7 Consideration of views and objections .................................................................................................... 2
`1.2.8
`International standards ............................................................................................................................ 3
`1.2.9 Substantive change ................................................................................................................................. 3
`1.2.10 Commercial terms and conditions ......................................................................................................... 3
`1.2.11 ANSI patent policy ................................................................................................................................. 3
`1.2.12 Consideration of standards proposals ................................................................................................... 4
`1.2.13 Records .................................................................................................................................................. 4
`1.3 Criteria for approval and withdrawal of American National Standards ........................................................... 4
`1.3.1 Approval by the Board of Standards Review ........................................................................................... 4
`1.3.2 Approval without BSR review .................................................................................................................. 6
`2 Accreditation of American National Standards developers ................................................................................... 8
`2.1 General ........................................................................................................................................................... 8
`2.2 Criteria for accreditation ................................................................................................................................. 9
`2.3 Application .................................................................................................................................................... 10
`2.4 Maintenance of accreditation ........................................................................................................................ 10
`2.5 Withdrawal of accreditation .......................................................................................................................... 11
`3 Planning and coordinating American National Standards .................................................................................. 11
`3.1
`Introduction ................................................................................................................................................... 11
`3.2 Purpose ........................................................................................................................................................ 11
`3.3 Organization ................................................................................................................................................. 11
`3.3.1 Standards boards ................................................................................................................................... 11
`3.3.2 Standards planning panels .................................................................................................................... 11
`3.3.3 ExSC committees .................................................................................................................................. 11
`3.3.4 Standards advisors ................................................................................................................................ 11
`3.4 Project registration ........................................................................................................................................ 12
`3.4.1 Data input .............................................................................................................................................. 12
`3.4.2 Data availability ...................................................................................................................................... 12
`3.4.3 Notification of standards activities ......................................................................................................... 12
`3.4.4 Draft standards for trial use ................................................................................................................... 12
`3.5 Requests for new projects ............................................................................................................................ 12
`3.6 Coordination and harmonization ................................................................................................................. 12
`4 DeSignation, publication, maintenance, and interpretation of American National Standards ............................. 13
`4.1 DeSignation of American National Standards ............................................................................................... 13
`4.2 Publication .................................................................................................................................................... 14
`4.3 Style of publication ....................................................................................................................................... 14
`4.4 Maintenance of American National Standards ............................................................................................. 14
`4.4.1 Periodic maintenance of American National Standards ........................................................................ 14
`4.4.2 Continuous maintenance of American National Standards .................................................................... 15
`4.4.3 Withdrawal ............................................................................................................................................. 15
`4.5
`Interpretations ............................................................................................................................................... 15
`5 Synchronous procedures .................................................................................................................................... 15
`6 Appeals ............................................................................................................................................................... 15
`
`

`
`Introduction ................................................................................................................................................... 15
`6.1
`6.2 Right to appeal ............................................................................................................................................. 15
`6.2.1 Appeals against standards developers .................................................................................................. 15
`6.2.2 Appeals against ANSi ............................................................................................................................ 16
`6.3 Criteria for appeals mechanism .................................................................................................................... 16
`6.4 Resolution by the American Arbitration Association ...................................................................................... 16
`7 Amendments ................................................... · ................... ·.·.· ....... ································· ................................... 16
`Annex A - Model procedures for an Accredited Standards Committee ................................................................... 17
`A.1 GeneraL ........................................................................................................................................................ 17 .
`A.2 Organization of the committee ............................................................................. , ....................................... 17
`A.3 . Responsibilities ......................................... : ............................................... : ......................... : .......... : .... ' .... : .... 17
`A.3.1 Committee membership ........................................................................................................................ 17
`A.3.2 Secretariat ............................................................................................................................................. 17
`A.4 Officers ......................................................................................................................................................... 18
`A.5 Membership .................................................................................................................................................. 18
`A.5.1 Application ............................................................................................................................................. 18
`A.S.2 Review of membership .......................................................................................................................... 18
`A.S.3 Observers and individual experts .......................................................................................................... 18
`A.S.4
`Interest categories ................................................................................................................................. 18
`A.6 Subgroups created by the committee .......................................................................................................... 19
`A.6.1 Chairperson and members of subgroups .............................................................................................. 19
`A.6.2 Approval of standards ............................................................................................................................ 19
`A.7 Meetings ......................................................................................................................................................... 19
`A.7.1 Open meetings ...................................................................................................................................... 19
`A.7.2 Quorum .................................................................................................................................................. 20
`A.8 Voting ........................................................................................................................................................... 20
`A.8.1 Vote ....................................................................................................................................................... 20
`A.8.2 Actions requiring approval by a majority ............................................................................................... 20
`A.8.3 Actions requiring approval by two-thirds of those voting ....................................................................... 20
`A.8.4 Authorization of letter ballots ................................................................................................................. 21
`A.8.S Other review .......................................................................................................................................... 21
`A.8.6 Disposition of views and objections ....................................................................................................... 21
`A.8.7 Report of final result .............................................................................................................................. 21
`A.9 Submittal of standard ................................................................................................................................... 21
`A.9.1 Submission process .............................................................................................................................. 21
`A.9.2
`Information submitted ............................................................................................................................ 21
`A.10 Termination of committee ........................................................................................................................... 22
`A.11 Communications ........................................................................................................................................ 22
`A.11.1 Formal internal communication ........................................................................................................... 22
`A.11.2 External communication ...................................................................................................................... 22
`A.11.3 Requests for interpretation of standards ............................................................................................. 22
`A.12 Appeals ...................................................................................................................................................... 23
`A.12.1 Complaint ............................................................................................................................................ 23
`A.12.2 Response ............................................................................................................................................ 23
`A.12.3 Hearing ................................................................................................................................................ 23
`A.12.4 Appeals panel ...................................................................................................................................... 23
`A.12.5 Conduct of the hearing ........................................................................................................................ 23
`A.12.6 Decision ............................................................................................................................................... 23
`A.12.7 Further appeal ..................................................................................................................................... 23
`A.13 Parliamentary procedures .......................................................................................................................... 24
`Annex B - Procedures for canvass by an accredited sponsor ................................................................................. 25
`B.1 GeneraL ........................................................................................................................................................ 25
`B.2 Development of canvass list ........................................................................................................................ 25
`B.3 Review of list of potential canvassees ......................................................................................................... 25
`B.4 Conduct of canvass ...................................................................................................................................... 26
`B.5 Disposition of views and objections ............................................................................................................. 26
`
`ii
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`

`
`B.6 Submittal of standard ................................................................................................................................... 27
`B.7 Appeals ......... ............................................................................................................................................... 27
`B.8 Requests for interpretation of standards ...................................................................................................... 28
`Annex C - Standards boards, standards planning panels, and ExSC committees .................................................. 29
`C.1 Standards boards ............................................ · ............................................................................................ 29
`C.1.1 Establishment of standards boards ... .................................................................................................... 29
`C.1.2 Scope .................................................................................................................................................... 29
`C.1.4 Organization ...... .................................................................................................................................... 30
`C.1.5 Meetings ................................................................................................................................................ 31
`C.1.6 Letterballots ......................................................... ,' ................................................................................ 32
`C.1.7 Reports to the Executive Standards Council ........................................................................................ 32
`C.1.8 Dissolution of standards boards .......................... : ................................................................................. 32
`C.2 Standards planning panels ... ....................................................................................................................... 32
`C.2.1 Establishment of ANSI standards planning panels ............................................................................... 32
`C.2.2 Organization of a standards planning panel ....... .................................................................................. 33
`C.2.3 Functions of a standards planning panel .............................................................................................. 33
`C.2.4 Actions of a standards planning panel .. ................................................................................................ 33
`C.2.5 Reports .................................................................................................................................................. 33
`C.3 ExSC committees ........................................................................................................................................ 33
`C.3.1 Functions ............................................................................................................................................... 33
`C.3.2 Notification ... .......................................................................................................................................... 33
`C.4 Appeals .................................................................................................................................................... 33
`C.5 ExSC review ................................................................................................................................................ 34
`Annex D - Standards advisors ................................................................................................................................. 35
`D.1 General ........................................................................................................................................................ 35
`D.2 AppOintment of standards advisors ............................................................................................................. 35
`Annex E - The three methods of consensus development .......... ............................................................................ 36
`E.1 Accredited organization method .................................................................................................................. 36
`E.2 Accredited standards committee method ..................................................................................................... 36
`E.3 Accredited canvass method ..................................................................................................................... 36
`Annex F - ANSI Procedures for Synchronization of the National and International Standards Review and
`Approval Processes .............. ................................................................................................................................... 37
`Introduction ................................................................................................................................................... 37
`F.1
`F.2 Processing of draft standards as national and international standards ....................................................... 37
`F.3 Guidelines for using the ANSI Procedures for Synchronization of National and International Standards
`Review and Approval Processes with the canvass method ................................................................................. 38
`Annex G - Metric policy ..... ....................................................................................................................................... 39
`
`Published by
`
`American National Standards Institute
`11 West 42nd Street, New York, New York 10036
`
`Printed in the United States of America
`
`iii
`
`

`
`Foreword
`The voluntary standards system in the United States consists of a large number of standards developers that
`write and maintain one or more national standards. Among them are professional societies, trade associations,
`and other organizations. Thousands of individuals, companies, other organizations (e.g., labor, consumer, and
`industrial), and government agencies voluntarily contribute their knowledge, talent, and effort to standards
`development.
`
`Many standards developers and participants support the American National Standards Institute (ANSI) as the
`central body responsible for the identification of a single, consistent set of voluntary standards called American
`National Standards. ANSI approval of these standards is intended to verify that the principles of openness and
`due process have been followed in the approval procedure and that a consensus of those directly and materially
`affected by the standards has been achieved. ANSI coordination is intended to assist the voluntary system to
`ensure that national standards needs are identified and met with a set of standards that are without conflict or
`unnecessary duplication in their requirements.
`
`is the U.S. member of nontreaty international standards organizations such as the Intemational
`ANSI
`Organization for
`
`Standardization (ISO), the Intemational Electrotechnical Commission (IEC) through the United States National
`Committee, the Pacific Area Standards Congress (PASC), and the Pan American Standards Commission
`(COPANT). As such, ANSI coordinates the activities involved in U.S. partiCipation in these groups.
`
`The National Policy on Standards for the United States and ANSI's plan for its implementation, as well as
`experience gained from the application of the previous edition of the ANSI Procedures for Management and
`Coordination of American National Standards (December 5, 1974, Revised March 31, 1977), contributed to the
`development of these procedures that provide criteria, requirements, and guidelines for coordinating and
`developing consensus for American National Standards.
`
`The Procedures for the Development and Coordination of American National Standards were approved by the
`Board of Directors of the American National Standards Institute on March 26, 1982. A subsequent revision of the
`provisions on interpretations of American National Standards was approved by the Board of Directors on March
`30, 1983. A further revision was approved by the Board of Directors on September 9, 1987, and provided updated
`references, refinement of the canvass procedures, and the addition of new information pertaining to Standards
`Planning Panels, Standards Advisors, draft standards for trial use, substantive changes, and commercial terms
`and conditions.
`
`A revision approved by the Board of· Directors on September 9, 1993 added four new Annexes, "Policy on
`Reaffirmation of American National Standards', "The Three Methods of Consensus", "Procedures for the
`Synchronization of the National and Intemational Standards Review and Approval Processes' and the "Metric
`Policy." It also incorporated a number of clarifications.
`
`An additional revision was initiated as a result of the review by the Blue Ribbon Panel of the American National
`Standards Board of Directors. This review identified a number of areas, particularly with respect to the criteria for
`approval and the appeals process, where revisions would more accurately and more appropriately reflect the role
`of the Institute. The ability to grant authority to qualified accredited standards developers to apply the American
`National Standard deSignation without Board of Standards Review approval was also proposed by the Blue
`Ribbon Panel. These revisions were subject to public review, review by the Executive Standards Council and the
`Board of Standards Review and were approved by the Board of Directors on March 22, 1995. The availability of
`the ability to apply the ANS designation without BSR review is not intended to replace the current three methods
`of accreditation. In addition, standards developers who have been granted this ability may still submit standards
`for approval by the BSR.
`
`iv
`
`

`
`Following the March 22, 1995 revision of the procedures, several additional revisions were made to the ANSI
`In particular, the patent policy (section 1.2.11) was revised to indicate that the actual terms and
`Procedures.
`conditions do not have to be filed, and the definition of "commercial term" (section 1.2.10) was clarified. Also, the
`criteria for reaffirmations (section 1.3.1.2) were changed so that standards undergoing an update of references
`may be processed as a reaffirmation instead of a revision as long as the referenced standards were themselves
`reaffirmations and not revisions. Other revisions include changes to section 1.2.13 concerning record retention,
`changes to section B.2.1 concerning the formation of the canvass list, and changes to section 1.2.7 concerning
`the notification of right to appeal. These revisions were approved on or before March 1997 by the ANSI Board of
`Directors.
`
`v
`
`

`
`American National Standards Institute
`Procedures for the Development and Coordination of
`American National Standards
`
`1
`Due process and criteria for approval and withdrawal of American National
`Standards
`
`1.1 Applicability
`These requirements apply to activities related to the development of consensus for approval, revision,
`reaffirmation, and withdrawal of American National Standards.
`1.2 Due process requirements
`Due process means that any person (organization, company, government agency, individual, etc.) with a direct
`and material interest has a right to participate by: a) expressing a position and its basis, b) having that position
`considered, and c) appealing if adversely affected. Due process allows for equity and fair play. The following
`constitute the minimum acceptable due process requirements for the development of consensus.
`1.2.1 Openness
`Participation shall be open to all persons who are directly and materially affected by the activity in question. There
`shall be no undue financial barriers to participation. Participation shall not be conditional upon membership in any
`organization, nor unreasonably restricted on the basis of technical qualifications or other such requirements.
`Timely and adequate notice of any action to create, revise, reaffirm, or withdraw a standard, and the
`establishment of a new consensus-developing group or canvass list shall be provided to all known directly and ..
`materially affected interests. Notice should include a clear and meaningful description of the purpose of th~
`proposed activity and shall identify a readily available source for further information.
`1.2.2 Balance
`The standards development process should have a balance of interests and shall not be dominated by any Single
`interest category.
`
`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. The
`requirement implicit in the phrase ·shall not be dominated by any single interest category" normally will be
`satisfied by the historical criteria for balance; that is a) no single interest category constitutes more than one-third
`of the membership of a committee dealing with safety or b) no Single interest category constitutes a majority of the
`membership of a committee dealing with product standards.
`Unless it is claimed by a directly and materially affected person that a single interest category dominated the
`standards development process, no test for dominance is required.
`1.2.3 Interest categories
`The interest categories appropriate to the development of consensus in any given standards activity are a
`function of the nature of the standards being developed. In defining the interest categories appropriate to a
`standards activity, consideration shall be given to at least the following:
`a)
`producer;
`b)
`user;
`c)
`general interest.
`
`1
`
`

`
`Where appropriate, more detailed subdivisions should be considered. 1
`
`Appropriate, representative user views shall be actively sought and fully considered in standards activities.
`Whenever possible, user participants shall be those with the requisite technical knowledge, but other users may
`also participate. User participation should come from both individuals and representatives of organized groups.
`There are several user categories.
`
`1.2.3.1 User-consumer
`Where the standards activity in question deals with a consumer product. such as lawn mowers or aerosol sprays,
`an appropriate consumer participant's view is considered to be synonymous with that of the individual user - a
`person using goods and services rather than producing or selling them.
`
`1.2.3.2 Us.er-industrial
`Where the standards activity in question deals with an industrial product. such as steel or insulation used in
`transformers, an appropriate user participant is the industrial user of the product.
`
`1.2.3.3 User-government
`Where the standards activity in question is likely to result in a standard that may become the basis for government
`agency procurement, an appropriate user participant is the representative of that government agency.
`
`1.2.3.4 User-labor
`Where the standards activity in question deals with subjects of special interest to the American worker, such as
`products used in the workplace, an appropriate user participant is a representative of labor.
`
`1.2.4 Written procedures
`Written procedures shall govern the methods