throbber
American National Standards Institute
`
`Tirocedures for the
`Development and
`Coordination of
`
`American National
`
`Standards
`
`Approved by the ANSI Board of Directors,
`March 22, 1995
`
`Dish
`Exhibit 1007, Page 1
`
`

`
`American National Standards Institute
`
`Procedures for the Development
`and Coordination of
`
`American National Standards
`
`Approved by the ANSI Board of Directors,
`March 22. 1995
`
`Dish
`Exhibit 1007, Page 2
`
`

`
`Published by
`
`American National Standards Institute
`11 West 42nd Street, New York, New York 10036
`
`Copyright © 1995 by American National Standards Institute
`All rights reserved.
`
`No part ot this publication may be reproduced in any
`form,
`in an electronic retrieval system or otherwise,
`without prior written permission of the publisher.
`
`Printed in the United States of America
`
`Dish
`Exhibit 1007, Page 3
`
`

`
`Contents
`
`Due process and criteria for approval and withdrawal oi
`American National Standards .................................................... ..1
`
`Applicability ............................................................................... ..1
`Due process requirements ......................................................... ..1
`Openness ................................................................................. ..1
`Balance ..................................................................................... ..1
`
`Interest categories
`Written
`Appeals ..................................................................................... ..
`Notification of standards development
`Consideration ot views and objections ....................................... ..
`International
`
`Substantive change. .................................................................. ..
`Commercial terms and conditions.
`
`ANSI patent policy ..................................................................... ..
`Consideration of standards proposals ........................................ ..
`Records .................................................................................... ..
`
`Criteria for approval and withdrawal of American National
`Standards. ................................................................................ ..
`
`Approval by the Board of Standards Review .............................. ..
`Approval without BSR review ..................................................... ..
`
`Accreditation of American National Standards devetopers............8
`
`8 8
`
`General ..................................................................................... ..
`Criteria for accreditation
`
`Maintenance of accreditation ..................................................... ..9
`Withdrawal of accreditation........................................................10
`
`Planning and coordinating American National Standards .......... ..10
`
`introduction
`
`Purpose .................................................................................. ..10
`Organization ............................................................................ ..10
`Standards boards .................................................................... ..10
`
`Standards planning panels ...................................................... ..10
`EXSC committees .................................................................... ..10
`Standards advisors .................................................................. ..10
`
`Project registration .................................................................. ..10
`Data input ............................................................................... ..11
`Data avaiiability ....................................................................... ..11
`Notification of standards activities ............................................ ..11
`Draft standards for trial use ..................................................... ..11
`
`Requests for new projects ....................................................... ..11
`Coordination and harmonization
`
`Designation, publication, maintenance. and
`interpretation of American National Standards ......................... ..12
`
`Designation oi American National Standards ........................... ..12
`Publication
`Styleof
`
`Dish
`Exhibit 1007, Page 4
`
`1 N
`
`
`
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`2.1
`2.2
`
`
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`
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`
`Page
`
`Maintenance of American National Standards ............................ ..13
`Periodic maintenance of American National Standards .............. ..13
`Continuous maintenance of American National Standards ......... ..13
`Withdrawal ................................................................................ ..13
`Interpretations .......................................................................... ..14
`
`Synchronous procedures .......................................................... ..14
`
`Appeals .................................................................................... ..14
`
`4.5
`
`5
`
`6
`
`Introduction .............................................................................. ..14
`6.1
`Right to appeal ......................................................................... ..14
`6.2
`6.2.1 Appeals against standards developers ...................................... ..14
`6.2.2 Appeais against ANSI ............................................................... ..14
`6.3
`Criteria for appeals mechanism ................................................. ..14
`6.4
`Resolution by the American Arbitration Association ................... .-15
`
`7
`
`Amendments ............................................................................ ..15
`
`Annexes
`
`A
`
`A.1
`
`A.2
`A.3
`A.3.1
`A.3.2
`A.4
`
`Model procedures tor an Accredited Standards Committee ........ ..16
`
`General ................................................................................... ..16
`
`Organization of the committee ................................................. ..16
`Responsibilities ....................................................................... ..16
`Committee membership ........................................................... ..16
`Secretariat .............................................................................. ..16
`Otficers ................................................................................... ..16
`
`Membership ............................................................................ ..17
`A.5
`Application .............................................................................. ..17
`A.5.1
`Review oi membership ............................................................ ..1?
`A.5.2
`A.5.3 Observers and individual experts ............................................. ..17
`A.5.4
`Interest categories ................................................................... ..17
`A.5.5 Membership roster .................................................................. ..13
`A.6
`Subgroups created by the committee ....................................... ..1B
`A.6.1
`Chairperson and members of subgroups .................................. ..1B
`A.6.2
`Approval oi standards .............................................................. ..1B
`A.7
`Meetings ................................................................................. ..18
`A.7.1
`Open meetings ........................................................................ ..18
`A.7.2
`Quorum ................................................................................... ..19
`
`Voting ..................................................................................... ..19
`A.8
`Vote ........................................................................................ ..19
`A.8.1
`A.8.1.1 Vote ot alternate ...................................................................... ..19
`
`A.8.1.2 Single vote .............................................................................. ..19
`A.8.1.3 Voting period ........................................................................... ..19
`A.8.2
`Actions requiring approval by a maiority ................................... ..19
`A.8.3 Actions requiring approval by two-thirds ot those voting ........... ..19
`A.8.4 Authorization of letter ballots ................................................... ..19
`A.8.5 Other review ............................................................................ ..20
`A.8.6
`Disposition or views and objections .......................................... ..20
`A.8.7
`Report of final result ................................................................ ..20
`A.9
`Submittal oi standard .............................................................. ..20
`A.9.1
`Submissionprocess
`A.9.2
`Information submitted .............................................................. ..20
`
`Dish
`Exhibit 1007, Page 5
`
`

`
`Page
`
`Termination oi committee ....................................................... ..21
`Communications .................................................................... ..21
`Formal internal communication ............................................... ..21
`External communication
`
`Requests for interpretation of standards ................................. ..21
`Appeals ................................................................................. ..21
`Complaint .............................................................................. ..21
`Response .............................................................................. ..21
`Hearing .................................................................................. ..21
`Appeals panel ........................................................................ ..22
`Conduct of the hearing ........................................................... ..22
`Decision ................................................................................ ..22
`Further appeal ....................................................................... ..22
`Parliamentary procedures ...................................................... ..22
`.23
`
`Procedures for canvass by an accredited sponsor
`
`General ................................................................................. ..23
`
`Development of canvass
`Review of list of potential canvassees
`Conduct oi canvass ............................................................... ..24
`
`Disposition of views and objections ........................................ ..25
`Submittal 0! standard ............................................................. ..25
`
`Appeals ................................................................................. ..25
`Requests for interpretation of standards ................................. ..26
`
`Standards boards. standards planning panels. and EXSC
`committees ............................................................................ ..27
`
`Standards boards ................................................................... .2?
`Establishment of standards boards ......................................... .2?
`
`Scope .................................................................................... ..27
`Functions ............................................................................... ..2?
`
`Organization .......................................................................... ..28
`Term of office ........................................................................ ..28
`Nominations and elections ..................................................... ..28
`
`Membership ........................................................................... ..29
`Observers .............................................................................. ..29
`Subgroups ............................................................................. ..29
`Meetings ................................................................................ ..29
`Voting at meetings ................................................................. ..29
`Minutes .................................................................................. ..29
`Letter ballots .......................................................................... ..3D
`Reports to the Executive Standards Council ........................... ..3D
`Dissolution of standards boards ............................................. ..30
`
`Standards planning panels ..................................................... ..30
`Establishment of ANSI standards planning panels .................. ..30
`Organization of a standards planning panel ............................ .30
`Functions of a standards planning panel ................................. ..31
`Actions ot a standards planning panel .................................... ..31
`Reports .................................................................................. ..31
`EXSC committees ................................................................... ..31
`Functions ............................................................................... ..31
`
`Dish
`Exhibit 1007, Page 6
`
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`0.3.2
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`
`Page
`Notification ............................................................................ ..31
`
`Appeals ................................................................................. ..3‘l
`ExSC review .......................................................................... ..32
`
`Standards advisors ................................................................... ..33
`
`General .................................................................................... ..33
`Appointment oi standards advisors ............................................ ..33
`
`The three methods of consensus development .......................... ..34
`
`Accredited organization method ................................................ ..34
`Accredited standards committee method ................................... ..34
`Accredited canvass method ...................................................... ..34
`
`ANSI Procedures for Synchronization of the National and
`International Standards Review and Approval Processes ........... ..35
`
`Introduction .............................................................................. ..35
`
`Processing of draft standards as national and international stan-
`dards ........................................................................................ ..35
`
`Guidelines for using the ANS! Procedures for Synchronization of
`National and tnternationai‘ Standards Review and Approval‘
`Processes with the canvass method .......................................... ..36
`
`Metric policy ............................................................................. ..37
`
`D D
`
`.1
`D.2
`
`E E
`
`1
`E.2
`E.3
`
`F F
`
`.1
`F.2
`
`F.3
`
`Dish
`Exhibit 1007, Page 7
`
`

`
`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 associa-
`tions, 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 stan-
`dards development.
`
`Many standards developers and participants support the American National
`Standards institute (ANSI) as the central body responsible for the identifi-
`cation 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 intend-
`ed 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.
`
`ANSI is the U.S. member of nontreaty international standards organizations
`such as the international Organization for
`
`Standardization (ISO), the international Electrotechnical Commission (IEO)
`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. par-
`ticipation in these groups.
`
`The National Policy on Standards for the United States and ANSl’s pian for
`its implementation, as well as experience gained from the application of the
`previous edition of the ANS] 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 cri-
`teria. requirements, and guidelines for coordinating and developing con-
`sensus 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,
`1937, and provided updated references, refinement of the canvass proce-
`dures, and the addition of new information pertaining to Standards
`Planning Panels, Standards Advisors, draft standards for trial use, substan-
`tive changes, and commercial terms and conditions.
`
`The revision approved by the Board of Directors on September 9, 1993
`added four new Annexes, “Policy on Fieatfirmation of American National
`Standards”, “The Three Methods of Consensus”. “Procedures for the
`Synchronization of the National and International Standards Review and
`Approval Processes“ and the ‘Metric Policy." It also incorporated a number
`of clarifications.
`
`Dish
`Exhibit 1007, Page 8
`
`

`
`This 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 revi-
`sions were subjact 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 develop-
`ers who have been granted this ability may still submit standards for
`approval by the BSR.
`
`Dish
`Exhibit 1007, Page 9
`
`

`
`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 (organi-
`zation, company. government agency, individ-
`ual. 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 mini-
`mum 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
`financiat 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 cre-
`ate. revise, reaffirm, or withdraw a standard. and
`the establishment of a new consensus-develop-
`ing group or canvass list shall be provided to all
`known directly and materially affected interests.
`Notice should include a clear and meaningful
`description ot the purpose of the proposed activ-
`ity 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 rep-
`resentation to the exclusion of fair and equi-
`table 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 cri-
`teria 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 consti-
`tutes a majority of the membership of a com-
`mittee dealing with product standards.
`
`Unless it is claimed by a directly and material-
`ly atfected person that a singie interest cate-
`gory 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 stan-
`dards activity are a function of the nature of
`the standards being developed.
`In defining
`the interest categories appropriate to a stan-
`dards activity, consideration shall be given to
`at least the fottowing:
`
`a} producer;
`
`b} user;
`
`c) general interest.
`
`Where appropriate. more detailed subdivi-
`sions should be considered.”
`
`Appropriate, representative user views shall be
`actively sought and fully considered in stan-
`
`"Further subdivisions that may be used to categorize directly and materially aifected persons consist of. but
`are not limited to. the following:
`a) Consumer: b) Directly affected public; c} Distributor and retailer; cl) lndustriallcommercial; e) Insurance;
`t) Labor; g) Manutacturer; h) Professional society; I) Regulatory agency; j) Testing laboratory; k) Trade
`association.
`
`Dish
`Exhibit 1007, Page 10
`
`

`
`dards activities. Whenever possible, user partic-
`ipants shall be those with the requisite technical
`knowledge, but other users may also partici-
`pate. 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 mow-
`ers or aerosol sprays, an appropriate con-
`sumer 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 User-industrial
`
`Where the standards activity in question deals
`with an industrial product. such as steel or
`insulation used in transformers, an appropri-
`ate 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 procure-
`ment, 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
`used for standards development and shall be
`available to any interested person.
`
`1.2.5 Appeals
`
`The written procedures shall contain an identi-
`fiable, realistic, and readiiy available appeals
`mechanism for the impartial handling of sub-
`stantive and procedural complaints regarding
`any action or inaction (see clause 6).
`
`1.2.6 Notification of standards develop-
`merit
`
`Notification of standards activity shall be
`announced in suitable media as appropriate to
`demonstrate provision of opportunity for par-
`
`2
`
`ticipation by all directly and materially affected
`persons. At the initiation of a project to devel-
`op, revise, reaffirm, or withdraw an American
`National Standard, notification shall be trans-
`mitted to ANSI under the Standards Activities
`
`Tracking System, using the Project Initiation
`Notification System (PINS) form, for listing in
`Standards Action.
`In addition, proposals for
`new American National Standards and pro-
`posals to revise, reaffirm, or withdraw
`approval of existing American National
`Standards shalt be transmitted to ANSI for
`
`listing in Standards Action in order to provide
`a opportunity for public comment. The com-
`ment period shall be a minimum of sixty days,
`unless the full text of the revision(s) can be
`published in Standards Action,
`in which case
`the comment period may be a minimum of
`thirty days. The same comment periods shall
`apply wherever listing for comment
`in
`Standards Action is required by these proce-
`dures. Such listing may be requested at any
`stage in the development of the proposal. at
`the option of the standards developer, and
`may be concurrent with final balloting.
`However, any substantive change (see 1.2.9}
`subsequently made in a proposed American
`National Standard requires listing of the
`change in Standards Action.
`
`1.2.7 Consideration of views and objec-
`tions
`
`Prompt consideration shall be given to the
`written views and objections of all partici-
`pants, including those commenting on the list-
`ing in Standards Action. An effort to resolve
`att expressed objections shall be made, and
`each objector shall be advised of the disposi-
`tion of the objection and the reasons therefor.
`
`when this process is completed in accor-
`dance with the written procedures of the stan-
`dards developer, the standards developer
`may consider any comments received subse-
`quent to the closing of the public review and
`comment period, or shalt consider them at the
`next review.
`
`Unresolved objections and any substantive
`change {see 1.2.9) made in a proposed
`American National Standard shall be reported
`to the consensus-developing group or can-
`vass list in order to afford all members or can-
`vassees an opportunity to respond, reaffirm,
`or change their vote.
`
`Dish
`Exhibit 1007, Page 11
`
`

`
`1.2.8 International standards
`
`Developers of American National Standards
`shall take international standards into consid-
`eration and shall. if appropriate. base their
`standards on international standards.
`
`USA Technical Advisory Groups (USA TAGs)
`exist for most standards projects for which the
`United States has evidenced substantial inter-
`
`est. These groups may be contacted for infor-
`mation and advice through their administra-
`tors, who are on record at ANSI.
`
`The reasons for not basing an American
`National Standard on an international standard
`
`include. but are not limited to, the following:
`
`a) national security requirements;
`
`b)
`
`the prevention of deceptive practices:
`
`the protection of human health or safety,
`c)
`animal or plant life or health. or the environ-
`ment;
`
`fundamental climatic or other geographic
`d)
`factors;
`
`e)
`
`fundamental technological problems.
`
`1.2.9 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 below:
`
`a)
`
`"shell" to "should" or "should" to "sha|I”;
`
`b) addition, deletion or revision of require-
`ments. regardless of the number of changes;
`
`c) addition of mandatory compliance with
`referenced standards.
`
`1.2.10 Commercial terms and conditions
`
`Provisions involving business relations
`between buyer and seller such as guarantees.
`warranties. and other commercial terms and
`conditions shall not be included in an
`American National Standard. This is not inter-
`preted to exclude provisions concerning the
`determination of conformity with a standard
`when based on engineering and technical
`considerations.
`
`1.2.11 ANSI patent policy
`
`Inclusion of patents in American National
`Standards. There is no obiection in principle
`
`to drafting a proposed American National
`Standard in terms that include the use of a
`patented item, if it is considered that technical
`reasons justify this approach.
`
`If the Institute receives a notice that a pro-
`posed American National Standard may
`require the use of a patented invention, the
`procedures in 1.2.11.1 through 1.2.11.4 shall
`be followed.
`
`1.2.11.1 Statement from patent holder
`
`Prior to approval of such a proposed
`American National Standard, the Institute
`shall receive from the patent holder (in a form
`approved by the Institute) either: assurance
`in the form of a general disclaimer to the
`effect that the patentee does not hold and
`does not anticipate holding any invention the
`use of which would be required for compli-
`ance with the proposed American National
`Standard or assurance that:
`
`a) a license will be made available without
`compensation to the applicants desiring to
`utilize the license for the purpose of imple-
`menting the standard; or
`
`a license will be made avaifabte to appli-
`b)
`cants under reasonabte terms and condi-
`
`tions that are demonstrably free of any unfair
`discrimination.
`
`The terms and conditions of any license shall
`be submitted to ANSI for review by its coun-
`sel. together with a statement of the number
`of independent licensees. if any. which have
`accepted or indicated their acceptance of
`terms and conditions of the license.
`
`1.2.11.2 Record of statement
`
`A record of the patent holder's statement (and
`a statement of the basis for considering such
`terms and conditions free of any unfair dis-
`crimination) shall be placed and retained in
`the flies of the Institute.
`
`1.2.11 .3 Notice
`
`when the Institute receives from a patent hold-
`er the assurance set forth in 1.2.11.1 a) or b}.
`the standard shall include a note as follows:
`
`NOTE — The user's attention is called to the pos-
`sibility that compliance with this standard may
`require use of an invention covered by patent
`rights.
`
`Dish
`Exhibit 1007, Page 12
`
`

`
`By publication of this standard. no position is
`taken with respect to the validity oi this claim or
`of any patent rights in connection therewith. The
`patent holder has. however. filed a statement of
`willingness to grant a license under these rights
`on reasonable and nondiscriminatory terms and
`conditions to applicants desiring to obtain such a
`license. Details may be obtained from the pub-
`lisher.
`
`1.2.11.4 Responsibility for identifying
`patents
`
`The institute shall not be responsible for iden-
`tifying all patents ior which a license may be
`required by an American National Standard or
`for conducting inquiries into the legal validity
`or scope of those patents that are brought to
`its attention.
`
`1.2.12
`posals
`
`consideration of standards pro-
`
`Prompt consideration shall be given to pro-
`posals made for developing new standards. or
`revising or withdrawing existing American
`National Standards.
`
`1.2.13 Records
`
`Fiecords shall be prepared and maintained to
`provide evidence of compliance with these
`procedures. Records shall be retained for a
`period of time after the adoption. reaffirme-
`tion. or withdrawal oi an American National
`Standard as specified by the standards devel-
`open
`
`1.3 Criteria for approval and withdrawal of
`American National Standards
`
`A standard developed by an accredited stan-
`dards developer may be approved as an
`American National Standard in accordance
`
`with either 1.3.1 (Approval by the Board oi
`Standards Review), or 1.3.2 {Approval without
`BSR review).
`In either case. the due process
`and consensus criteria outlined in clause 1 oi
`these procedures shall apply.
`In addition.
`approval assures the user that each American
`National Standard is generally acceptable to
`the directly and materially aiiected interest
`categories that participated in the develop-
`ment ot consensus for the standard.
`
`“Consensus” means substantial agreement
`has been reached by directiy and materially
`aiiected interest categories. This signifies the
`concurrence of more than a simple majority.
`but not necessarily unanimity. Consensus
`requires that all views and objections be con-
`sidered. and that an effort be made toward
`
`4
`
`their resolution.
`
`1.3.1 Approval by the Board at Standards
`Review
`
`Approval and withdrawal of an American
`National Standard by the ANSl Board of
`Standards Fteview (BSR) requires verification
`that the requirements set forth below have
`been met. The BSR also acts on the revision.

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