m1020012 Incits Ov Kate

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OverviewJanuary 16, 2002

M1/02-0012

Kate McMillan, DirectorINCITS Secretariat



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About INCITS

The InterNational Committee for Information Technology

Standards (INCITS) is the forum of choice for informationtechnology developers, producers and users for the creationand maintenance of formal de jure IT standards.

INCITS is accredited by the American National StandardsInstitute (ANSI) and operates under its rules, which are

designed to ensure that voluntary standards are developed bythe consensus of directly and materially affected interests.



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Standards

A standard is a definition or a format that falls into oneof two categories—a de facto standard or a de jure standard.

Standards such as GIF and Windows™, both of which

are in large use in the market and associated withparticular companies, are examples of de facto

standards The most widely used web browsers arealso de facto standards.



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De Jure StandardsA de jure standard reflects the collaborative efforts ofvendors and consumers on specifications and involvesground rules to prevent antitrust and intellectual

property rights violations.

By historical definition, de jure standards are ratified byinternational bodies recognized by the World Trade

Organization, such as the International Organizationfor Standardization. The de jure process in the UnitedStates is linked with the American National StandardsInstitute (ANSI).



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Who participates?

More than 2,000 individuals from 13 countriesparticipate in INCITS’ 52 Technical subgroups.

They represent consulting groups; financial institutions;government agencies; hardware and softwarevendors; manufacturers in automotive, aerospace, and

many other industries; universities; and user groups.



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Developing what?

The INCITS catalog of standards contains informationtechnology standards that were developed by X3 (asINCITS was known from 1961 - 1996) and standards

that were developed in ISO/IEC Joint TechnicalCommittee 1 (JTC 1). INCITS currently has 612published standards: 56 NCITS standards (publishedfrom 1997 - 2001), 202 X3 standards, and 354

ANSI/ISO standards.

They include base standards (C++), securitytechniques, MPEG… the list goes on.



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Name Change

Formerly known as INCITS, the organization replaced“National” with “InterNational” in 2001 to reflect its

agenda of developing market-driven standards withglobal relevance and reach.

INCITS is sponsored by the Information Technology

Industry Council (ITI), a trade association representingthe leading U.S. providers of information technologyproducts and services. ITI members employ more thanone million people in the United States and in 2000,their revenues exceeded $668 billion worldwide.



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INCITS Executive Board

INCITS has the committed participation of technologyexperts from multiple industry sectors as well asgovernment, universities and user groups; it supports

their work with sound, highly respected procedures.



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INCITS Executive Board

The Executive Board approves standards developed

by the technical committees or submitted to INCITS asFast Track candidates.

The Executive Board meets 4 times a year and the

dues are $3200.



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Members

Producers (10) Apple Computer, Bull-HN, Hewlett-Packard, Hitachi, IBM, Intel, Microsoft,Panasonic, Sony, Unisys

Consumers (3) Oracle, Share, U.S. Department of Defense/DISA

General Interest (4) Institute for Certification of Computing Professionals (ICCP), NationalInstitute for Standards and Technology (NIST), Open Strategies, Sun

Microsystems

Advisory Members (5) Boeing, Center for Global Standards Analysis, Imation, Sybase, U.S.Department of Energy



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Organization Chart

CT22 TAG - U.S. TAG to ISO/IEC JTC 1/SC22

*Maintenance technical committeesINCITS/B9 Paper/Forms Layout*INCITS/J1 PL/I*INCITS/J15 PL/B*INCITS/J17 Prolog*INCITS/J18 REXX*

INCITS/T6 Radio Frequency

Identification (RFID) Technology INCITS/T10 I/O Interface - Lower Level

INCITS/T11 I/O Interface - Device LevelINCITS/T13 I/O Interface - AT

AttachmentINCITS/T20 Real Time Locating

Systems (RTLS)INCITS/V1 Text: Office & Publishing

SystemsINCITS/V2, Information Technology

Access Interface INCITS/V3, eCommerceINCITS/W1 Office Machines

INCITS/J16 C++INCITS/K5 VocabularyINCITS/L1 Geographic

Info. Systems (GIS)INCITS/L2 Codes & Character

SetsINCITS/L3 Audio/Picture CodingINCITS/L8 Data RepresentationINCITS/M1 Biometrics INCITS/R1 Real-Time

Computing SystemsINCITS/T3 Open DistributedProcessingINCITS/T4 Security Techniques

INCITS/B5 Flexible MagneticMedia and Formats

INCITS/B10 Identification Cardsand Related Devices

INCITS/B11 Optical Digital

Data DisksINCITS/H2 DatabaseINCITS/H3 Computer Graphics

& Image ProcessingINCITS/J3 FORTRANINCITS/J4 COBOLINCITS/J7 APTINCITS/J9 PASCALINCITS/J11 CINCITS/J13 LISP

INCITS Technical Committees

INCITS Secretariat - ITI Members - Producers/Consumers/General Interest

ANSIAmerican National Standards Institute

JTC 1Information Technology

JTC 1 TAG Administrator - ITI

PPC Procedures and Policy Committee

MOC Management Operations Committee



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2002 Dues

These fees directly support INCITS and its program of work, including includingstandards processing, web-integrated services for the members (documentdistribution, balloting), meeting support and marketing. INCITS also supports theSecretariats held by the U.S. National Body at ANSI.

INCITS Executive Board Fortune 1000 or Fortune Global 500 Company, or Federal Government Agency -$3200Others - $1000

INCITS Subgroups

Voting members and advisory members on Technical Committees(including one Alternate) - $800

Technical Committee Additional Alternates, Technical Committee Task Groups -$800



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Two INCITS processes

Participants can take two routes to developing astandard—both can lead to the international arena andboth reflect the need of the marketplace for technicallysuperior standards produced in a timely manner.



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1. Development withinINCITS

INCITS can approve a new project based on technicalmerits. INCITS publicizes the effort to alert allmaterially interested parties, and then work on thestandard commences.

The new project can be assigned to an existingINCITS technical committee, or a new TC may beformed.



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Milestones of theDevelopment

process

Milestone 1: Approval of the Project Proposal

Milestone 2: Notification to the Public

Milestone 3: Technical Development

Milestone 4: Initial Public Review

Milestone 5: Management Review (Audit Trail of Standard)

Milestone 6: INCITS Approval

Milestone 7: ANSI Approval

Milestone 8: Publication



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Project Proposal

http://www.incits.org/sd3.htm

Scope of the Project: Title, submitter

Process Description: New or revised, standard or technicalreport, recommended TC

Business Case: Need for a standardImplementation impactsConformity assessment (methods)Legal issues (patents, copyrights)

Related Standards Existing or underway, national orActivity: international, liaisons

TC Empowerment: With 2 weeks notice, TC can start a new project



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2. INCITS Fast Track

The INCITS Executive Board can approve a fast-trackcontribution based on the availability of maturespecifications in as little as 4 months.

The sponsor will review the public review comments,make edits as required and submit it to the ExecutiveBoard for formal approval as a de jure standard.



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Fast Track Path

Milestone 1: Work with Fast Track Facilitator

([email protected], 202-626-5742)

to submit candidate standard with required

documentation

Milestone 2: Presentation to INCITS (Acceptance)

[Milestone 3: Development completed by Sponsor]

Milestone 3: Public Review

Milestone 4: Management Review (Audit Trail of Standard)

Milestone 5: INCITS Approval of the standard

Milestone 6: ANSI Approval

Milestone 7: Publication



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Overview of ANSI

Accreditation

ANSI: • accredits entities to develop base standards• three types of accreditation: - accredited standards committee (e.g. , INCITS, X9, T1)

- accredited organization (e.g., IEEE, EIA, NISO)- accredited canvass (e.g., NIST, UL, HFS )

ANSI requires the following elements to ensure due process:

• Openness• Balance• Written Procedures• Appeals

• Notification of Standards Development• Consideration of Views and Objections• Consideration of Standards Proposals• Records



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Accredited Procedures

ANSI reviews our procedures to ensure we are in

compliance with ANSI requirements.

This helps us to avoid legal problems -- andpenalties -- incurred by other standards developersor the companies participating in standards

development.



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Legal Issues -PATENTS

Call for Patents

As INCITS subscribes to the ANSI Patent Policy, a call for patents

and pertinent issues is issued now and throughout the developmentof a project to determine if a proposed standard may require the useof a patented invention.

If such notice is received, INCITS seeks a statement that the patent

holder will comply with the ANSI Patent Policy. Please send thestatement to the INCITS Secretariat at 1250 Eye Street NW, Suite200, Washington DC 20005.



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Legal Issues -PATENTS

ANSI Patent Policy http://www.ansi.org/public/library/guides/ppguide.html

There is no objection in principle to drafting a proposed AmericanNational Standard in terms that include the use of a patented item, if

it is considered that technical reasons justify this approach…

a. - a license will be made available without compensation to theapplicants desiring to utilize the license for the purpose ofimplementing the standard;

or b. - a license will be made available to applicants under reasonableterms and conditions that are demonstrably free of any unfairdiscrimination



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Legal Issues -Antitrust

ITI has antitrust guidelines for all of us to follow.See http://www.ncits.org/natrust.htm

Never discuss the following topics at any INCITS or an INCITS subgroup meeting:

•Any company's prices or pricing policies;

•Specific R&D, sales and marketing plans;

•Any company's confidential product, product development or production strategies;

•Whether certain suppliers or customers will be served;

•Prices paid to input sources; or

•Complaints about individual firms or other actions that might tend to hinder a

competitor in any market.



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Legal Issues

ANSI Accreditation Is Important because of U.S. Antitrust Laws.

Recent past legal action resulting in treble-damage awards include:

•"Allied Tubing"

•"Hydrolevel "

Other actions have an impact on intellectual property rights:

•"Dell Computer"



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ALLIED TUBING

Case: "Allied Tubing"

Description: NFPA final draft standard (NEC) that excluded PVC Conduit

Issue: A member of NFPA standards activity, Allied Tube (a manufacturer of steelconduit), led effort to have many "new"members join NFPA (legally) in time for finalballot on this standard. NFPA membership rules for voting on its draft standardsallowed for this "stacking" for vote.

Result: Allied Tubing and NFPA (Secretariat) was sued by Indian Head Corporation(a leading manufacturer of PVC tubing). NFPA asked Indian Head Corporation toplease drop them from litigation and they agreed. Allied Tubing lost at the Supreme

Court. The Supreme Court ruled that treble damages in the amount of $11.4Million be awarded to Indian Head Corporation.

In light of this case, ANSI has asked its accredited standards developers to institutemanagement controls and review their procedures to guard against possible abusivesituations.



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HYDROLEVEL

•Hydrolevel went out of business because of the interpretation that theirproduct was not in conformance with an American Society of MechanicalEngineering (ASME) Standard.

•Issue: No management controls by SDO on interpretations of its standards

•Results:

1) Technical development group officer issuing interpretation and hisemployer settled out of court. Amount of damages paid is unknown.

2) ASME, as secretariat, lost at all levels of litigation through the Supreme

Court. Treble damages by ASME to Hydrolevel was $7 million.

3) ANSI required accredited standards developers to institute managementcontrols for the interpretation of standards.



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Dell Computer

The FTC brought suit under Section 5 of FTC Act when Dell failed to disclose that itowned the patent for the VL Bus design incorporated into a Video ElectronicsStandards Association standard, and in fact represented that the standard did notinfringe, and then attempted to enforce patent rights after the standard was adopted.As part of the settlement, Dell agreed not to enforce its patent.

As a result of the FTC v Dell Computer decision(http://www.ftc.gov/opa/1995/9511/dell.htm), the INCITS Secretariat further advisesits participants:

1. Failure to disclose a patent or other intellectual property claim to anyinvention, the use of which would be required for compliance with the proposed

standard, could result in the imposition of a civil penalty by applicablegovernment authorities as well as the imposition of a duty to license the propertyon reasonable and non-discriminatory terms.

2. INCITS and the TC membership will be advised [at the time of managementreview] of the names of those who have filed responses to the call for patents.



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Officers

Chairman

Presides at meetings, ensures that the Program ofWork is carried out in a prompt, efficient and effectivemanner in accordance with the objectives, policies andprocedures of the INCITS/ standards program;

prepares the required reports; and ensures that theadministrative duties are fulfilled.

Appointment process:

1. Secretariat asks for candidates

2. A letter of management support is required 3. Ballot issued to INCITS Executive Board

4. Term is three years.

** Chairs must be trained within one year of appointment.



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Required Officers

Some technical committees require an InternationalRepresentative. Most require a vice chairman and asecretary (although some rotate that function).

A technical committee MUST have a Chairman or it will bedisbanded.

Other reasons for disbandment:

- work is complete

- support for the work falls below 4-member minimum



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Participation

'Participation' is defined as the privilege to attend meetings,speak and submit contributions.

Participation on INCITS and all of its subgroups is open to all directly and materially affected interests.

However, any person who represents a non-U.S. domiciledorganization may not participate on questions establishing aU.S. position in international matters.



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Membership

Categories of Membership

• Voting Members

• Advisory Members

• Liaison Members

• Ex Officio Members

_________________________________________________

Minimum number of voting members is 4



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Definitions for Voting

One vote per organization ( Section 4.2.4, INCITS/SD-2)

• Government

• Corporation

• Academia

• Vendor -Specific User Groups, Professional Societies,Consortia, and Other Standards Developing Organizations

• All Other Organizations (Legal or Commercial Entities)



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Government

• Government

There shall be only one voting membership for separate government

subdivision or agency. A separate government subdivision or agency isdefined as an entity that reports to its parent executive, legislative, or judicial branch of government.

Note: On TCs, TGs, and SGs, the U.S. Department of Defense (DoD) isallowed a maximum of four votes from separate and unrelated entities

such as the Department of Army, Department of Navy, Department of AirForce, Defense Logistics Agency, Defense Mapping Agency, etc. Thisexception is due to the unique nature of the DoD and is, therefore, notconsidered a precedent for any further exceptions.



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Consultant Organization

• Consultant Organization

In order to be in the voting member category, consultantorganizations shall have to declare that their participation is notbeing funded by any organization already having votingmembership.



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Responsibilities andPrivileges

Voting Members

• Responsibilities

- attend meetings

- return letter ballots- pay appropriate service fees

• Privileges:

- receive all documents

- submit contributions

- speak

- make motions, second motions

- vote



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Termination ofMembership

Termination:

- failure to attend meetings

- failure to return letter ballots

- failure to pay appropriate service fees



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Voting Eligibility

•Principal members in good standing

-Attendance rules not violated

-Letter ballots returned

-Service fees have been paid

•Alternate if principal fails to vote



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Criteria for Approval

We use Robert’s Rules of Order as our authority for theconduct of meetings and the criteria for approval.

Exceptions are identified in a table in the SD-2,Organization and Rules of INCITS .



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Buddy Systems

Education

• establish a "Buddy System" for new members

• take advantage of INCITS training sessions

Procedures

• know and follow INCITS Procedures (INCITS/SD-2)

• know and use Robert's Rules of Order to efficiently progress meetings

Project Management

• assign action items, target dates and person(s) responsible basedupon meeting schedules

• assign back-up person(s) for crucial action items



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Questions to Ask

Questions to be asked before starting a Standards Development Project

• Is the end goal an international standard?

• Are there other arenas developing standards for the same subject,

e.g. X9, ETSI, CEN/CENELEC?• If the end goal is an international standard, what is the best method of

developing standards to assure U.S. and international consistency

- develop in JTC 1; adopt in U.S.

- develop in U.S., fast-track or submit for JTC 1 processing

• Are any consortia addressing the same subject, e.g., BioAPIConsortium, Open GIS, IETF, W3C?

• How can feedback mechanisms be established with other relatedorganizations?



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Institutional Memory

Document rationale for subgroup decisions on important issues

- explanatory appendices to standards- subgroup decision lists- expository document accompany dpANS

Use of Standing Committee Documents - examples

• meeting calendar • membership list • document register

Judicious Use of Ad Hoc Groups

For Multiple Related Standards

• use common vocabulary • use common wording for subjects

Share experiences with officers of other subgroups



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Web Resources

SD2 Organization, Rules and Procedures of INCITS

• http://www.INCITS.org - under selection “INCITS Standing Documents”

SD8 Officers Reference Manual

• http://www.INCITS.org - under selection “INCITS Standing Documents”

HELP• http://www.INCITS.org - under selection “FAQ’s”

All of the following reference materials can be found at

• http://web.ansi.org/public/ref_lib.html

- Procedures for the Development and Coordination of American

National Standards- Guidelines for Implementation of the ANSI Patent Policy

- ANSI Procedures for U.S. Participation in the International Standards

Activities of the ISO

Note: Copies of “Style Manual - for preparation of proposed American NationalStandards” are available from the INCITS Secretariat.



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TC Home Page

The INCITS Secretariat maintains an individual home page for eachtechnical committee which includes:

• A brief scope of the committees’ activities

• Names of the TCs’ officers

• Links to the technical committees’

- Annual Report

- Membership List

- Projects

- Calendar for INCITS and all Technical Committees

Also, the INCITS Secretariat will add or link new information at the

request of the chairman. Hosting of TC Websites and reflectors is alsoavailable through the Secretariat.



Secretariat Staff

Staff Support - http://www.INCITS.org/staff.html

° Panic Button: Call 202-737-8888 - ask for INCITS

Manager