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**ANSI Essential Requirements:**

**Due process requirements for American National Standards**

**Edition: January 2007**

**Issue date: January 31, 2007**

Copyright by the American National Standards Institute (ANSI), 25 West
43rd Street, 4^th^ Floor, New York, New York 10036. This material may be
copied without permission from ANSI only if and to the extent that the
text is not altered in any fashion and ANSI's copyright is clearly
noted. Please visit ANSI Online at www.ansi.org.

Contents

[1.0 Essential requirements for due process
4](#essential-requirements-for-due-process)

[1.1 Openness 4](#openness)

[1.2 Lack of dominance 4](#lack-of-dominance)

[1.3 Balance 4](#balance)

[1.4 Notification of standards development and coordination
4](#notification-of-standards-development-and-coordination)

[1.5 Consideration of views and objections
4](#consideration-of-views-and-objections)

[1.6 Consensus vote 4](#consensus-vote)

[1.7 Appeals 4](#appeals)

[1.8 Written procedures 4](#written-procedures)

[1.9 Compliance with normative American National Standards policies and
administrative procedures
5](#compliance-with-normative-american-national-standards-policies-and-administrative-procedures)

[2.0 Benchmarks 5](#benchmarks)

[2.1 Openness 5](#openness-1)

[2.2 Lack of dominance 5](#lack-of-dominance-1)

[2.3 Balance 5](#balance-1)

[2.4 Notification of standards development and coordination
6](#notification-of-standards-development-and-coordination-1)

[2.5 Consideration of views and objections
7](#consideration-of-views-and-objections-1)

[2.6 Evidence of consensus and consensus body vote
7](#evidence-of-consensus-and-consensus-body-vote)

[2.7 Appeals 8](#appeals-1)

[3.0 Normative American National Standards Policies
9](#normative-american-national-standards-policies)

[3.1 ANSI patent policy - Inclusion of Patents in American National
Standards
9](#ansi-patent-policy---inclusion-of-patents-in-american-national-standards)

[3.2 Commercial terms and conditions
10](#commercial-terms-and-conditions)

[3.3 Evidence of compliance 10](#evidence-of-compliance)

[3.4 Metric policy 11](#metric-policy)

[3.5 Interpretations policy 11](#interpretations-policy)

[4.0 Normative American National Standards Administrative Procedures
11](#normative-american-national-standards-administrative-procedures)

[4.1 Accreditation of American National Standards Developers
11](#accreditation-of-american-national-standards-developers)

[4.2 Approval of actions in connection with American National Standards
13](#approval-of-actions-in-connection-with-american-national-standards)

[4.3 Planning, coordination and public notice
17](#planning-coordination-and-public-notice)

[4.4 Designation of American National Standards
18](#designation-of-american-national-standards)

[4.5 Publication of American National Standards
18](#publication-of-american-national-standards)

[4.6 National Adoption of ISO or IEC Standards as American National
Standards
18](#national-adoption-of-iso-or-iec-standards-as-american-national-standards)

[4.7 Maintenance of American National Standards
18](#maintenance-of-american-national-standards)

[5.0 Normative policies and procedures for ANSI Audited Designators
20](#normative-policies-and-procedures-for-ansi-audited-designators)

[5.1 Application for ANSI Audited Designator Status
20](#application-for-ansi-audited-designator-status)

[5.2 Criteria for approval of ANSI Audited Designator Status
20](#criteria-for-approval-of-ansi-audited-designator-status)

[5.3 Renewals 21](#renewals)

[5.4 Requirements 21](#requirements)

[5.5 Complaints 22](#complaints)

[Annex A: Definitions 23](#annex-a-definitions)

[Annex B: Draft American National Standards for trial use
24](#annex-b-draft-american-national-standards-for-trial-use)

[Annex C: Procedures for the Development of a Provisional American
National Standard (ANS) or a Provisional Amendment to an ANS
25](#annex-c-procedures-for-the-development-of-a-provisional-american-national-standard-ans-or-a-provisional-amendment-to-an-ans)

ANSI Essential Requirements: Due process requirements for American
National Standards

# 1.0 Essential requirements for due process

These requirements apply to activities related to the development of
consensus for approval, revision, reaffirmation, and withdrawal of
American National Standards (ANS).

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) having the right to appeal. Due
process allows for equity and fair play. The following constitute the
minimum acceptable due process requirements for the development of
consensus.

## 

## 1.1 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. Voting membership on the consensus
body shall not be conditional upon membership in any organization, nor
unreasonably restricted on the basis of technical qualifications or
other such requirements.

## 

## 1.2 Lack of dominance

The standards development process shall not be dominated by any single
interest category, individual or organization. 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.

## 1.3 Balance

The standards development process should have a balance of interests.
Participants from diverse interest categories shall be sought with the
objective of achieving balance.

## 1.4 Notification of standards development and coordination

Notification of standards activity shall be announced in suitable media
as appropriate to demonstrate an opportunity for participation by all
directly and materially affected persons.

## 1.5 Consideration of views and objections 

Prompt consideration shall be given to the written views and objections
of all participants, including those commenting on the PINS announcement
or public comment listing in *Standards Action*.

## 

## 1.6 Consensus vote

Evidence of consensus in accordance with these requirements and the
accredited procedures of the standards developer shall be documented.

## 

## 1.7 Appeals 

Written procedures of an ANSI-Accredited Standards Developer (ASD) shall
contain an identifiable, realistic, and readily available appeals
mechanism for the impartial handling of procedural appeals regarding any
action or inaction. Procedural appeals include whether a technical issue
was afforded due process.

## 1.8 Written procedures

Written procedures shall govern the methods used for standards
development and shall be available to any interested person.

## 1.9 Compliance with normative American National Standards policies and administrative procedures

All ANSI-accredited standards developers (ASDs) are required to comply
with the normative policies and administrative procedures established by
the ANSI Executive Standards Council or its designee.

# 2.0 Benchmarks 

This section contains information relative to the implementation of the
*Essential Requirements* set forth in Section 1.0 of this document and
articulates the normative policies and administrative procedures
associated with the ANS process.

## 2.1 Openness

Timely and adequate notice of any action to create, revise, reaffirm, or
withdraw a standard, and the establishment of a new consensus body shall
be provided to all known directly and materially affected interests.
Notice should include a clear and meaningful description of the purpose
of the proposed activity and shall identify a readily available source
for further information. In addition, the name, affiliation[^1] and
interest category of each member of the consensus body shall be made
available to interested parties upon request.

## 2.2 Lack of dominance

Unless it is claimed in writing (including electronic communications) by
a directly and materially affected party that a single interest
category, individual or organization dominated the standards development
process, no test for dominance is required.

## 

## 2.3 Balance 

Historically the criteria for balance are that a) no single interest
category constitutes more than one‑third of the membership of a
consensus body dealing with safety-related standards or b) no single
interest category constitutes a majority of the membership of a
consensus body dealing with other than safety-related standards.

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. Interest categories shall be discretely
defined, cover all materially affected parties and differentiate each
category from the other categories. Such definitions shall be available
upon request. 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.

Where appropriate, additional interest categories should be
considered.[^2]

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.  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.

2.  User‑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.

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.

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.

## 

## 2.4 Notification of standards development and coordination

Notification of standards activity shall be announced in suitable media
as appropriate to demonstrate the opportunity for participation by all
directly and materially affected persons. At the initiation of a project
to develop or revise an American National Standard[^3], notification
shall be transmitted to ANSI using the Project Initiation Notification
System (PINS) form, or its equivalent, for announcement in *Standards
Action*. A statement shall be submitted and published as part of the
PINS announcement that shall include:

\(a\) an explanation of the need for the project; and

\(b\) identification of the stakeholders (e.g., telecom, consumer,
medical, environmental, etc.) likely to be directly impacted by the
standard.

Developers are encouraged to consult any relevant international or
regional guides that may impact the proposed standard. If the response
to sub-section (b) changes substantively as the standard is developed, a
revised PINS shall be submitted and published. A PINS form may be
submitted, but is not required, at the initiation of a project to
reaffirm or withdraw an American National Standard. Comments received in
connection with a PINS announcement shall be handled in accordance with
these procedures.

A PINS is not required for revisions of an American National Standard
that is maintained under continuous maintenance and (1) is registered as
such on the ANSI website, (2) has a notice in the standard that the
standard is always open for comment and how to submit comments, and (3)
has information on the developer's website that the standard is under
continuous maintenance and how to submit comments. A PINS is also not
required in connection with the decision to maintain an ANS under the
stabilized maintenance option.

## 

If a developer receives written comments within 30 days from the
publication date of a PINS announcement in *Standards Action,* and said
comments assert that a proposed standard duplicates or conflicts with an
existing American National Standard (ANS) or a candidate ANS that has
been announced previously in *Standards Action,* a mandatory
deliberation of representatives from the relevant stakeholder groups
shall be held within 90 days from the comment deadline. Such a
deliberation shall be organized by the developer and the commenter and
shall be concluded before the developer may submit a draft standard for
public review. If the deliberation does not take place within the 90-day
period and the developer can demonstrate that it has made a good faith
effort to schedule and otherwise organize it, then the developer will be
excused from compliance with this requirement. The purpose of the
deliberation is to provide the relevant stakeholders with an opportunity
to discuss whether there is a compelling need for the proposed standards
project. The outcome of such a deliberation shall be conveyed in writing
by the developer and commenter (ideally as a joint submission) to the
ANSI Board of Standards Review (BSR) for consideration should the
developer ultimately submit the related candidate standard to ANSI for
approval. In the case of ANSI Audited Designators, the Audited
Designator shall review the results of the deliberation prior to
designating a standard as an ANS. While the outcome is not binding,
participants are encouraged to develop a consensus on whether and how
the standards development project should proceed.

In addition, proposals for new American National Standards and proposals
to revise, reaffirm, or withdraw approval of existing American National
Standards shall be transmitted to ANSI using the BSR-8 form, or its
equivalent, for listing in *Standards Action* in order to provide an
opportunity for public comment. The comment period shall be one of the
following:

-   A minimum of thirty days if the full text of the revision(s) can be
    published in *Standards Action*;

-   A minimum of forty-five days if the document is available in an
    electronic format, deliverable within one day of a request, and the
    source (e.g., URL or an E-mail address) from which it can be
    obtained by the public is provided to ANSI for announcement in
    *Standards Action;* or

-   A minimum of sixty days, if neither of the aforementioned options is
    applicable.

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
subsequently made in a proposed American National Standard requires
listing of the change in *Standards Action*.

## 2.5 Consideration of views and objections 

Prompt consideration shall be given to the written views and objections
of all participants, including those commenting on the PINS announcement
or public comment listing in *Standards Action*.

In connection with an objection articulated during a public comment
period, or submitted with a vote, an effort to resolve all expressed
objections accompanied by comments related to the proposal under
consideration shall be made, and each such objector shall be advised in
writing (including electronic communications) of the disposition of the
objection and the reasons therefor. If resolution is not achieved, each
such objector shall be informed in writing that an appeals process
exists within procedures used by the standards developer. In addition,
except in the case of Audited Designators, each objection resulting from
public review or submitted by a member of the consensus body, and which
is not resolved (see definition) must be reported to the ANSI BSR.

When this process is completed in accordance with the written procedures
of the standards developer, the standards developer may consider any
comments received subsequent to the closing of the public review and
comment period, or shall consider them in the same manner as a new
proposal. Timely comments that are not related to the proposal under
consideration shall be documented and considered in the same manner as
submittal of a new proposal. The submitter of the comments shall be so
notified.

Each unresolved objection and attempt at resolution, and any substantive
change made in a proposed American National Standard shall be reported
to the consensus body in order to afford all members of the consensus
body an opportunity to respond, reaffirm, or change their vote.

## 2.6 Evidence of consensus and consensus body vote 

Evidence of consensus in accordance with these procedures and the
accredited procedures of the standards developer shall be documented.
Consensus is demonstrated, in part, by a vote of the consensus body. The
developer\'s procedures shall state specifically how consensus will be
determined.

An example of the criteria for consensus includes a requirement that a
majority of the consensus body cast a vote (counting abstentions) and at
least two-thirds of those voting approve (not counting abstentions). The
developer may submit for approval an alternative methodology for
determining consensus.

The consensus body vote shall be conducted and reported in accordance
with the rules set forth herein. Votes for the approval of a document or
portion thereof as a candidate ANS may be obtained by letter, fax,
recorded votes at a meeting or electronic means. All members of the
consensus body shall have the opportunity to vote. When recorded votes
are taken at meetings, members who are absent shall be given the
opportunity to vote before or after the meeting.

1.  ANSI-Accredited Standards Developers (ASDs) shall not change a vote
    unless instructed to do so by the voter. If the change of vote was
    not submitted in writing by the voter, then written confirmation of
    such a vote change shall be provided to the voter by the developer.
    It is never appropriate for an ASD to inform voters that if they are
    not heard from, their negative vote will be considered withdrawn and
    their vote will be recorded as an abstention or an affirmative. All
    negative votes that are not changed at the request of the voter
    shall be recorded and reported to the BSR as outstanding negatives
    by any ASD that has not been granted the authority to designate its
    standards as American National Standards without approval by the
    BSR.

2.  ASDs shall record and consider all negative votes accompanied by any
    comments that are related to the proposal under consideration. This
    includes negative votes accompanied by comments concerning potential
    conflict or duplication of the draft standard with an existing
    American National Standard and negative votes accompanied by
    comments of a procedural or philosophical nature. These types of
    comments shall not be dismissed due to the fact that they do not
    necessarily provide alternative language or a specific remedy to the
    negative vote.

3.  ASDs are not required to consider negative votes accompanied by
    comments not related to the proposal under consideration, or
    negative votes without comments. The ASD shall indicate
    conspicuously on the letter ballot that negative votes must be
    accompanied by comments related to the proposal and that votes
    unaccompanied by such comments will be recorded as "negative without
    comments" without further notice to the voter. If comments not
    related to the proposal are submitted with a negative vote, the
    comments shall be documented and considered in the same manner as
    submittal of a new proposal. If clear instruction is provided on the
    ballot, and a negative vote unaccompanied by comments related to the
    proposal is received notwithstanding, the vote may be counted as a
    "negative without comment" for the purposes of establishing a quorum
    and reporting to ANSI. However, such votes (i.e., negative vote
    without comment or negative vote accompanied by comments not related
    to the proposal) shall not be factored into the numerical
    requirements for consensus, unless the ASD's procedures state
    otherwise. The ASD is not required to solicit any comments from the
    negative voter. The ASD is not required to conduct a recirculation
    ballot of the negative vote. The ASD is required to report the "no"
    vote as a "negative without comment" when making their final
    submittal to the BSR unless the ASD has been granted the authority
    to designate its standards as American National Standards without
    approval by the BSR.

4.  The ASD shall maintain records of evidence regarding any change of
    an original vote.

5.  Except in regard to votes on membership and officer-related issues,
    each member of a consensus body should vote one of the following
    positions (or the equivalent):

> a\) Affirmative;
>
> b\) Affirmative, with comment;
>
> c\) Negative, with reasons (the reasons for a negative vote shall be
> given and if possible should include specific wording or actions that
> would resolve the objection);
>
> d\) Abstain.

6.  For votes on membership and officer-related issues, the
    affirmative/negative/abstain method of voting shall be followed.
    Votes with regard to these issues need not be accompanied by reasons
    and need not be resolved or circulated to the consensus body.

## 2.7 Appeals 

The provision for appeals is important for the protection of directly
and materially affected interests and of standards developers and is
required as a part of due process. This section gives general criteria
regarding the right to appeal, to whom appeals are made and what may be
appealed.

> **2.7.1 Right to Appeal: Appeals at the standards developer level**
>
> The written procedures of an ANSI-Accredited Standards Developer (ASD)
> shall contain an identifiable, realistic, and readily available
> mechanism for the impartial handling of procedural appeals regarding
> any action or inaction. Appeals shall be addressed promptly and a
> decision made expeditiously. A standards developer may choose to offer
> an appeals process to address appeals on other than procedural issues.
> Procedural appeals include whether a technical issue was afforded due
> process. Appeals procedures shall provide for participation by all
> parties concerned without imposing an undue burden on them.
> Consideration of appeals shall be fair and unbiased and shall fully
> address the concerns expressed.
>
> Persons who have directly and materially affected interests and who
> have been or will be adversely affected by any procedural action or
> inaction by a standards developer with regard to the development of a
> proposed American National Standard or the revision, reaffirmation, or
> withdrawal of an existing American National Standard, have the right
> to appeal. The burden of proof to show adverse effect shall be on the
> appellant. Appeals of actions shall be made within reasonable time
> limits; appeals of inactions may be made at any time. Appeals shall be
> directed to the standards developer responsible for the action or
> inaction in accordance with the appeals procedures of the standards
> developer. If a fee for a procedural appeal is charged, then it shall
> be predetermined, fixed and reasonable. A procedure for requesting a
> fee waiver or fee reduction shall be available.
>
> **2.7.2 Right to Appeal: Appeals at ANSI**

Persons who have directly and materially affected interests and who have
been or will be adversely affected by any procedural action or inaction
by ANSI or by any ANS-related process have the right to appeal. ANSI
will not normally hear an appeal of an action or inaction by a standards
developer relative to the development of an American National Standard
until the appeals procedures provided by the standards developer have
been completed. Appeals of actions shall be made within reasonable time
limits; appeals of inactions may be made at any time. Such appeals shall
be directed to ANSI in accordance with the procedures of the appropriate
ANSI board or council (e.g., Board of Standards Review, Executive
Standards Council).

# 3.0 Normative American National Standards Policies 

Every ANSI-Accredited Standards Developer (ASD) shall comply with the
normative policies contained in this section. The ASD may choose to: 1)
include the text that follows, as appropriate, in their accredited
procedures along with any additional information as required; or 2)
submit to ANSI a written statement of full compliance with these
policies in addition to policy statements that satisfy the requirements
set-forth in this section.

## 

## 3.1 ANSI patent policy - Inclusion of Patents in American National Standards

There is no objection 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 proposed American National
Standard may require the use of a patented invention, the procedures in
this clause shall be followed.

**3.1.1 Statement from patent holder**

> Prior to approval of such a proposed American National Standard, the
> Institute shall receive from the identified party or patent holder (in
> a form approved by the Institute) either: assurance in the form of a
> general disclaimer to the effect that such party does not hold and
> does not currently intend holding any invention the use of which would
> be required for compliance 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
    implementing the standard; or

b)  a license will be made available to applicants under reasonable
    terms and conditions that are demonstrably free of any unfair
    discrimination.

**3.1.2 Record of statement**

> A record of the patent holder's statement shall be placed and retained
> in the files of the Institute.

**3.1.3 Notice**

> When the Institute receives from a patent holder the assurance set
> forth in a) or b) above, the standard shall include a note as follows:
>
> NOTE -- The user's attention is called to the possibility that
> compliance with this standard may require use of an invention covered
> by patent rights.
>
> By publication of this standard, no position is taken with respect to
> the validity of 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 standards
> developer.

**3.1.4 Responsibility for identifying patents**

> The Institute shall not be responsible for identifying all patents for
> 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.

## 

## 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. The appearance that a
standard endorses any particular products, services or companies must be
avoided. Therefore, it generally is not acceptable to include
manufacturer lists, service provider lists, or similar material in the
text of a standard or in an annex (or the equivalent). Where a sole
source exists for essential equipment, materials or services necessary
to comply with or to determine compliance with the standard, it is
permissible to supply the name and address of the source in a footnote
or informative annex as long as the words "or the equivalent" are added
to the reference. In connection with standards that relate to the
determination of whether products or services conform to one or more
standards, the process or criteria for determining conformity can be
standardized as long as the description of the process or criteria is
limited to technical and engineering concerns and does not include what
would otherwise be a commercial term.

## Evidence of compliance 

ANSI-accredited standards developers shall retain records to demonstrate
compliance with all aspects of these and the developer's accredited
procedures. Such records shall be available for audit as directed by the
ANSI Executive Standards Council (ExSC).

**3.3.1 An ANSI-accredited standards developer has three options
relative to new, revised or reaffirmed American National Standards
maintained under the periodic maintenance option (see 4.7.1):**

1.  Records shall be retained for one complete standards cycle, or until
    the standard is revised.

2.  Records shall be retained based on the formula established by the
    ANSI ExSC as set-forth in the *ANSI Auditing Policy and Procedures.*

3.  A developer that does not choose option 1 or option 2 will be
    audited more frequently and shall retain all records for all
    standards approved[^4] as ANS subsequent to the most recent ANSI
    audit until completion of the current audit.

**3.3.2 An ANSI-accredited standards developer has three options
relative to new, revised or reaffirmed American National Standards
maintained under the continuous maintenance option (see 4.7.2):**

1.  Records shall be retained for a minimum of five (5) years or until
    approval of the subsequent revision or reaffirmation of the complete
    standard.

2.  Records shall be retained based on the formula established by the
    ANSI ExSC as set-forth in the *ANSI Auditing Policy and Procedures.*

3.  A developer that does not choose option 1 or option 2 will be
    audited more frequently and shall retain all records for all
    standards approved as ANS subsequent to the most recent ANSI audit
    until completion of the current audit.

**3.3.3 An ANSI-accredited standards developer has three options
relative to American National Standards maintained under the stabilized
maintenance option (see 4.7.3):**

1.  Records shall be retained until the standard is reaffirmed, revised,
    or subsequently reviewed in connection with the stabilized
    maintenance of the standard as an ANS.

[]{.mark}

2.  Records shall be retained based on the formula established by the
    ANSI ExSC as set-forth in the *ANSI Auditing Policy and Procedures.*

3.  A developer that does not choose option 1 or option 2 will be
    audited more frequently and shall retain all records for all
    standards approved as ANS subsequent to the most recent ANSI audit
    until completion of the current audit.

Records concerning withdrawals of all American National Standards shall
be retained for at least five years from the date of withdrawal or for a
duration consistent with the audit schedule.

## 3.4 Metric policy

Each ANSI-accredited standards developer shall have on file at ANSI a
metric policy. International System of Units (SI) are the preferred
units of measurement in American National Standards.

## 

## 3.5 Interpretations policy

Each ANSI-accredited standards developer shall have on file at ANSI an
interpretations policy. Official interpretations of American National
Standards shall be made only by the accredited standards developer
responsible for maintenance of that standard. ANSI shall not issue, nor
shall any person have the authority to issue, an interpretation of an
American National Standard in the name of the American National
Standards Institute. Requests for interpretations addressed to ANSI
shall be referred to the responsible standards developer.

# 4.0 Normative American National Standards Administrative Procedures 

This section articulates the administrative and processing requirements
associated with the American National Standards process.

## 

## 4.1 Accreditation of American National Standards Developers

A standards developer whose procedures meet the requirements of due
process and criteria for approval and withdrawal of American National
Standards contained herein may apply to ANSI for accreditation. To be
accredited by ANSI, the developer's procedures and practices for
standards development shall meet the criteria for accreditation as set
forth below. The ANSI Executive Standards Council (ExSC) is the
accrediting body for developers of American National Standards.
Accreditation is a pre-condition for submitting a standard for
consideration for approval as an American National Standard.

### 4.1.1 Criteria for accreditation

Accreditation shall be based on compliance, as determined by the ANSI
ExSC, with the following criteria:

a\) the operating procedures used for the development of evidence of
consensus for approval, revision, reaffirmation, or withdrawal of
standards as American National Standards shall satisfy the essential
requirements contained herein;

b\) with respect to American National Standards or candidate American
National Standards, including the national adoption of ISO or IEC
standards as American National Standards, the applicant shall agree to:

> 1\) provide continuity of administrative oversight and support of its
> standards activities;
>
> 2\) provide for designation, publication, and maintenance of the
> standard(s) produced;
>
> 3\) provide for an appeals mechanism;
>
> 4\) cooperate with ANSI in standards planning and coordination
> activities of mutual interest;
>
> 5\) advise ANSI of the initiation and scope of new standards
> activities and revisions of existing standards expected to result in
> candidate American National Standards;
>
> 6\) submit to ANSI for public comment the requisite information
> concerning activities related to new candidate American National
> Standards and the national adoption of ISO or IEC standards as
> American National Standards as well as the revision, reaffirmation, or
> withdrawal of American National Standards;

7)  consider applicable international standards;

8)  comply with the procedures contained herein with respect to the
    national adoption of ISO and IEC standards as American National
    Standards; and

9)  pay to ANSI all relevant fees.

c\) as appropriate to the extent to which the applicant is involved with
standardization, the applicant shall consider participation in
international standards activities through ANSI; and

d\) with respect to submitting proposed American National Standards to
ANSI for Board of Standards Review (BSR) approval, the applicant shall
agree to comply with the normative policies and administrative
procedures contained herein.

### 4.1.2 Application for Accreditation as a Developer of American National Standards

Application to ANSI for accreditation shall be in writing and shall
include copies of the pertinent standards developing procedures and
other documentation demonstrating compliance with the criteria specified
in these procedures. If more than one set of standards developing
procedures is used by an applicant, each procedure requires separate
review for accreditation. The applicant shall submit its scope for
informational purposes only, a description of its present program of
standards activities and a list of candidate American National
Standards. Also included shall be a statement from the applicant that
details their coordination efforts to date and confirms their agreement
to attempt to coordinate their standards activities with other
ANSI-accredited standards developers and with ANSI.

A notice announcing the application for accreditation shall be published
in *Standards Action* with a call for comment. Copies of the pertinent
standards developing procedures shall be available from the applicant,
upon request.

Following the comment period, the ExSC shall consider the information
supplied by the applicant and any comments and responses received,
including reports on coordination from the appropriate ExSC designee if
any, standards advisors, and the BSR. If comments are submitted that
challenge support for an applicant's accreditation, the applicant shall
supply evidence of such support for consideration by the commenter and
the ExSC. The ExSC shall determine whether accreditation should be
approved. The applicant must satisfy the requirements established in the
*ANSI Essential Requirements* before accreditation can be granted. If,
during the course of the accreditation process, the developer makes a
change to their originally submitted scope or to their originally
submitted operating procedures, an additional announcement shall be
published in Standards Action. If, however, the developer makes changes
to the originally submitted operating procedures at the specific
direction of the ExSC or their designee in order to bring their
procedures into compliance with the *ANSI Essential Requirements*, an
informational announcement shall be placed in *Standards Action* without
additional public review. Accreditation will not be granted to an
applicant whose procedures do not satisfy the requirements set forth
herein. In the event that accreditation is not granted, the ExSC shall
advise the applicant of the reasons, and the applicant shall have the
opportunity to reapply. Upon accreditation, the applicant shall be
notified and a notice shall appear in *Standards Action*.

### 4.1.3 Maintenance of accreditation

The ANSI Audit Director, under the supervision of the ExSC, shall
arrange for audits of accredited standards developers at selected
intervals or, at the request of the ExSC, due to special circumstances
(BSR request, appeals action, etc.) to confirm adherence to the criteria
for accreditation and to confirm that the procedures and practices of
the accredited standards developer continue to be consistent with those
which formed the basis for accreditation. The ANSI Audit Director shall
report the audit findings to the ExSC who in turn shall take appropriate
action in accordance with the *ANSI Auditing Policy and Procedures.*

If an accredited standards developer does not maintain one or more
approved American National Standards, then the developer shall submit
their accredited procedures for review and approval by the ExSC on a
five-year cycle as well as a justification as to why they have not
submitted any standards to ANSI for approval and why their accreditation
remains relevant. The ExSC may suspend or withdraw the accreditation if
the justification is not provided or is otherwise unsatisfactory.

Accredited standards developers granted authority to designate their
standards as American National Standards without BSR approval shall
submit to a regular audit in accordance with the *ANSI Auditing Policy
and Procedures*.

When ANSI issues revised or additional criteria for accreditation, the
accredited standards developer shall comply with them within a
reasonable time period designated by the ExSC in order to maintain
accreditation.

Whenever any revision is made to a standards developer's procedures on
record at ANSI, the ExSC shall be notified and provided with a detailed
description of the changes. If the changes are considered by the ExSC to
be non‑substantive, the standards developer will be notified and, upon
such notification, may begin to operate under the revised procedures. If
the changes are considered by the ExSC to be substantive, notice of
these changes shall appear in *Standards Action* with a call for
comment. Copies of the revised procedures shall be made available by the
applicant to any party, upon request. If a developer submits their
procedures in an electronic format and authorizes ANSI to post them on
*ANSI Online* for purposes of public review, then the associated call
for comment period in ANSI's *Standards Action* shall be 30 days and
shall be announced as such.

If the standards developer decides to implement revised procedures prior
to the final approval of the ExSC, they may do so provided that a)
records concerning the implementation are maintained and available for
use by the ANSI Audit Program; b) the developer certifies that the
changes are in compliance with the *ANSI Essential Requirements*; and c)
the developer accepts responsibility for all actions taken with regard
to a candidate American National Standard, including resubmittal, if the
ExSC does not approve a particular procedural provision.

Following the comment period, the ExSC shall consider the comments
received, the latest status reports, the latest audit of the accredited
standards developer, and any available additional information to
determine whether to continue the accreditation. Notice of continuance
shall be sent to the accredited standards developer and shall appear in
*Standards Action*.

When the ExSC requests an accredited standards developer to revise its
approved procedures to bring them into compliance with the *ANSI
Essential Requirements*, the ExSC shall decide on a case-by-case basis
whether reaccreditation, including public review, is also required.

### 4.1.4 Withdrawal of accreditation

The ExSC may advise and request any accredited standards developer to
take corrective action if the conditions upon which accreditation was
granted are not maintained. If such action is not taken within the time
period designated, the ExSC shall provide at least a thirty day notice
to the standards developer stating that, unless specified conditions are
corrected, its accreditation and the approval of all American National
Standards under all affected accreditations shall be withdrawn. Unless
the necessary corrective actions are taken within the specified period,
the ExSC shall withdraw the accreditation and approval of all affected
American National Standards sponsored by the developer. The standards
developer shall be notified of withdrawal of the accreditation and a
notice shall appear in *Standards Action*.

## 4.2 Approval of actions in connection with American National Standards

A standard developed by an ANSI-accredited standards developer may be
approved as an American National Standard by the ANSI Board of Standards
Review (BSR) or by an ANSI Audited Designator. In either case, the
essential due process and consensus criteria defined herein shall apply.
In addition, approval assures the user that each American National
Standard is generally acceptable to the directly and materially affected
interest categories that participated in the development of consensus
for the standard.

A proposed new American National Standard or a proposed revision or
reaffirmation of an American National Standard to be approved by the BSR
shall be submitted to the secretary of the BSR within one (1) year from
the close of the comment period listed in *Standards Action* using the
appropriate form provided by ANSI, unless the standards developer
notifies the secretary of the BSR in writing of good cause for a
different schedule for submittal. Failure to make the submittal within
two (2) years from the close of the comment period listed in *Standards
Action* shall require consideration by the BSR, i.e., withdrawal,
extension for cause, or another listing in *Standards Action.*
ANSI-accredited standards developers that have been granted the status
of ANSI Audited Designator shall take action in connection with
candidate American National Standards in a timeframe that is consistent
with that specified for all other ANSI-accredited standards developers.

### 4.2.1 Approval by the ANSI Board of Standards Review

Approval, withdrawal, revision or reaffirmation of an American National
Standard is based on the evidence submitted that the requirements set
forth herein have been met.

The ANSI Board of Standards Review (BSR) shall review standards
submitted to ANSI with unresolved objections on record. This includes
negative consensus body votes as well as public review comments.
Standards submitted without objections and identical national adoptions
processed in accordance with the expedited procedures contained in the
*ANSI Procedures for the National Adoption of ISO and IEC Standards as
American National Standards* may be administratively approved by the
BSR. The BSR does not have jurisdiction over the standards of ANSI
Audited Designators unless an ANSI Audited Designator chooses to submit
one or more standards to the BSR for approval.

#### 

#### 4.2.1.1 Criteria for approval of an American National Standard

Except as otherwise provided for in the *ANSI Procedures for the
National Adoption of ISO and IEC Standards as American National
Standards*, with respect to any proposal to approve, revise or reaffirm
an American National Standard for which one or more unresolved
objections have been reported, the BSR shall evaluate whether:

a)  the standard was developed in accordance with the procedures upon
    which the developer was granted accreditation, with particular
    attention given to whether due process was followed, consensus was
    achieved, and an effort was made to resolve any objections to the
    standard;

b)  any appeal to the standards developer with respect to the standard
    was completed;

c)  notice of the development process for the standard was provided to
    ANSI in accordance with PINS or its equivalent;

d)  any identified significant conflict with another American National
    Standard was resolved;

e)  other known national standards were examined with regard to
    harmonization and duplication of content and if duplication exists,
    there is a compelling need for the standard;

f)  ANSI's patent policy is met, if applicable;

g)  ANSI's policy on commercial terms and conditions is met if
    applicable;

h)  the standards developer provided the following or evidence thereof:

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1.  title and designation of the proposed American National Standard;

2.  indication of the type of action requested (that is, approval of a
    new American National Standard or reaffirmation, revision, or
    withdrawal of an existing American National Standard);

3.  a declaration that applicable procedures were followed;

4.  a declaration that the proposed standard is within the scope of the
    previously registered standards activity;

5.  a declaration that no significant conflicts with another American
    National Standard have been identified or that any identified
    significant conflict was addressed in accordance with these
    procedures;

6.  a roster of the consensus body that indicates: the vote of each
    member including abstentions and unreturned ballots, if applicable;
    the interest category of each member; and a summary thereof;

7.  a declaration that all appeal actions related to the approval of the
    proposed standard have been completed;

8.  a declaration that the criteria contained in the ANSI patent policy
    have been met, if applicable; and

9.  identification of all unresolved negative views and objections, with
    names of the objector(s), and a report of attempts toward
    resolution.

If the BSR determines, based on the weight of the evidence presented,
that the above-stated criteria have been satisfied, the standard shall
be approved as an American National Standard. The BSR shall deny
approval, if, based on the weight of the evidence presented, the BSR
determines that the American National Standard:

a\) is contrary to the public interest;

b\) contains unfair provisions;

c\) is unsuitable for national use; or

d\) has a conflict with an existing American National Standard.[^5]

Standards approved as American National Standards shall be designated,
published, and maintained in accordance with the procedures contained
herein. A substantive change that has not been afforded due process in
accordance with these procedures may not be made in an approved American
National Standard.

The BSR shall not approve standards that duplicate existing American
National Standards unless there is a compelling need.

Notice of the BSR's final action on all standards shall be published in
*Standards Action*.

#### 4.2.1.2 Reaffirmation of an American National Standard

The due process and consensus requirements defined herein apply to
reaffirmations as they do to all approval actions related to American
National Standards. The procedures used for reaffirmation of an American
National Standard by an accredited standards developer shall be
implemented according to the developer's ANSI accredited procedures.
Reaffirmations shall provide an opportunity for public comment.

Reaffirmations shall be accomplished without any substantive change to
the main text of the standard. All non-substantive changes in the main
text of the standard shall be explained, or noted, in a foreword. An
American National Standard undergoing an update of references to
standards necessary to implement the American National Standard shall be
processed as a revision unless the updated reference is only a
reaffirmation of the referenced standard. Any substantive changes in
such references requires processing as a revision.

The designation of ANSI approval shall clearly indicate if the approval
is a reaffirmation.

#### 4.2.1.3 Criteria for withdrawal

####### 4.2.1.3.1 Administrative withdrawal

An American National Standard shall be withdrawn five years following
approval, if the standard has not been revised or reaffirmed, unless an
extension has been granted by the ExSC or its designee. An American
National Standard that has not been reaffirmed or revised within the
five-year period, and that has been recommended for withdrawal by the
ExSC or its designee, shall be withdrawn at the close of a 30-day public
review notice in *Standards Action*. American National Standards that
have not been revised or reaffirmed within ten years from the date of
their approval as American National Standards shall be withdrawn and
such action shall be announced in *Standards Action*.

####### 4.2.1.3.2 Withdrawal by ANSI-Accredited Standards Developer

An American National Standard must be supported by an ANSI-Accredited
Standards Developer. If an accredited standards developer wishes to
withdraw its approval of one or more of its American National Standards,
it may do so without a vote of the relevant consensus body. If an
accredited standards developer does withdraw one or more of its American
National Standards, then the standards developer shall notify ANSI
immediately and the standard shall be withdrawn as an ANS and announced
in *Standards Action*.

**4.2.1.3.3 Discontinuance of a standards project**

An accredited standards developer may abandon the processing of a
proposed new or revised American National Standard or portion thereof if
it has followed its accredited procedures. A written justification for
such an action shall be made available upon receipt of any written
request received by the accredited standards developer within 60 days of
the date of the final action.

Appeals of such actions shall be made to the Executive Standards Council
based on procedural noncompliance.

####### 4.2.1.3.4 Withdrawal for Cause

Requests for withdrawal of an ANS for cause shall be approved by the BSR
only upon a sufficient showing that one or more of the following
conditions applies:

a\) a significant conflict with another American National Standard
remains;

b\) ANSI's patent policy was violated;

c\) ANSI's requirements for designation, publication, and maintenance
were violated;

d\) an American National Standard is contrary to the public interest;

e\) an American National Standard contains unfair provisions;

f\) an American National Standard is unsuitable for national use.

Except in the case of an ANSI Audited Designator, an application for
withdrawal of an American National Standard may be submitted to the BSR
by any materially interested party or the ExSC. The application shall be
accompanied by a filing fee. This fee may be waived or reduced upon
sufficient evidence of hardship.

In such cases:

a)  the secretary of the BSR shall refer the request for withdrawal to
    the standards developer for the developer to review and respond
    within 30 calendar days to the requester and the secretary of the
    BSR;

b)  if the standards developer concurs with the proposed withdrawal,
    public notice shall be given and the standard shall be withdrawn in
    accordance with the developer's procedures;

c)  if the standards developer does not concur with the proposed
    withdrawal, the standards developer shall inform the requester and
    the secretary of the BSR and include reasons;

d)  the requester shall advise the secretary of the BSR, and the
    developer, within 30 calendar days of their receipt of the
    developer's response, either that the requester wishes the
    withdrawal process to continue or not;

e)  if the requester requests continuance of the withdrawal process, the
    matter shall be referred to the BSR via letter ballot for decision
    on subsequent action.

Extensions of time to submit documentation related to a withdrawal for
cause shall be granted at the discretion of the chairperson of the BSR,
or if the chairperson is unavailable, by the secretary of the BSR.
Extensions shall be requested prior to the deadline date and shall
include a justification therefore.

If the BSR determines, based on the weight of the evidence presented,
that one or more of the above-stated criteria have been satisfied,
approval of the standard as an American National Standard shall be
withdrawn. If the BSR determines, based on the weight of the evidence
presented, that none of the above-stated criteria have been met, then
approval of the standard as an American National Standard shall be
maintained. The decision of the BSR in this regard shall not be appealed
to the BSR, but may be appealed to the ANSI Appeals Board pursuant to
section 11, *Appeals Process*, of the *ANSI Appeals Board Operating
Procedures*.

**4.2.1.4 Final notice**

Notice of final action on all standards shall be published in *Standards
Action*.

### 4.2.2 Approval of an American National Standard by an ANSI Audited Designator

A standard may be approved as an American National Standard by the ANSI
Board of Standards Review or by an ANSI Audited Designator. An Audited
Designator is an ANSI accredited standards developer to whom the ANSI
Executive Standards Council has granted the authority to designate their
standards as American National Standards without such standards being
reviewed and approved by the ANSI Board of Standards Review.
Requirements associated with ANSI Audited Designator status and their
approval of standards as American National Standards are contained in
Section 5 herein.

## 4.3 Planning, coordination and public notice

ANSI's planning and coordinating activities depend on the cooperation
and participation of standards developers and affected interests.
Various methods are used to plan and coordinate voluntary standards
activities. A considerable amount of planning and coordinating activity
routinely takes place at the standards development level by the
standards writing consensus bodies or their subgroups. Specific
coordination requirements are set-forth in other sections of this
document.

Overall responsibility for ANSI's national and international planning
and coordinating functions is assigned by the Board of Directors to the
Executive Standards Council (ExSC). The ExSC delegates specific
activities as opportunity and needs arise, appointing designees or
standards advisors, as appropriate.

Coordination usually can be accomplished by standards developers through
the implementation of one or more of the following:

a)  clear delineation of scope, purpose, and intended application of
    each standard;

b)  public notice of standardization activities;

c)  joint and cooperative activities of the individual organizations,
    including liaison representation;

d)  organization of an independent but representative body acceptable to
    the involved parties to coordinate standards needs and projects and
    to develop standards as required;

e)  liaison between national standards developers and the organization
    responsible for the U.S. position on corresponding international
    standards; and

f)  use of the ANSI PINS system.

To achieve a consistent set of American National Standards and to
represent the United States in non‑treaty international standards
activities, it is necessary for ANSI to harmonize ongoing standards
activity, minimize duplication, and avoid the promulgation of
conflicting American National Standards.

The ExSC and/or its designee shall be alert to duplication of national
standards activities. The ExSC or its designee shall notify standards
developers of any identified potential or existing duplication of
standards developing activities and request the standards developers
involved to coordinate their activities and report the results.

Potential or existing conflicts identified or brought to the attention
of the ExSC or its designee shall be investigated and harmonization
initiated, if warranted. This process usually consists of:

a)  appointing an ad hoc group to investigate and report whether
    harmonization is necessary. The ad hoc group reports on the purpose
    and application of the standards as well as the structure and issues
    that led to the conflict;

b)  inviting the organizations involved to develop a harmonization plan,
    if it is determined that harmonization is necessary. The plan may
    include liaisons, joint consensus bodies, ad hoc groups, or other
    activities;

c)  publishing the results of harmonization efforts in *Standards
    Action* or elsewhere, as appropriate.

## 4.4 Designation of American National Standards 

A standard that is approved as an American National Standard shall have
its cover or title page marked with an approval logo[^6] furnished by
ANSI or the words "an American National Standard." In addition, American
National Standards shall be marked in such a way as to identify the
version of the standard or shall be identified by a unique alphanumeric
designation in accordance with the guidelines contained herein.

The ANSI approval logo and the words "an American National Standard"
shall not be used to identify any standard that has not received
approval as an ANS by the ANSI Board of Standards Review or been
approved by an accredited standards developer who has been granted
authority to designate its standards as American National Standards.

Portions of a published document that were not approved through the full
consensus process but contain information that may appear to be
requirements necessary for conformance with the approved American
National Standard (ANS) shall be (1) clearly identified at the beginning
and end of each such portion of the document, or (2) such information
shall be overprinted on the cover page. These portions of the document
shall be marked with the following, or similar, explanatory language:

> "The information contained in this (portion of a document) is not part
> of this American National Standard (ANS) and has not been processed in
> accordance with ANSI's requirements for an ANS. As such, this (portion
> of a document) may contain material that has not been subjected to
> public review or a consensus process. In addition, it does not contain
> requirements necessary for conformance to the standard."

American National Standards shall be identified by a unique alphanumeric
designation (e.g., ANSI/ASD 123-2004). Multiple designations should be
avoided. If a standard has multiple designations, an attempt shall be
made by those concerned to arrive at a single designation.

## 4.5 Publication of American National Standards

American National Standards shall be published and made available as
soon as possible, but no later than six months after approval as an
American National Standard. The standards developer shall publish the
standard or shall grant the right of publication to ANSI.

If an American National Standard is not published within six months
following its approval, the standards developer may request an extension
of this deadline from the ExSC or its designee. Such a request shall be
in writing, shall supply the reason for the delay, and shall indicate a
firm final date for publication. At its discretion, the ExSC or its
designee may grant an additional period of time for publication.

The ExSC or its designee shall publish a notice in *Standards Action* of
intent to withdraw approval if the standards developer a) fails to
publish the standard or fails to grant ANSI the right to publish within
six months after its approval as an American National Standard and does
not request an extension of the deadline despite follow‑up or b) fails
to meet the extended deadline.

## 

## 4.6 National Adoption of ISO or IEC Standards as American National Standards

ANSI-accredited standards developers that wish to adopt an ISO or IEC
standard as an American National Standard shall comply with the
requirements set forth in the *ANSI Procedures for the National Adoption
of ISO or IEC Standards as American National Standards*.

## 4.7 Maintenance of American National Standards

American National Standards shall be kept current and relevant by means
of timely revision, reaffirmation or action to stabilize. Obsolete
standards shall be withdrawn. Except in the case of the national
adoption of ISO and IEC standards as American National Standards, when
the maintenance provisions contained in the *ANSI Procedures for the
National Adoption of ISO or IEC Standards as American National
Standards* shall apply, standards developers are permitted three options
-- periodic maintenance, continuous maintenance or stabilized
maintenance -- as outlined below.

### 

### 4.7.1 Periodic maintenance of American National Standards

Periodic maintenance is defined as the maintenance of a standard by
review of the entire document and action to revise or reaffirm it on a
schedule not to exceed five years from the date of its approval as an
American National Standard.

In the event that a PINS or BSR-8/108 has not been submitted for an
American National Standard within five years after its approval, the
standards developer may request an extension of time to reaffirm or
revise the standard, or shall withdraw the standard. The request for an
extension of time shall be submitted to ANSI within thirty days
following five years after the approval date of the American National
Standard. Requests for extensions shall provide the program and schedule
of work that will lead to revision, reaffirmation, or withdrawal. The
extension may be granted by the ExSC or its designee.

No extension of time beyond ten years from the date of approval shall be
granted for action on a standard. In no case shall a standard maintained
under the periodic maintenance option retain its status as a current
American National Standard beyond ten years from the date of approval.
Such approval automatically expires on the tenth anniversary date of
approval as an American National Standard.

In the event that an American National Standard approved by a standards
developer who has been granted authority to designate its standards as
American National Standards is not reaffirmed, revised, or withdrawn
within five years after its approval, the standards developer shall
follow its own procedures to ensure that work is proceeding and shall
notify the Institute and provide the estimated time of completion. In no
case shall a standard maintained under the periodic maintenance option
retain its status as a current American National Standard beyond ten
years from the date of approval. Such approval automatically expires on
the tenth anniversary date of approval as an American National Standard.

### 

### 4.7.2 Continuous maintenance of American National Standards

Continuous maintenance is defined as the maintenance of a standard by
consideration of recommended changes to any part of it according to a
documented schedule for consideration and action by the consensus body.

The standard shall be maintained by an accredited standards developer. A
documented program for periodic publication of revisions shall be
established by the standards developer. Processing of these revisions
shall be in accordance with these procedures. The published standard
shall include a clear statement of the intent to consider requests for
change and information on the submittal of such requests. Procedures
shall be established for timely, documented consensus action on each
request for change and no portion of the standard shall be excluded from
the revision process. In the event that no revisions are issued for a
period of four years, action to reaffirm or withdraw the standard shall
be taken in accordance with the procedures contained herein.

**4.7.3 Stabilized maintenance of American National Standards**

A standard that is maintained under the stabilized maintenance option
shall satisfy the following eligibility criteria:

a)  the standard addresses mature technology or practices, and as a
    result, is not likely to require revision; and

b)  the standard is other than safety or health related; and

c)  the standard currently holds the status of American National
    Standard and has been reaffirmed at least once; and

d)  at least ten years have passed since the approval or last revision
    of the standard as an ANS; and

e)  the standard is required for use in connection with existing
    implementations or for reference purposes.

The due process and consensus requirements defined herein apply to the
decision to maintain an ANS under the stabilized maintenance option. A
developer who wishes to maintain one or more ANS under the stabilized
maintenance option shall include a provision or notification to this
effect in its accredited procedures

An ANS maintained under the stabilized maintenance option is not
required to be revised or reaffirmed on a routine 5-year cycle; however,
it shall be subject to review of such status by the sponsoring standards
developer on a 10-year cycle. If it is determined in connection with
this review that the standard shall continue to be maintained under the
stabilized maintenance option and as such does not require revision or
withdrawal, then this shall be communicated to ANSI by the standards
developer and a related announcement shall be made in *Standards
Action*. Notification to ANSI shall be accomplished via the submittal of
an informational announcement if the standard will continue to be
maintained under the stabilized maintenance option or will be withdrawn,
or via a PINS, if the standard will be revised.

If a recommendation is made at any time by a materially affected and
interested party that a standard maintained under the stabilized
maintenance option requires revision or should be withdrawn, then that
recommendation shall be considered in the same manner as a new proposal
but within a maximum of 60 days from receipt. A recommendation should
include rationale to begin a revision, and shall not be dismissed due to
the fact that it does not necessarily suggest a specific revision. The
submitter of such a recommendation shall be responded to in writing by
the standards developer within 60 days of the receipt of the
recommendation and advised of the decision relative to the maintenance
status of the standard.

An ANS that is maintained under the stabilized maintenance option shall
include a clear statement of the intent to consider requests for change
and information on the submittal of such requests.

The decision to maintain an ANS under the stabilized maintenance option
and the process by which it is maintained shall be subject to appeal to
the standards developer. A subsequent appeal to ANSI may be made to the
ANSI Executive Standards Council based on a claim of procedural
non-compliance.

# 5.0 Normative policies and procedures for ANSI Audited Designators

An ANSI-accredited standards developer who has demonstrated a
"consistent record of successful voluntary standards development" may
apply to ANSI at any time seeking the authority to designate its
standards as American National Standards without approval by the BSR.

## 5.1 Application for ANSI Audited Designator Status

The applicant shall provide the information specified in a form
developed by ANSI for this purpose. A notice announcing the application
shall be published in *Standards Action* with a call for comment.
Simultaneously, an initial audit of the applicant shall be scheduled, in
accordance with the *ANSI Auditing Policy and Procedures*. At the
conclusion of these actions, the Executive Standards Council (ExSC)
shall consider the information supplied by the applicant, any comments
and responses received, the audit results, and the initial audit
responses, and will make a decision concerning the disposition of the
application. In making a decision on such an application, the ExSC may
request any additional information reasonably necessary to clarify
issues raised by the application. Thereafter, ANSI shall either approve
the application as submitted, approve the application contingent on
receipt of certain additional assurances, or deny the application. Any
decision to deny the application may thereafter be appealed by the
applicant to the ANSI Appeals Board. When an application has been
finally approved by ANSI, a notice so indicating shall be made in
*Standards Action*.

## 

## 5.2 Criteria for approval of ANSI Audited Designator Status

In determining whether an accredited standards developer has achieved a
"consistent record of successful voluntary standards development," the
ANSI ExSC shall consider all evidence reasonably bearing on the issue,
including the extent of the notice provided by the applicant concerning
its development activities and the integrity of the other due process
safeguards used by the applicant in conducting its work. A presumption
shall exist that this test has been satisfied where a) the developer has
been involved in voluntary standards development work for at least five
(5) years, b) during that period, the BSR has approved at least ten of
the developer's standards or if ten standards have not been approved,
standard(s) totaling at least 100 pages and c) no standard submitted by
the developer during the five (5)-year period was finally denied
American National Standard status by ANSI due to a failure to adhere to
the principles and procedures upon which the developer's accreditation
was based. The inability of an applicant to make use of this presumption
shall in no way preclude consideration of its application based on all
the relevant evidence.

Upon a final decision to grant an accredited standard's developer's
application, the developer shall enter into a written agreement with
ANSI, which shall include commitments by the developer to meet the
requirements listed below. The agreement shall be for a term of no
longer than two (2) years. Any additional terms included in the
agreement may be modified as circumstances require with the prior
approval of ANSI's President and the developer (as long as such
additional term(s) do not conflict with any of ANSI's procedures and
policies).

The developer shall:

a)  retain membership in ANSI and pay dues to ANSI in accordance with
    the policies established by ANSI's Board of Directors;

b)  conduct its activities at all times in conformity with the criteria
    upon which it was accredited;

c)  submit to audits of its operations by ANSI to demonstrate compliance
    with terms of the delegation and pay the fees associated therewith
    (see the *ANSI Auditing Policy and Procedures* for further details
    on the audit requirements);

d)  provide information required by ANSI in connection with PINS or its
    equivalent, in a timely manner;

e)  provide information required by ANSI in connection with initiating
    the ANSI public comment period, in a timely manner;

f)  promptly notify ANSI each time that a standard is designated as an
    American National Standard without BSR review;

g)  not designate as an American National Standard any standard if it:

> 1\) is contrary to the public interest;
>
> 2\) contains unfair provisions:

3)  is unsuitable for national use;

4)  has a conflict with an existing American National Standard.

\(h\) if a standard is subsequently determined to have been in conflict
with an existing American National Standard at the time of approval, the
American National Standard designation shall be withdrawn;

\(i\) promptly notify ANSI of any suit or claim made against the
developer arising from a standard designated as an American National
Standard without BSR review, and provide periodic updates sufficient to
apprise ANSI of the status of any such suit or claim;

\(j\) indemnify ANSI in connection with any suit or claim that may be
made against ANSI arising from a standard designated as an American
National Standard without BSR review,[^7] which indemnity must include a
commitment to advance all reasonable attorneys' fees and expenses
incurred in connection with investigating or defending any such suit or
claim;[^8]

\(k\) consider an American National Standard designation for all of its
standards; and

\(l\) immediately cease to apply the ANS designation to any standard
approved after the developer has been notified by ANSI that its
accreditation has been suspended and/or withdrawn.

In addition, the Agreement shall provide for termination by ANSI upon
any material breach of its terms by the developer, following notice and
an opportunity to cure any such breach. The developer shall have the
right to appeal any such decision pursuant to ANSI's appeals procedures.

## 5.3 Renewals

Successive applications to renew a developer's right to designate its
standards as American National Standards without BSR review may be made
without limitation and shall be reviewed and decided on the same basis
as an initial application, except that in connection with any renewal
ANSI shall consider whether during the preceding period the developer
has properly fulfilled its obligations as set forth above.

## 5.4 Requirements

With respect to submitting American National Standards to ANSI without
BSR approval, the qualified applicant shall agree to provide to ANSI the
following:

a)  title and designation of the American National Standard;

b)  indication of the type of action (that is, approval of a new
    American National Standard or reaffirmation, revision, or withdrawal
    of an existing American National Standard);

c)  declaration that applicable procedures were followed;

d)  a declaration that the standard is within the scope of the
    previously registered standards activity;

e)  a declaration that other national standards have been examined with
    regard to harmonization and duplication of content, and if
    duplication exists, there is compelling need for the standard;

f)  a declaration that no significant conflicts with another American
    National Standard have been identified or that any identified
    significant conflict with another American National Standard was
    addressed in accordance with these procedures;

g)  a declaration that all appeal actions related to the approval of the
    proposed standard have been completed;

h)  a declaration that the criteria contained in the ANSI patent policy
    have been met, if applicable;

i)  approval date of the American National Standard.

## 5.5 Complaints

Any complaint, (whether expressed as a complaint, appeal, or request for
withdrawal of the ANS designation) concerning any actions or inactions,
including approval or disapproval of an American National Standard, by
an Audited Designator shall be governed by the provisions of the
*Operating Procedures of the ANSI Executive Standards Council.*

## Annex A: Definitions

-   ANSI Accreditation: The approval by the ANSI Executive Standards
    Council (ExSC) of the written procedures submitted by a standards
    developer relative to the development and documentation of evidence
    of consensus in connection with standards that are expected to be
    approved as American National Standards. Accreditation by ANSI
    signifies that the procedures submitted by the standards developer
    satisfy the essential requirements contained herein.

-   ANSI Audited Designator: An Audited Designator is an ANSI-accredited
    standards developer to whom the ANSI Executive Standards Council has
    granted the authority to designate their standards as American
    National Standards without such standards being reviewed and
    approved by the ANSI Board of Standards Review but such developer is
    subjected to additional audits.

-   Continuous maintenance: Continuous maintenance is defined as the
    maintenance of a standard by consideration of recommended changes to
    any part of it according to a documented schedule for consideration
    and action by the consensus body.

-   Consensus: Consensus means substantial agreement has been reached by
    directly and materially affected interests. This signifies the
    concurrence of more than a simple majority, but not necessarily
    unanimity. Consensus requires that all views and objections be
    considered, and that an effort be made toward their resolution.

-   Consensus body: The group that approves the content of a standard
    and whose vote demonstrates evidence of consensus.

-   Periodic maintenance: Periodic maintenance is defined as the
    maintenance of a standard by review of the entire document and
    action to revise or reaffirm it on a schedule not to exceed five
    years from the date of its approval as an American National
    Standard.

-   Proxy: A written and signed document by which a voting member of a
    consensus body authorizes another person to vote in the member's
    stead, if allowed by the developer's procedures.

-   Resolved: A negative vote cast by a member of the consensus body or
    a comment submitted as a result of public review where the negative
    voter agrees to change his/her vote or the negative commenter
    accepts the proposed resolution of his/her comment.

-   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:

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-   "shall" to "should" or "should" to "shall";

-   addition, deletion or revision of requirements, regardless of the
    number of changes;

-   addition of mandatory compliance with referenced standards.

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```
-   Unresolved: Either (a) a negative vote submitted by a consensus body
    member or (b) written comments, submitted by a person during public
    review expressing disagreement with some or all of the proposed
    standard, that have not been satisfied and/or withdrawn after having
    been addressed according to the developer's approved procedures.

## Annex B: Draft American National Standards for trial use 

Draft standards intended for subsequent submittal to ANSI for approval
as American National Standards may be published by accredited standards
developers for trial use and comment in trade or technical journals, or
as separate publications for a period of up to three years. The
availability of such draft standards shall be registered with ANSI and
announced in ANSI's *Standards Action*, other appropriate media and, if
practical, may be listed in ANSI's catalog.

Accredited Standards Developers that intend to utilize draft standards
for trial use are required to establish procedures for use in connection
with their promulgation. Such procedures shall specify how and by whom
the decision to promulgate a draft standard for trial use shall be made.
Such procedures shall afford materially affected interests the
opportunity to challenge the decision to register a draft standard for
trial use with ANSI. A copy of such procedures shall be received by
ANSI, reviewed and approved by the Executive Standards Council (ExSC) or
its designee, and placed on file prior to the submission and
announcement of any draft standards for trial use. Draft standards for
trial use shall not be issued to address a need for an emergency
standard. In addition, draft standards for trial use must be in
compliance with the ANSI Patent Policy.

Materially affected interests wishing to initiate a challenge at ANSI to
a decision by an Accredited Standards Developer to register with ANSI a
draft standard for trial use shall first exhaust all methods of
challenge at the Accredited Standards Developer's level prior to
submitting an appeal to the ANSI ExSC. The only basis on which such an
appeal shall be filed is the alleged failure of the Accredited Standards
Developer to follow either its own procedures or any other relevant ANSI
requirements. The burden of proof shall be on the appellant. An
announcement regarding the appeal will appear in *Standards Action.*

The following statement, or equivalent, shall be included on the front
cover of the draft standard for trial use:

"Publication of this draft standard for trial use and comment has been
approved by (insert name of accredited standards developer).
Distribution of this draft standard for comment shall not continue
beyond ( ) months from the date of publication. It is expected that
following this ( ) month period, this draft standard, revised as
necessary, will be submitted to the American National Standards
Institute for approval as an American National Standard. A public review
in accordance with established ANSI procedures is required at the end of
the trial use period and before a draft standard for trial use may be
submitted to ANSI for approval as an American National Standard. This
draft standard is not an American National Standard. Suggestions for
revision should be directed to \...."

Use of the ANSI logo or trademark is prohibited on any document that has
not been approved as an American National Standard including a draft
standard for trial use. If an ANSI-accredited developer complies with
these procedures in connection with a draft standard for trial use, it
may be referred to as a *Draft American National Standard for Trial
Use.* ANSI reserves the right to deny announcement of the availability
of a draft standard for trial use that is intended to be submitted for
approval as an American National Standard for legal reasons upon advice
of its counsel.

## Annex C: Procedures for the Development of a Provisional American National Standard (ANS) or a Provisional Amendment to an ANS

**C.1 Procedures for the Development of a Provisional American National
Standard (ANS) or a Provisional Amendment to an ANS**

When an alternative process is not otherwise reflected in an
ANSI-Accredited Standards Developer's (ASD's) accredited procedures,
these procedures set forth the requirements for the issuance of a
Provisional ANS or a Provisional Amendment to an existing ANS and may be
used when all of the following circumstances apply:

-   When implementation of the Provisional ANS or Provisional Amendment
    may result in an improvement to the safeguarding of life, and there
    is a well-established need for the prompt dissemination of
    information that addresses an emergency situation or other special
    circumstance;

-   When the use of the accredited procedures of the ASD would cause an
    undue delay in the issuance of a related standard; and

-   When an ASD supports the development of a Provisional ANS or a
    Provisional Amendment with the intention of initiating the
    processing as an ANS, of the Provisional ANS or the Provisional
    Amendment to an ANS, within 45 days of its approval date. Processing
    of the ANS shall be in accordance with the ASD's accredited
    procedures, including ANSI public review in *Standards Action* and
    consensus body ballot.

**C.1.1 Public notice**

An announcement identifying the standard and describing the
circumstances that warrant the issuance of a Provisional ANS or
Provisional Amendment shall be provided to ANSI in a timely manner for
publication in ANSI's *Standards Action* along with relevant developer
contact information. The requirements in clause *2.4 Notification of
standards development and coordination* shall not apply with regard to a
Provisional ANS or Provisional Amendment that is promulgated in
accordance with these procedures.

**C.1.2 Minimum consensus body ballot period**

A developer using these procedures may utilize the minimum ballot period
established by their accredited procedures for an ANS or the consensus
body may establish a ballot period that is not less than two weeks.  

**C.1.3 Approval of a Provisional ANS or a Provisional Amendment to an
ANS**

Approval of a Provisional ANS or a Provisional Amendment to an ANS
requires approval by the consensus body of at least two-thirds of those
voting, excluding abstentions.

**C.1.4 Comment resolution**

All comments accompanying the ballot shall be circulated to the
consensus body in order to afford all members an opportunity to respond,
reaffirm, or change their vote. For recirculation of comments, a minimum
period of not less than one week is required. An attempt to resolve the
comments received relative to the Provisional ANS or Provisional
Amendment is not required.

**C.1.5 Right to appeal**

The right to appeal shall not be required in connection with the
issuance of a Provisional ANS or Provisional Amendment. After the
standard or revision has been issued, if a directly and materially
affected party believes that the Provisional ANS or Provisional
Amendment should be withdrawn, then the *Withdrawal for cause*
procedures detailed in the *ANSI Essential Requirements: Due process
requirements for American National Standards* shall apply.

**C.1.6 Approval notification to ANSI**

Notice of the approval of a Provisional ANS or Provisional Amendment by
an ASD shall be submitted to ANSI within 5 days of the approval of the
document. The notice shall include the designation and title of the new
or affected document the approval date and a certification that the
developer has followed these procedures. An informational announcement
shall be published in *Standards Action*.

**C.1.7 Processing the Provisional ANS as an American National
Standard**

The ASD shall initiate the processing, as an ANS, of the Provisional
ANS, or the revision to an amended ANS, within 45 days of its approval
date. This processing shall be in accordance with the ASD's accredited
procedures and shall include ANSI public review in *Standards Action*
and consensus body ballot.

**C.1.8 Withdrawal**

A Provisional ANS or Provisional Amendment shall exist for no longer
than two years from the date on which it is approved by the ASD. If
consensus is achieved and the affected standard (either the Provisional
ANS or the ANS as modified by the Provisional Amendment is published as
an ANS, the Provisional ANS or Provisional Amendment is superseded and
shall be withdrawn. If consensus is not achieved, the Provisional ANS or
Provisional Amendment shall be withdrawn at that time, but no later than
two years from the date on which it was approved. A notice of the
withdrawal shall be published in ANSI's *Standards Action*.

**C.1.9 Identification of a Provisional ANS or Provisional Amendment**

A standard or an amendment to a standard promulgated in accordance with
these procedures shall be referred to as a Provisional American National
Standard or Provisional Amendment, respectively, and identified clearly
as such on the cover or title page. In addition, a standard processed as
a Provisional American National Standard, shall be identified by a
unique alphanumeric designation in accordance with the following
guidelines:

ANSI/ABCD 123 (PS), where ABCD reflects the developer's acronym.

And an American National Standard with a provisional amendment shall be
identified as follows:

ANSI/ABCD 123 (PA)

The following or similar text shall be included in the foreword of a
Provisional Standard or adjacent to a Provisional Amendment when
included in the text of an ANS:

"This document or some of the information contained in this document has
been processed in accordance with ANSI's requirements for a Provisional
American National Standard or Provisional Amendment to an ANS. The same
or similar document or amendment (as applicable) will undergo the
standards development process set forth in the ASD's accredited
procedures. This Provisional ANS or pertinent Provisional Amendment(s)
shall be withdrawn on or before the two year anniversary date of its
approval as such."

The ANSI approval logo and the words "an American National Standard"
shall not be used to identify an entire standard that has not received
ANSI approval or been approved by an accredited standards developer who
has been granted authority to designate its standards as American
National Standards.

**C.1.10 Audit of Use of Provisional ANSI Process**

Evidence of compliance with these procedures shall be retained. This
documentation shall be examined during the next scheduled audit of the
developer.

[^1]: "Affiliation" refers to the entity that the consensus body member
    represents (which may or may not be that person's employer). If the
    consensus body member is serving in an individual capacity, then the
    name of the individual, that person's employer, sponsor and interest
    category should be available. Contact information is not required.

[^2]: Further interest categories that may be used to categorize
    directly and materially affected persons consist of, but are not
    limited to, the following: a) Consumer; b) Directly affected public;
    c) Distributor and retailer; d) Industrial/commercial; e) Insurance;
    f) Labor; g) Manufacturer; h) Professional society; I) Regulatory
    agency; j) Testing laboratory; k) Trade association.

[^3]: Including the national adoption of ISO and IEC standards as
    American National Standards.

[^4]: Approved: the approval process and appeals processes at ANSI have
    concluded.

[^5]: As used here, the term "conflict" refers to a situation where,
    viewed from the perspective of an implementer, the terms of one
    standard are inconsistent with the terms of another standard such
    that implementation of one standard necessarily would preclude
    proper implementation of the other standard in accordance with its
    terms.

[^6]: An "Approved American National Standard" mark is available from
    ANSI.

[^7]: The sufficiency of the indemnity will be evaluated on a
    case-by-case basis in light of the assets of the applicant. ANSI
    reserves the right to deny approval to any applicant should ANSI
    determine an offer of indemnity to be insufficient.

[^8]: It is understood that, absent a conflict of interest, the
    developer may designate its own attorneys as the attorneys for ANSI
    as well.