SDO Assessment Questionnaire
Questionnaire
Standards Development Organization Assessment – for Development of an Environmental Assessment of ServersStandard
SDO: / IEEEPrepared by: / Pamela Brody-Heine/GEC (see note below) / Date: / 8/14/12
Email: / Phone:
Note: IEEE declined to fill out the questionnaire and provided the following statement:
“The IEEE-SA showed its desire to develop the Server standard when theIEEE-SA Standards Board approved the P1680.4 PAR for the Server standard in 2010. Since EPEAT/GEC staff are officers of the EASC and the 1680.x working groups and are familiar with the IEEE standards development process, we do not feel it necessary to complete this questionnaire.
Should you complete the questionnaire on behalf of the IEEE, as you indicated you might do, please make it clear that the IEEE did not provide, nor approve, the answers.”
Therefore, the following responses to questions were prepared by the GEC project team and have not been reviewed or approved by IEEE staff. To the degree possible the responses are copied from IEEE procedural documents. Certain other responses, as noted, are based on GEC project team experience with IEEE processes.
Purpose
EPEATis built upon American National Standards developed by the IEEE – the IEEE 1680 family of standards. A representative leadership group of stakeholders is exploring options for development of the next environmental standard which will address servers.
GEC personnel, acting with and on behalf of this stakeholder leadership group, are seeking interested from SDOs to be considered for development of an environmental standard for servers. Interested applicants are being asked to fill out this questionnaire, and potentially participate in an interview. Applicants will be evaluated, and the SDO selection will be made, by the stakeholder leadership group.
Questionnaire
1)Ability of the SDO rules and procedures to ensure efficient standard development
Initiating a standard development process
1.How is a standard development activity initiated? What are the threshold requirements for initiating standards development - e.g. request by member(s) of your organization, numbers of interested parties in support, formal process required?
Standards projects are started when there is a need for an idea or concept to be standardized. The idea or concept can be broad or very specific. However, no standard is developed by one person alone; ultimately group collaboration and consensus is required. This is where the sponsor comes into the picture. The sponsor is the organization that assumes responsibility for a particular standards idea within IEEE. The sponsor provides technical oversight for the standard. It also determines the scope and nature of the technical content. Sponsors for IEEE standards are traditionally IEEE Societies and Committees. Standards Coordinating Committees (SCCs), the Corporate Advisory Group, and even the Standards Board can be a sponsor as well.Officially, a standards project does not exist until a PAR is approved. However, often the members of a potential working group will have gathered to work on a PAR and to gain the support of their potential sponsor. This type of gathering, known as a study group, can exist for up to six months before a PAR needs to be submitted. (Of course, new PARs can be developed by existing working groups as additional projects as well.)
A PAR is a small, structured, and highly detailed document that essentially states the reason why the project exists and what it intends to do. Many groups treat the PAR as their permission to move forward (which, in fact, it is).
(Excerpt from )
2. Does your SDO create a preliminary draft standard, provide background research or a preliminary review of relevant standards? If not, are stakeholders enabled to bring a draft standard into the standards process?
No, IEEE does not create a preliminary draft standard, provide background research or a preliminary review of relevant standards.Stakeholders are enabled to bring draft recommendations to either a study group for the purpose of PAR development or to the Working Group for inclusion in a draft standard.
(Response provided by GEC project team)
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SDO Assessment Questionnaire
Group processes
3. Describe the structure and required steps of your standards development process in the table below. Please list all stakeholder bodies utilized in your SDO (e.g. Working Group, Balloting Group, subgroup, etc,) and provide the associated information for each body.
Stakeholder Body(ies) (provide list) / Describe how is Membership Constituted? (Appointed or open? Limited in size? If open, does membership close at some point?) / Scope and Responsibilities? Typical time/resource commitment required? / Defined as the Consensus Body[1] by ANSI? (yes/no) / Voting Threshold (definition of consensus)? (%)Study Group / A Study Group is formed as a subgroup of the Sponsor, and is subject to all relevant operating procedures concerning subgroups of the Sponsor and its parent bodies, including the IEEE-SA Standards Board (IEEE-SASB).
A Study Group will have a Chair, appointed by the Sponsor.
(Excerpt from )
As soon as practical after formation of the Study Group, the Chair shall distribute a call for participation in the Study Group. The call should be distributed both within Sponsor channels and through other means at the disposal of the Sponsor to ensure materially interested parties have the opportunity to participate.
(Excerpt from ) / The purpose of the Study Group is:
- To determine whether sufficient interest and resources exist to develop an IEEE draft standard, and
- If so, to develop a draft PAR for the proposed project.
(Excerpt from )
Working Group / Working Groups are open groups. They are comprised of individuals for individual standards projects or representatives from entities (such as corporations, government agencies or academic institutions) for corporate standards projects. All participating in working groups have technical expertise, knowledge and dedicated interest in the technology being standardized in the standard.
Working Groups meet and make technical decisions in the process of developing standards. Those participating in working groups have strong technical knowledge and expertise in the subject matter of the standard project, and understand and respect diverse points of view. Individuals and corporations in working groups work collaboratively to reach consensus in order to move the project to sponsor ballot and ultimately IEEE Standards Board approval.
Excerpt from / The Working Group organizes to prepare and develop the standard.
(Excerpt from IEEE myTools) / No / Current EASC WG P&Ps – 75%
Draft updated EASC WG P&Ps – 66.7%
Balloting Group / IEEE Standards balloting groups shall be formed by means of ballot invitations conducted by the IEEE Standards Balloting Center. A ballot invitation is sent to all parties known by the Sponsor to be interested in the subject matter of the proposed standard. Information about IEEE Standards Sponsor ballot invitations shall also be made available at the IEEE Standards website to allow additional interested parties the opportunity to participate.
Ballot invitations shall remain open for a period of no less than 15 days. Those who respond affirmatively to the invitation during the period in which the ballot invitation is open and who otherwise fulfill the criteria in both subclause 5.2.2.3 of the IEEE-SA Standards Board Bylaws and 5.4.1 shall become members of the balloting group for that proposed standard. If a ballot does not open within 6 months of the invitation close date, the ballot group will be considered invalid and the Sponsor shall conduct a new invitation. Once the ballot has begun, no changes shall be made to the membership of the balloting group.
(Excerpt from IEEE-SA Standards Board Operations Manual subclause 5.4.2 ) / The standards balloting process consists of Sponsor balloting group members casting votes, with or without accompanying comments, in one or more successive ballots until completion of the standards balloting process. Sponsor balloting group members shall submit votes and comments in a manner and in a format compatible with approved IEEE Standards Association balloting tools.
(Excerpt from IEEE-SA Standards Board Operations Manual subclause 5.4.3) / Yes / 75%
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4. Do you limit the time involved in any phase of the development of a standard?
Study Group -a study group, can exist for up to six months before a PAR needs to be submitted(Excerpt from )
Working Group and Balloting Phases - If a standards project has not been completed by the four-year deadline authorized in the PAR and the Sponsor determines that the project should remain active, the Sponsor shall complete the IEEE-SA Standards Board Extension Request Form and submit it to the NesCom Administrator. NesCom will make a recommendation to the IEEE-SA Standards Board whether or not to approve the extension to the PAR. A PAR extension may be granted for one or more years.
(Excerpt from IEEE-SA Standards Board Operations Manual subclause 5.2 )
5.How do you enable international participation and mange meetings across multiple time zones and languages?
No specific information found.(Response provided by GEC project team)
6.Do you have baseline policies and procedures that all groups must follow? To what extent can these baseline policies and procedures be modified by groups?
The Sponsor shall be responsible for the development and coordination of the standards project, and for supervising the standards project from inception to completion. The Sponsor also shall be responsible for the maintenance of the standards after their approval by the IEEE-SA Standards Board. As part of this responsibility, each Sponsor shall operate in accordance with a written set of policies and procedures (P & P) that have been accepted by the IEEE-SA Standards Board. Such P & P shall not be in conflict with the IEEE-SA Standards Board Operations Manual. Sponsors should note that there are model operating procedures (e.g., individual, entity, SCC Type 1, or SCC Type 2) available for use by the Sponsor.(Excerpt from IEEE-SA Standards Board Operations Manual subclause 5.1.1 )
If a Working Group (WG) was created for technical development work on a standard, ensure that a written set of WG policies and procedures (P & P) is created and approved by the Sponsor. Such P & P shall not be in conflict with the IEEE-SA Standards Board Operations Manual. Sponsors should note that IEEE-SA Standards Board maintains a baseline WG P & P, and may occasionally request to review a Sponsor's WG P & P for alignment.
(Excerpt from IEEE-SA Standards Board Operations Manual subclause 5.1.2)
7.Is 2/3 approval by the Consensus Body sufficient to approve a standard?
No. Note that the Consensus Body in IEEE is the balloting group.(Response provided by GEC project team)
A minimum of 75% of those voting Approve or Do Not Approve (Negative with comment) must approve the draft in order to submit the ballot result to the IEEE-SA Standards Board.
(Excerpt from IEEE-SA Standards Board Operations Manual subclause 5.4.3.5 )
2)Ability of the SDO rules and procedures to effectively ensure that the consensus body represents a balanced group of stakeholders
8.Please provide your specific policies on stakeholder balance and an overview of the methods you use to ensure and enforce balance requirements?
Balloters are required to classify their relationship to the balloting group relative to the scope of standards activity (for example, producer, user, and general interest). Where appropriate, additional classifications, such as "testing laboratory" or "academic," may be added by the Sponsor. This decision should be based on the effect the standard may have on participants not already recognized by the primary classifications. Individuals classify themselves based on their technical background, which may be related to their employment, job functions, or experience. IEEE-SA entity balloters are classified based on their entity interest as it relates to the scope of the standards project (for example, producer, consumer, general interest). No single classification (interest category) is permitted to constitute more than one-third of the balloting group membership. Care shall be taken to ensure that all classes of interest are represented to the extent possible.It is desirable to have representation of the materially interested and affected parties when reviewing the balance of the balloting group. Sponsors shall ensure balance prior to conducting a Sponsor ballot. Balloting groups of individuals should have at least 10 members to ensure adequate balance.
(Excerpt from IEEE-SA Standards Board Operations Manual subclause5.4.1 )
In the negotiation with IEEE regarding the sponsor P&Ps it was stated by IEEE AudComm that the SASB, notthe sponsor committee (EASC),holds authority to take action to protect balance in the balloting group. The approved sponsor P&Ps read as follows:
The EASC shall review the ballot group for balance and possible dominance before ballotingbegins. If it is determined that the ballot group may be dominated (as evidenced by an undulyhigh proportion of individuals employed by or affiliated with a single entity or from a particularballoting classification), the EASC shall recommend remedial actions to the IEEE-SA StandardsBoard to ensure a fair and open ballot. Such remedial actions may include:
- Evaluating the interest category classification of balloters and addressing anyinaccuracies
- Recruiting additional balloters to join the balloting group from other non dominantinterest categories,
- Limiting the number of balloters per organization
- Other options as appropriate.
(Approved EASC P&Ps, section 8.)
(Response provided by GEC project team)
9.Do you limit voting membership in a Consensus Body? If so, how?
Interested or affected persons who pay the appropriate fees associated with voting privileges may join the balloting group for a specific standards project. Once the ballot has begun, the balloting group is closed to additional participants.(Excerpt from IEEE-SA Standards Board Operations Manual subclause5.4.1 )
The balloting group shall consist of persons who are members of the IEEE-SA [Note: The balloting group may also include non-IEEE-SA members that pay the appropriate per-ballot fee (see subclause 5.4.1 of the IEEE-SA Standards Board Operations Manual)].
(Excerpt from IEEE-SA Standards Board Operations Manual subclause 5.2.2.3 )
10.How are conflicts between openness and balance managed if a stakeholder category attempts to dominate the Consensus Body?
See response to Question #8.(Response provided by GEC project team)
3)Ability of the SDO rules and procedures to effectively ensure that a single interest group cannot block action or dominate the voting
11.Please provide your specific policies on stakeholder balance and an overview of the methods you use to ensure and enforce balance requirements?
This is addressed through procedures outlined in the Sponsor and Working Group P&Ps.For Sponsor P&Ps, relative to the balloting group see response to Question #8.
ForWorking Group voting the following is from the draft Working Group P&Ps which are not yet approved by the IEEE:
The working group Chair or Co-Chairs may appoint a voting member, hold the application pending further information, reject an application, or take other such action as deemed necessary. Appointment shall be based on:
1)Maintaining a balance of stakeholder category representation within the membership.
(And further) Balance is considered achieved if no single interest category constitutes more than one third of the membership of the working group.
Please note, however, the IEEE AudComm has requested removal of these provisions forbalance of stakeholder categories as a requirementworking group membership since they desire that working groups be open to all.
(Response provided by GEC project team)
12.Do you have processes to prevent a minority from frustrating the wishes of the majority? If yes, please describe.
The Chair, Co-Chairs or designee shall: Determine if the working group is dominated by an affiliate block (stakeholder group, organization, company, consortium, special interest group, etc.) and if so work with the EASC Co-Chairs to take corrective action(excerpt from draft WG P&Ps submitted to IEEE; section 6.5.1)
4)The lack of financial barriers to participate
13.Are there fees or other conditions (e.g. organizational membership) to join the Consensus Body or participate in any way?
Balloting Group. Interested or affected persons who pay the appropriate fees associated with voting privileges may join the balloting group for a specific standards project. Once the ballot has begun, the balloting group is closed to additional participants.(Excerpt from IEEE-SA Standards Board Operations Manual subclause 5.4.1 )
14.Are there fees for services offered in questions #17 & 18 (in section 5 below)? If yes, please explain.
None. The IEEE does not provide facilitation, however they do provide support and use of the web site for balloting, document storage and other communication services.(Response provided by GEC project team)
15.Are there fees for other services you provide during the process?
None.(Response provided by GEC project team)
16.What is generally the cost to purchase a finalized standard?
IEEE 1680-2009 - $69IEEE 1680.1-2009 - $74
IEEE P1680.2/D7, May 2012 - DRAFT - $93
IEEE P1680.3/D7, May 2012 - DRAFT - $72
5)Processes that use trained facilitators and group leaders and that provide good technical and process support for the questions being addressed by stakeholders
- What facilitation, management, technical and other support services for the standards development process do you provide?
IEEE provides a variety of tools to support standards development such as:
- myProject balloting system
- website for posting/sharing documents (grouper.ieee.org)
- Meeting Attendance Tool (IMAT)
- Do you have training for facilitators and group leaders or for all stakeholders?
None known.
(Response provided by GEC project team)
6)Compatibility of processes with the development of an environmental leadership standard, including approach to commercial terms