Standards Committee

I. Purpose

The Standards Committee is responsible for initiating and facilitating the development of standards;* providing review and comment on standards that are relevant to archival theory and practice; educating the archives community about the value and role of standards; maintaining and updating the SAA Standards Portal; and partnering with related information management professional organizations on standards of mutual concern and interest.

* For the purposes of this document, the term "standards" includes standards, technical standards, conventions, rules, guidelines, and best practices. See Standards Development and Review for more information.

II. Committee Selection, Size, and Length of Term

The Standards Committee consists of nine appointed members (including two co-chairs) appointed by the SAA vice president / president-elect for staggered three-year terms. The Committee also shall include ex officio members, including chairs of all technical subcommittees and development and review teams that report to the Standards Committee, representatives of other SAA groups whose interests and activities closely interact with those of the Standards Committee, and members who serve as SAA's representatives to external organizations that deal with matters within the Committee's area of concern. Ex officio members shall include:

The SAA vice president / president-elect annually appoints three members based on recommendations from the Standards Committee co-chairs, whose terms begin at the end of the Annual Meeting. The co-chairs are appointed for staggered two-year terms, and are normally appointed based on the recommendation of the co-chairs by the vice president / president-elect from among the current and previous members of the Committee. Following the co-chair's two-year appointment, the co-chair shall become an ex officio member for one year.

Technical subcommittees. The Standards Committee may recommend that the SAA Council form (and disband) technical subcommittees. The SAA Council may charge a technical subcommittee to oversee SAA-developed standards. Technical subcommittees are responsible for the maintenance and review of the assigned standard (which requires that they monitor all feedback and calls for revision of the standard) and for promoting the standard and educating appropriate communities about it. Technical subcommittee chairs serve as regular or ex officio members of the Standards Committee.

With the recommendations of the Standards Committee co-chairs, the SAA vice president / president-elect appoints technical subcommittee chairs and members. Technical subcommittee members must have expertise related to the standard that they are responsible for maintaining. Technical subcommittees are ongoing as long as the adoped standard remains in use. Technical subcommittee chairs serve as regular or ex officio members of the Standards Committee.

Development and review teams. The Standards Committee may recommend that the SAA Council form (and disband) development and review teams to research and develop a specific standard, review a specific standard, study the need for a standard, or address a particular topic. Development and review teams are ad hoc and will be charged for an appropriate period of time as determined by the Council in consultation with the Standards Committee, not to exceed three years, and with the possibility of renewal.

With the recommendations of the Standards Committee co-chairs, the SAA vice president / president-elect appoints development and review team chairs and members. Development and review team members must have expertise related to the topic being addressed, and will most often be from the group that proposed the original project. Development and review team chairs serve as regular or ex officio members of the Standards Committee.

III. Reporting Procedures

The Standards Committee reports to the Council, providing a formal written report annually and reporting on special initiatives as necessary or requested. The co-chairs are responsible for coordinating the formulation and evaluation of the annual report and other planning documents as needed in consultation with Standards Committee members. The chair of each current technical subcommittee and development and review team is responsible for preparing and submitting an annual report of the group's activities to the Standards Committee co-chairs.

IV. Duties and Responsibilities

To fulfill its mission as described above, the Standards Committee is specifically charged to:

  • Oversee the process of standards development by identifying standards needs; recommending to the Council the establishment of technical subcommittees or development and review teams, as necessary, to research, prepare, monitor, and review standards; and recommending action on proposed standards to the Council.
  • Ensure that the SAA Standards Portal is maintained and updated on a timely basis.
  • Develop, implement, and periodically review a profession-wide plan to address all standards needs across all the core competencies of the profession.
  • Monitor and review, and recommend for endorsement when appropriate, other national and international standards that affect archival practice.
  • Implement a process for the periodic review of all standards that are relevant to archival theory and practice.
  • Conduct maintenance reviews of SAA-adopted standards in accordance with established review cycles.
  • Publicize and promote standards-related news and information to the archives community.
  • Work in concert with the Program and Education committees and SAA staff to endorse and develop workshops, conference programs, and other educational opportunities related to archives standards.
  • Collaborate with international and national associations on standards development projects, with an understanding that the SAA Council must approve in advance all contractual and financial obligations.
  • Coordinate the work of SAA representatives to standards organizations.
  • Investigate for all SAA-developed standards the feasibility of adoption by the American National Standards Institute as a national standard.

VI. Meetings

The Standards Committee meets once per year at the SAA annual meeting. Depending on operational need and contingent on SAA Council funding, the Committee or subgroups of it may meet midyear. Periodic conference call meetings may be scheduled as needed. Although regular meetings are open to any SAA member who wishes to attend, the Committee shall also hold public meetings as needed at the SAA annual meeting to report on the progress of ongoing standards development or to review projects and to receive questions and suggestions.

 

Approved by the SAA Council: June 1991 (for a period of three years); June 1992, extended to June 1995
Revised: June 1998, February 2010, January 2011, January 2012, August 2013, November 2018.

Standards Development and Review

Responsibilities of the Standards Committee

A primary responsibility of the Standards Committee is to oversee the process of initiating, developing, reviewing, and approving all standards developed by the Society of American Archivists through its subgroups, as well as reviewing standards submitted by external groups to SAA for its endorsement.

The Standards Committee works with groups on standards and standards-related projects from the initiation of the proposal, through development or review, to submission of the standard to the SAA Council for final approval.

For additional information about Standards Committee procedures:

Standards

The SAA Standards Committee defines a “standard” to be an industry agreement that establishes qualities or practices that make possible sharing of information, development of common vocabularies and practices, and more effective interaction among archivists, librarians, records managers, information managers, preservation administrators, historians, and other allied professionals. SAA standards must be approved by the SAA Council and they are maintained and periodically reviewed by professionals in the community.

Standards of many types are now central to archival practice. This document will generally use the term “standards” to refer to all of these types, including standards used in automated information systems, in preservation management, and in other technical areas, as well as standards and guidelines relating to professional practice.

Standards can take many forms:

  • The most exacting are technical standards (e.g., Z39.50, the standard for intersystem data searching and retrieval) which, if applied correctly, can be expected to produce uniform and consistent results.
  • Conventions or rules are more flexible and can accommodate more variation in local practice (e.g., Describing Archives: A Content Standard [DACS]). They will produce similar, but not necessarily identical, results when applied consistently.
  • Guidelines provide models of preferred practices and/or serve as criteria against which to measure products or programs (e.g., Archival and Special Collections Facilities Guidelines for Archivists, Librarians, Architects, and Engineers).
  • Best practices are procedures and guidelines based on experience and research that demonstrate that they are optimal and efficient means to produce a desired result.¹ Best practices represent consensus on archival practice.

The Standards Committee will not be concerned with the creation and maintenance of thesauri.

Developing Standards within SAA

The Society of American Archivists recognizes the central importance of consensus to the development of standards. However, consensus on a specific standard may not always equate with unanimous and unqualified approval by all concerned, for in most cases this will be difficult to achieve.

The Standards Committee procedures for standards development within SAA mandate broad review of any proposed standard by all groups, both inside and outside of SAA, that have an interest in the standard. Important features of the review process are:

  • Establishment of the need for the standard through a formal "request for initiation of a standards project";
  • Publication of notices in appropriate SAA media about initiation and ongoing progress in standards development projects;
  • Publication and/or distribution of full texts of proposed standards by the SAA office; and
  • Formal invitations to representatives from outside organizations to participate in the development and/or review of drafts of proposed standards.

The Standards Committee is concerned both with the development of new standards and with the process of standards maintenance and review.

The best possible effort will be made to ensure that all reasonable opinions are considered in the development process and that most disputes are resolved before a document is deemed ready for the Council's consideration as an SAA standard.

Final adoption of a document as an SAA standard rests with the Council of the Society of American Archivists.

Once a standard is adopted, an ongoing technical subcommittee of the Standards Committee is assigned maintenance responsibilities to ensure that the document is promulgated widely, monitored in its application, and reviewed (and, if necessary, revised) on a regular schedule.

The Standards Committee has prepared detailed procedures for standards development and review.

SAA also plays an important role as a participant in work undertaken by other organizations that develop technical standards, such as the National Information Standards Organization (NISO) and the Association for Information and Image Management (AIIM).

For Information or Assistance

The Standards Committee is ready to assist any SAA subgroup or outside organization to devise a strategy for developing a new standard or for reviewing and/or revising an existing document so that it can be considered for formal adoption as an SAA standard. Please contact the co-chairs of the Standards Committee for further information. [Member Roster]

 

Approved by SAA Council: June 1995
Revised: February 2010, January 2012, October 2023

 


¹ The Standards Committee has modified the best practice definition from: A Glossary of Archival and Records Terminology. Retrieved May 26, 2009, from: http://www.archivists.org/glossary/term_details.asp?DefinitionKey=1770

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Procedures for Review and Approval of an SAA-Developed Standard

I. Submission of a Proposal for a Project to Create, Revise, or Review an SAA-Developed Standard

Proposals must be submitted by official groups within the SAA. Individuals interested in the development of a standard may consult with the Standards Committee about groups that are appropriate for submission of a standards proposal.

I.A. The proposing group shall:

Complete and submit the PROPOSAL FOR STANDARDS DEVELOPMENT form. The form shall include:

  • Name of sponsoring group and name of individual to contact;
  • Concise statement of identified need for standard;
  • Expected effect/impact on individuals and institutions;
  • Scope of coverage/application;
  • Anticipated format and content of the standard;
  • Known existing standards that are closely related to or affected by the proposed standard;
  • List of other SAA subgroups, outside organizations, and experts who will be consulted during the development or will be asked to review the standard before it is submitted for adoption by the SAA Council;
  • Time table for development process; and
  • Budgetary implications for SAA, including direct costs for meetings, travel, copying, and postage as well as indirect costs for SAA staff time.

I.B. The Standards Committee co-chairs shall:

I.B.1. Acknowledge receipt of the STANDARD PROPOSAL FORM to the proposing body and notify the Standards Committee of the proposal submission.

I.B.2. Distribute copies of the STANDARD PROPOSAL FORM to the other members of the Standards Committee, including the subgroup chairs and the SAA Council liaison. Subgroup chairs may distribute the proposal to their technical subcommittee or development and review team for comment.

I.B.3. Collect comments and suggestions from members of the Standards Committee and other subgroups to which the proposal was distributed.

I.B.4. If comments warrant further discussion, arrange for communications to determine if there is a consensus to endorse the proposal.

II. Standards Committee Action in Response to Proposal

The Standards Committee will take a formal vote in response to the proposal, and will take one of the following actions in response to a proposal, as appropriate:

II.A. Return for revision

The Standards Committee will return to the proposing group a STANDARD PROPOSAL FORM that is incomplete or that requires revision and request that it be revised and resubmitted.

II.B. Decline proposal

The Standards Committee may decline to recommend undertaking a standards project because

  1. A similar standard already exists;
  2. The proposed standard is in direct conflict with an SAA-adopted standard or policy;
  3. Another group is already working on a similar standard (in which case the Standards Committee will suggest that the two parties work together toward common ends);
  4. There is insufficient demand or potential benefit to SAA members to warrant the expense of its development;
  5. The proposed standard does not fall within the scope of the Standards Committee.

The Standards Committee will forward all declined proposals to the SAA Council along with the reason why the Standards Committee does not recommend the proposal. The proposing group may file an appeal with the SAA Council within 60 days of notification by the Committee.

II.C. Submit request for Council approval to undertake project

If the Standards Committee is satisfied with the proposal, it will be submitted with a recommendation by the Committee to the Council for final approval. The Standards Committee will send the STANDARD PROPOSAL FORM and any accompanying correspondence or other documentation to the SAA Council for approval to undertake the project.

If the SAA Council approves the project, the following actions shall occur:

II.C.I. Announcement of standards project.

The Standards Committee will publish a “Notice of Intention to Initiate a Standards Development Project” via all appropriate SAA media. This step is taken to notify the membership that a project will soon be under way and to solicit comments and participation from interested parties. Official project approval will be granted automatically 30 days after publication of the "Notice" unless the comments received by the Standards Committee co-chairs are such that the proposal warrants reconsideration, in which case the Committee will refer the proposal and comments back to the proposing group for review and response.

II.C.2. Make assignment to primary group for development.

For approved standards development projects, the Standards Committee co-chairs will prepare a draft charge for the development and review team and make recommendations for its membership. In most cases, the members of the proposing group will be included in the recommendation for membership of the development and review team. The charge must then be approved by the SAA Council before the SAA vice president / president-elect appoints the chair(s) and members of the development and review team. Once the standard is adopted, the team will be disbanded by the SAA Council and the Council will create a technical subcommittee to maintain and review the adopted standard (see V.C.I.).

III. Standards Development Process

In the course of developing a new standard, development and review teams shall complete the following actions:

III.A. Consultation with other SAA subgroups and external organizations

The development and review team will engage in extensive consultation with interested parties inside and outside of SAA that are essential to the development of standards, and must submit to the Standards Committee evidence that such consultation has taken place. The development and review team must address all written comments sent to the group and all comments made at an SAA open meeting. The Standards Committee will assist the development and review team in publicizing the project and identifying consultants.

Consultation should be pursued through several means, such as:

III.A.1. Letters sent at the beginning of the project to heads of organizations known to have an interest in the standard under development, inviting their comments and/or participation in the development process, as appropriate.

III.A.2. Publication of notices in the newsletters or on the websites of these organizations about the intention to develop the standard and, later, providing updates on the progress of the development project.

III.A.3. Publication of the draft standard in appropriate SAA media.

III.A.4. Publication of the draft standard in external publications and/or circulation of the draft standard to heads of interested organizations.

III.A.5. Circulation of the draft standard to groups and individuals, inside and outside of SAA, with particular interest or expertise in the topic, including posting on electronic networks.

III.A.6. Joint meetings with interested organizations to discuss common concerns. These meetings could occur at the outset of the project or after circulation of a draft standard.

III.A.7. Open forums or hearings at the SAA annual meeting.

III.B. Preparation of the package containing the final draft of the standard and supporting documentation

Once it has completed the consultation process and prepared the final draft of the standard, the development and review team will compile a package to forward to the Standards Committee for its review. This package will include:

III.B.1. Full text of the proposed standard.

III.B.2. Introductory narrative.

This section must include the scope of application, in particular:

  • The purpose or objective of the proposed standard and
  • The specific audiences, circumstances, or techniques to which it is directed.
  • It should also contain background and other supplementary information, as necessary, that can provide a context for understanding how the standard was developed and when and how it will be used, including
  • Brief history and methodology of its development,
  • Participants in the development process,
  • Relationship to predecessor documents,
  • Significant changes from earlier versions,
  • Glossary or definitions of terms, if necessary,
  • Illustrations or examples of how the standard can be applied, and
  • Bibliography, if necessary.

III.B.3. Documentation of the consultation process.

The development and review team must submit documentation that the consultation process has taken place and that a reasonable agreement has been reached on the contents and intent of the proposed standard. This evidence may take the form of:

  • Copies of correspondence from other organizations supporting the proposed standard;
  • Clippings from publications and/or websites that publicized the development project or published drafts of the standard;
  • Copies of correspondence discussing areas of dispute in the proposed standard;
  • In case of unresolved disputes, explanations from the group responsible for development of efforts made to accommodate the expressed concerns and/or justification for approving the standard in the absence of universal agreement.

III.B.4. Maintenance and review plan.

The development and review team must recommend a plan for maintenance and review of the standard it has developed. Standards developed by SAA will be assigned to a component group, such as a technical subcommittee, for necessary maintenance and review. Each will be either assigned to a review cycle of no more than 5 years, or approved for ongoing review. At the end of a set review cycle, the SAA Council will be asked by the Standards Committee to reaffirm, revise, or rescind the standard. The "Maintenance and Review Plan" will suggest the appropriate subgroup for assignment and type of review process. (See V.C. - V.E.)

III.C. Notice of abandoned project

In the event that the development and review team fails to reach general agreement on a draft standard or, for whatever reason, chooses to discontinue its work on the proposed standard, it shall notify the Standards Committee that it has abandoned the project. The Standards Committee shall publish a notice in appropriate SAA media that the project has been discontinued.

IV. Standards Committee Review of Draft Standard

Upon receiving the final draft package from the development and review team, the Standards Committee will take the following actions:

IV.A. Review package

The Standards Committee will review the package to ensure that it is complete and that adequate consultation and review have taken place. It may return the package to the development and review team if significant elements are missing.

IV.B. Notice of project completion/publication of revised draft standard

IV B.1. Notice of project completion.

When the final draft package is deemed complete, the Standards Committee will publish a notice in the appropriate SAA media announcing that the standards development project has been completed and the draft standard has been forwarded to the Council. (See IV.C.)

IV B.2. Publication of revised draft standard.

Based on the substance of the revisions, the potential breadth of impact, and any apparent remaining substantive conflicts on content, the Standards Committee may determine that the entire revised text should be published via an appropriate SAA medium in order to ensure the broadest possible participation in and awareness of the standards development process. The Standards Committee will accept written comments on the revised draft addressed to the Standards Committee co-chairs within 30 days of publication of the revised draft or notice of the availability of the revised draft.

If additional comments received after publication of the revision indicate widespread disagreement about the revised draft within the SAA membership, the Committee may determine that the draft should be referred back to the development and review team for response. Substantive changes to the draft standard as a result of these additional comments may require publication of a new "Notice of Completion" and notification or publication of a new revised draft.

The Standards Committee may determine that issues raised in the additional comments were already addressed adequately during the development and consultation process. The Standards Committee will then publish the notice of completion and forward the package to the SAA Council.

IV.C. Recommendation to the SAA Council

At the conclusion of the development process, the Standards Committee will send to the SAA Council a report on the process and a recommendation.

IV.C.1. Recommendation to consider adoption.

When the Standards Committee is satisfied that the development and consultation process has been completed satisfactorily it will, after publication of the notice, forward the package to the SAA Council with a recommendation that the Council consider adopting the draft document as an official standard of the Society of American Archivists.

IV.C.2. Report on "irreconcilable differences."

After reviewing all documentation, the Standards Committee may determine that disagreements raised represent substantive irreconcilable differences of views or professional positions. In this situation, the Standards Committee will forward the package to the SAA Council with an explanation of the remaining problems and, depending on the type of standard and breadth of impact, may or may not recommend that the Council consider adopting the draft as an official standard of the Society of American Archivists.

V. Promulgation, Maintenance, and Review of Adopted Standards

The Standards Committee shall ensure that the following actions are taken for each standard that is formally adopted by the SAA Council. Often the group that developed the standard will be actively involved in or have primary responsibility for these activities.

V.A. Publication of the standard

V.A.1. Full text in the SAA newsletter.

The preferred method of publication will be to publish the full text of the adopted standard in the Society’s newsletter and on the SAA website.

V.A.2. Notice of availability in newsletter.

Some standards may be too long to publish in the newsletter. For these, a notice of their approval and a summary of their contents will be published in the next SAA newsletter and/or on the SAA website, along with information about how to obtain a copy from the SAA website.

V.A.3. Added to Standards Portal webpage.

SAA staff will post all formally adopted standards on the Standards Portal webpage with the following information: 1) the name of the standard, 2) a description of the standard, 3) a link to the full text of the standard or a description of where the standard can be obtained, 4) the date on which the standard was adopted, 5) next review date of the standard, 6) information about how comments and feedback for revision can be submitted, and 7) any additional supporting documents or information.

V.B. Promotion of the standard

V.B.1. Notice to heads of allied professional organizations.

The SAA president and/or executive director will send a letter and copy of the adopted standard to all interested outside organizations to notify them of SAA's action. The Standards Committee will assist the group that developed the standard in drafting the letter and identifying which groups to contact.

V.B.2. Press release to editors of professional journals and newsletters.

The executive director will, in cooperation with the Standards Committee and development and review team, ensure that a press release is distributed to editors of allied professional journals and newsletters to announce the development and approval of the standard, providing its full text when possible.

V.B.3. Other publicity.

For standards of interest beyond professional circles, the executive director, Standards Committee, and development and review team will determine how best to publicize their approval. Working in concert with the Program and Education committees and the SAA staff, the Standards Committee will assist the subgroup in developing workshops, conference sessions, or public forums on the new standard.

V.C. Maintenance of the standard

Immediately upon adoption of an SAA standard, the following actions shall occur:

V.C.1. Technical subcommittee responsible for maintenance and review assigned.

As part of the approval process, the SAA Council will assign the standard to an ongoing SAA component group for maintenance and review. An SAA technical subcommittee may be established for this maintenance and review. The Standards Committee co-chairs will prepare a draft charge for the subcommittee and make recommendations for its membership. In most cases, the members of the development and review team who were actively involved in the development of the standards will be included in the recommendation for membership of the technical subcommittee. The charge must then be approved by the SAA Council before the vice president / president-elect appoints the chair(s) and members of the subcommittee.

V.C.2. Review cycle set.

All adopted SAA standards will be either assigned a review cycle of no more than five years, with a formal review commencing no later than three years following adoption or reaffirmation (section V.D.), or approved for ongoing review (section V.E.). However, in both situations, comments and revisions to the standard and proposals to revise adopted standards may be submitted at any time. At the end of an assigned review cycle, the SAA Council will be asked to reaffirm, agree to revise, or rescind the standard.

V.C.3. Monitoring and promulgating use begins.

The maintaining technical subcommittee will be responsible for promoting the proper and effective use of the standard and will regularly obtain comments and feedback on the standard for future review and revision.

V.D. Cyclical review of the standard

At least two years before the review cycle expires, the Standards Committee will notify the maintaining technical subcommittee that it should initiate a formal review of the content and use of the standard. The following actions shall be taken:

V.D.1. Review plan prepared.

In consultation with the Standards Committee, the technical subcommittee will prepare a plan that will ensure consensus using the same kinds of broadly based consultation and review that occurred when the standard was originally developed. The plan may include:

  • Other SAA subgroups and interested organizations outside of SAA that the technical subcommittee plans to consult;
  • Proposed joint meetings with some of these subgroups and/or organizations to discuss proposed revisions;
  • Proposed public hearings at the SAA Annual Meeting;
  • Proposed publications, websites, or other communication media via which comments and proposed revisions will be submitted and be made publicly available; and
  • Financial resources needed for review, such as travel or editorial support.

V.D.2. Standards Committee and SAA Council review plan.

The technical subcommittee will submit the plan to the Standards Committee, at which point the Standards Committee will decide whether the review process is adequate. If significant financial resources are required for review, the Standards Committee will forward the plan to the SAA Council with a recommendation for funding.

V.D.3. Recommendation to revise, reaffirm, or rescind the standard.

Once the review plan has been approved, the technical subcommittee will commence the formal review. When adequate consultation has taken place, the technical subcommittee will recommend one of the following:

Revise the standard: Revision will be necessary if substantial changes to the standard are required.

Reaffirm the standard: The technical subcommittee may decide that a standard does not need revision at this time if comments are relatively minor and the standard is still current and widely used. The technical subcommittee may also delay revision while awaiting the development or revision of another standard or project that may affect the standard under review.

Rescind the standard: The technical subcommittee may recommend rescinding the standard if the standard is no longer relevant or another standard has replaced it.

V.D.4. Recommendation to the SAA Council

The maintaining technical subcommittee will submit a package to the Standards Committee containing its recommendation to reaffirm, revise, or rescind the standard along with documentation about the review process (as in III.). If the technical subcommittee recommends revision, the technical subcommittee will also submit a completed proposal form (as in I.A.2.).

V.D.5. The Standards Committee will review the package to ensure that the review plan was adequate. Assuming that no procedural questions remain unresolved, it will forward the package to the Council with the recommendation to reaffirm, revise, or rescind.

V.D.6. The SAA Council votes on whether to reaffirm, revise, or rescind the standard.

If the Council votes to revise the standard, the technical subcommittee will continue the revision work. Once the revision has been completed, the technical subcommittee will follow the same process for submission and approval of a new standard, as outlined in sections III.B. and later.

If the Council reaffirms the standard, a new review cycle will be set, which may be shorter than five years. A new technical subcommittee may be appointed, if necessary. The technical subcommittee and the Standards Committee will inform all relevant parties that the standard has been reaffirmed and does not require revision at this time.

Should the Council vote to rescind the standard, the technical subcommittee and the Standards Committee will inform all relevant parties that the standard has been rescinded. The Standards Committee will then either remove the standard from the standards webpage or mark the standard as "rescinded."

V.D.7. Notice and publication of reaffirmed, revised, or rescinded standards.

An information dissemination process similar to that outlined under V.A. and V.B. for new standards will be followed to ensure broad awareness of SAA actions concerning reaffirmed, revised, and rescinded standards.

V.E. Ongoing review of the standard.

Proposed revisions to a standard approved for ongoing review are reviewed and addressed as they are received by the assigned technical subcommittee. Ongoing review is particularly conducive to standards that are electronically published and thus easy to update. Major or minor proposed changes can be submitted at any time. In order to respond adequately and in a timely manner to proposals for change, the following actions should be taken:

V.E.1. Proposal for changes received.

Proposals may be submitted by SAA component groups (i.e., sections, committees, task forces, or working groups), by interested external organizations (e.g., the Rare Books and Manuscripts Section), or by individuals, or may be generated by the technical subcommittee itself. Proposals should include the following elements:

  • Name of the sponsoring group;
  • Identification of the component of the standard to be changed;
  • Brief description of the proposed change, and justification;

All proposals should be submitted to the technical subcommittee responsible for the maintenance of the standard.

V.E.2. Technical subcommittee reviews proposals.

Upon receiving a proposal, the technical subcommittee responsible shall:

  • Conduct a preliminary review of the proposed change request to ensure that it is complete. Incomplete proposals will be returned to the submitting body. If there are no missing elements to the documentation, the technical subcommittee will acknowledge receipt to the proposer.
  • Evaluate if the proposed change should be considered a major or minor change.[1]
    • A minor change is one that does not affect the application or interpretation of the standard and would not result in a user’s current application of the standard being non-compliant.
      Examples may include:
      • Updating links in an appendix or standard
      • Updating crosswalks based on changes to adjacent/companion standards
      • Making typographical or grammatical corrections
      • Bug fixes
      • Patches
      • Making suggestions for use/providing use case examples
    • A major change[2] is one significant enough that it needs or would benefit from community and expert feedback. A general rule of thumb is that the change alters the application or interpretation of the standard either to the point of making the previously compliant use of the standard suddenly non-compliant or significantly altering the way in which the standard is implemented or taught.
      Examples may include:
      • Adding a new element (required or optional)
      • Deleting a required element
      • Making significant alterations to how an element is used (going from required to optional or optional to required) or how an element is defined to the point at which it would affect practical use
      • Creating a new appendix
      • Significant revision to preambles, principles, appendices
  • Distribute copies of the proposal to the other members of the technical subcommittee for their review and comment.
  • Determine the extent to which the proposal should be distributed for public comment.
  • Identify and add to the proposal:
    • Expected effect/impact on individuals, institutions, and supporting systems;
    • Known related standards affected by the proposed change.

[1] These definitions were inspired by Semantic Versioning, but do not completely align with the versioning guidelines put forth by it.

[2] In this context, a major change is a single significant change to the standard. This is distinct from a major revision, which is a revision to the standard as a whole or several major changes. Major revision requires utilizing the cyclical revision procedures (see V.E.7 for major revisions to continuous revision standards).

 

V.E.3. Consultation with other SAA subgroups and external organizations.

For proposals classified as major changes, external groups, particularly those directly impacted by a proposal, must be consulted during the review process. This should include informing the Standards Committee co-chairs of the proposal submission. Consultation should be pursued through several means, which may include:

  • Publication of the proposal on the technical subcommittee's SAA microsite.
  • Letters sent to heads of organizations or organizations, or to individuals, inside and outside of SAA, known to have an interest in the standard under revision, inviting their comments on a particular proposal.
  • Publication of notices in the newsletters or on the websites of these organizations about the proposed change.
  • Publication of the proposal in appropriate SAA media.
  • Publication of the proposal in external publications.
  • Joint meetings with interested organizations to discuss the proposal.
  • Open forums or hearings at the SAA Annual Meeting.

For proposals classified as minor changes, consultation with external groups is optional.

V.E.4. Recommendation to revise the standard.

Based on comments received from the community, the technical subcommittee may either reject the proposal, or develop a recommendation for changes to the standard. The draft changes may be based on both the original proposal and amendments developed during the review process. Change proposals should document changes in the standard in relation to the current text. Significant changes in the initial proposal by the technical subcommittee may require an additional period of consultation. The review and consultation process should be completed within six months of the submission of a proposal.

For major changes, once the draft changes have been finalized, the proposal packet should be forwarded to the Standards Committee together with documentation of the submission and consultation process. For minor changes, complete and submit to the Standards Committee the Minor Changes Form. 

V.E.5. Standards Committee review of recommended changes.

For proposals submitted as major changes, the Standards Committee will review the package to ensure that it is complete and that adequate consultation and review have taken place. It may return the package to the development and review team if significant elements are missing.

For proposals submitted as minor changes, the Standards Committee will review the package to ensure it is complete and meets the qualifications for a minor change. It may return the package to the development and review team if significant elements are missing or if it identifies the change as constituting a major change, in which case the technical subcommittee must follow procedures for revising a major change.

The SAA Council authorizes the Standards Committee to accept minor changes to official standards of the Society of American Archivists. Decisions must be reported in a timely manner to the SAA Council, which reserves the right to roll back the change.

V.E.6. Recommendation to the SAA Council.

For proposed major changes, the Standards Committee will send to the SAA Council a report on the process and a recommendation. This may be either a recommendation to consider implementation of the draft changes, or a recommendation against adoption. The decision to accept changes to official standards of the Society of American Archivists can only be made by the SAA Council.

When the draft changes documentation is deemed complete, the Standards Committee will publish a notice in the appropriate SAA media announcing that the draft changes have been forwarded to the Council.

V.E.6. Promulgation of revised standard.

If a major draft change is accepted by the SAA Council, or a minor change is accepted by the Standards Committee, the Standards Committee will publish a notice of the approval of the changes in the appropriate SAA media.

V.E.7. Major revisions or rescinding the standard.

In addition to managing proposals for revision, the technical subcommittee may also determine that the standard is no longer relevant or has been superseded, and may recommend that the standard be considered for major revisions or rescinded. The guidelines for cyclical review should be followed in developing such recommendations (see section V.D.). The SAA Council may also establish a deadline for reviewing the applicability and maintenance of standards at their discretion.

VI. Council Fast-Track Procedures

In some cases the SAA Council may initiate, or encourage/approve a component group to initiate, the standards development process for best practices documents without seeking prior approval from the Standards Committee.  In these cases a subgroup of the Council functions as the standard development and review team and the standards approval process begins at step III as described above.

SAA Expert Groups (as identified by the Council) may also create best practice and/or guidelines as supports the mission of the Society and its members. In these cases the Expert Group functions as the standards development and review team and the standards approval process begins at Step III. 

Revised June 1995, February 2010, January 2012, August 2013, May 2014, July 2016, January 2021.

Standards Creation/Revision Outline

This outline is designed to help Society of American Archivists (SAA) sections or groups who are sponsoring the creation of a new standard or the revision of an existing standard. This is not a substitute for the Procedures for Review and Approval of an SAA-Developed Standard, but it is designed to help navigate the process. References to the Procedures are included throughout the list, for more detailed information with the section and subsection number (ex: I.A. or III.C.1)

Please note: This outline is not for the Procedures for SAA Endorsement of an External Standard. That is a different (and slightly shorter) process designed for SAA approval of standards created or revised by external groups, task forces with representation from multiple organizations, or other non-SAA developed documentation.

Proposing a Creation/Revision

1. The proposing group(s) (which must be an official SAA group) must complete the proposal for standards development (I.A.)

  a. Note: Occasionally, creation or revision may begin with a different workflow, under the auspices of SAA Council. “Fast-tracked procedures” (VI) may be initiated by Council, but are still subject to review by Standards Committee, beginning with Section III of the Procedures and should follow the outline below starting at step 3.

2. Standards Committee reviews the proposal and may be in communication with the proposing group(s) for additional details (II.A)

3. Standards Committee recommends for Council to approve creation/revision process and forwards it to Council according to their meeting schedule/deadline for agenda items.

Do the Hard Work

4. Once Council has agreed that a proposal is approved for creation/revision, the Standards Development Process (III) begins. The group appointed to do the creation/revision will:

a. Consult with SAA groups and external organizations (III.A). This process should be documented for the submission packet later.

b. Draft the new or revised standard and supporting documentation (III.B) OR submit a notice of project abandonment (III.C).

c. Submit the packet (draft and supporting documentation) to Standards.

Standards Committee Review and Recommendation

5. Standards Committee reviews the submission packet and may be in communication with the group leading the creation/revision for additional details or information (IV.A).

6. Once the packet is complete, Standards Committee will make a recommendation and forward it to Council according to their meeting schedule/deadline for agenda items.

Council Approval

7Once the packet has been recommended to Council for approval of the creation/revision and Council has agreed, the group leading the creation/revision:

a. Will work with the Standards Committee and SAA Webmaster to add or update the standard on the Standards Portal (V.A.3).

b. Will assist in developing information to release through different channels to share the new or revised standard (V.B)

c. May participate in managing the revision cycle or ongoing maintenance (depending on how the standard is managed) (V.C.2). Details on cyclical review (V.D) and on-going review (V.E.) are part of the procedures.

You're Done!

8. Celebrate your success!


Continuous Revision Note

Some standards are on a continuous revision cycle and major and minor changes may be proposed at any time without a full revision proposal.

1. Technical subcommittees responsible for standards under continuous revision may submit a minor change to the Standards Committee as per Section V.E.2 using the minor change request form. Minor changes are approved by the Standards Committee and submitted to Council for notification at the end of each year, as part of the annual report.

2. The technical subcommittees responsible for standards under continuous revision may submit a major change to one or more parts of the standard following the guidance in Section V.D.

V.2 reviewed and approved by the Standards Committee, October 2023

Procedures for SAA Endorsement of an External Standard

Proposals must be submitted by official groups within the SAA. Individuals who are interested in submitting a proposal for the endorsement of an external standard may consult with the Standards Committee on appropriate groups to which they may wish to submit a proposal.

I. Submission of a Proposal to Endorse an External Standard

I.A. The proposing group shall:

Complete and submit the PROPOSAL FOR ENDORSEMENT OF AN EXTERNAL STANDARD form. The form shall include:

  • Name of the standard;
  • Brief summary of the standard;
  • Sponsoring organization;
  • Location of the standard (website link, publication details, etc.);
  • Effect/impact of the standard on archival practice;
  • A discussion of how the standard is being used in the archives profession (Who is using it? How is it being used? Is it widely used?);
  • Review and revision procedures of the standard (Who reviews the standard? How often is the standard reviewed? Is the review process open?); and
  • Known existing standards that are closely related to or affected by the standard being proposed for endorsement.

I.B. The Standards Committee co-chairs shall:

I.B.1. Acknowledge receipt of the ENDORSEMENT PROPOSAL FORM to the proposing body and notify the Standards Committee of the proposal submission.

I.B.2. Distribute copies of the ENDORSEMENT PROPOSAL FORM to the other members of the Standards Committee, including the subgroup chairs and the SAA Council liaison. Subgroup chairs may distribute the proposal to their technical subcommittee or development and review team for comment.

I.B.3. Collect comments and suggestions from members of the Standards Committee and other subgroups to which the proposal was distributed.

I.B.4. If comments warrant further discussion, arrange for a discussion to determine whether there is a consensus to endorse the standard.

II. Standards Committee Action in Response to Proposal

The Standards Committee will take a formal vote in response to the proposal, and will take one of the following actions in response to a proposal, as appropriate:

II.A. Return for revision.

The Standards Committee will return to the submitting group a proposal form that is incomplete or that requires revision and request that it be revised and resubmitted.

II.B. Decline.

The Standards Committee may decline the endorsement of an external standard because: 1) the external standard is in direct conflict with an SAA-adopted standard or policy; 2) there is insufficient demand or potential benefit to SAA members; 3) the standard is not widely adopted or used in the archives field; or 4) the review process does not allow for SAA contribution or comment.

II.C. Endorse.

If the Standards Committee agrees that the external standard has benefit to the SAA community, it will recommend the standard to the SAA Council for endorsement. If the SAA Council endorses the standard, the Standards Committee will then take the following actions:

  1. Publish the full standard or link to the standard on the Standards Portal webpage along with the endorsement proposal.
  2. Notify the SAA community about the endorsement through appropriate SAA media.

 

Adopted by the SAA Council: February 2010, January 2012

Subcommittees of the Standards Committee

Technical Subcommittee on Archival Facilities Guidelines (TS-AFG)

I. Purpose

The Technical Subcommittee on Archival Facilities Guidelines (TS-AFG) of the SAA Standards Committee oversees the ongoing maintenance and development of Archives and Special Collections Facilities: Guidelines for Archivists, Librarians, Architects, and Engineers (“Facilities standard”), a standard adopted by SAA. The Technical Subcommittee also investigates the feasibility of expansion of the Facilities standard to a national standard and/or a multi-organizational standard.

II. Subcommittee Selection, Size, and Length of Term:

TS-AFG shall be charged for five years, beginning August 2010, or until revisions to the Facilities standard are completed as described in the Procedures for Review and Approval of an SAA-Developed Standard. [TS-AFG's original length of term was extended to August 2016 by the SAA Executive Committee on July 27, 2015. The term was further extended to August 2018 by the SAA Council in November 2016. The term was further extended to August 2020 by the SAA Council in February 2019. The term was further extended to August 2022 by the SAA Council in November 2020. The term was extended to July 2024 by the SAA Council in November 2023] After revision work is completed, if the Facilities standard continues to be an approved standard of SAA, the TS-AFG shall be re-charged for a subsequent review cycle.

The members and chair(s) of the TS-AFG shall be appointed for the length of time necessary to complete revisions to the Facilities standard, which shall not exceed five years.

The Technical Subcommittee shall be composed of five to nine individuals, including the chair(s), to be recommended by the Standards Committee for appointment by the Vice President. The chair(s) and at least four other member of the Subcommittee shall be a member of SAA with demonstrated experience in archival facility issues. However, the Technical Subcommittee may include one to three members from other professions who have significant knowledge of and experience with archival facilities.

Ex officio members of the TS-AFG shall include the following:

  • Co-chairs of the Standards Committee;
  • Liaison from Canadian Council of Archives (CCA).

III. Reporting Procedures:

The chair(s) of the TS-AFG shall report at least annually to the chair(s) of the SAA Standards Committee at the SAA Annual Meeting. If extramural funding is obtained by the SAA, the chair(s) shall provide all necessary narrative reports to the SAA office in order that reporting requirements of SAA and funding source are met.

IV. Duties and Responsibilities:

To fulfill its mission as described above, the TS-AFG is specifically charged to:

  • Carry out the maintenance and development of Archives and Special Collections Facilities: Guidelines for Archivists, Librarians, Architects, and Engineers, an SAA standard, in accordance with the schedules laid out by the charges and SAA’s Procedures for Review and Approval of an SAA-Developed Standard.
  • Investigate expansion of the Facilities standard to a national standard in conjunction with the American National Standards Institute. A report and recommendations will be submitted to the Standards Committee in 2013.
  • Investigate expansion of the Facilities standard to a multi-organizational standard in conjunction with Candian Council of Archives. A report and recommendations will be submitted to the Standards Committee in 2013.
  • Promote the understanding and use of Archives and Special Collections Facilities: Guidelines for Archivists, Librarians, Architects, and Engineers by the American and international archival community.
  • Support SAA’s educational efforts related to Archives and Special Collections Facilities: Guidelines for Archivists, Librarians, Architects, and Engineers.

V. Meetings:

The TS-AFG shall carry out its charges primarily via electronic mail, regular mail, and conference calls. It may meet at the SAA Annual Meeting and as necessary provided that SAA Council-approved funding is available.

 

Revised by the SAA Council: January 2011; December 2013; July 2015; November 2016; February 2019; November 2020; November 2023.

Technical Subcommittee on Describing Archives: A Content Standard (TS-DACS)

I. Purpose

The Technical Subcommittee for Describing Archives: A Content Standard (TS-DACS) of the SAA Standards Committee is responsible for overseeing the timely and ongoing intellectual and technical maintenance and development of Describing Archives: A Content Standard (DACS). DACS is an output-neutral set of rules for describing archives, personal papers, and manuscript collections, and can be applied to all material types. DACS is compatible with ISAD(G): General International Standard Archival Description, 2nd ed. (International Council on Archives, 1999) and ISAAR(CPF): International Standard Archival Authority Records for Corporate Bodies, Persons and Families, 2nd ed. (International Council on Archives, 2003). DACS is an SAA-approved standard; documentation for DACS is available through the Society of American Archivists at http://www.archivists.org/governance/standards/dacs.asp .

II. Committee Selection, Size, and Length of Term

The technical subcommittee shall be composed of ten regular members and two co-chairs. All members shall be appointed by the SAA Vice President/President-Elect for staggered three-year terms so that a minimum of two individuals are appointed by the Vice President each year. All members must demonstrate significant knowledge of and experience with archival description generally, and with DACS specifically. 

All members of TS-DACS shall be recommended by the Standards Committee for appointment by the SAA Vice President. The chair(s) will be selected from existing TSDACS membership and appointed for a three year term. The chair(s)  and members of TS-DACS may be reappointed for one consecutive term. 

Ex officio members of the Technical Subcommittee on DACS shall include the following if they are not regular members of the subcommittee:

  • Immediate past co-chair of TS-DACS;
  • Co-chairs of the Standards Committee;
  • Chair of the Description Section;
  • Standards Committee Liaison to TS-DACS 

III. Reporting Procedures

The chair(s) of the Technical Subcommittee on DACS shall report at least annually to the chair(s) of the SAA Standards Committee on the occasion of the SAA Annual Meeting. If extramural funding is obtained by SAA, the chair(s) shall provide all necessary narrative reports to the SAA office in order that the reporting requirements of SAA and the funding source are met.

IV. Duties and Responsibilities

To fulfill this mission, TS-DACS is specifically charged to:

  • Carry out a review of Describing Archives: A Content Standard on an ongoing basis.
  • Promote the understanding and use of DACS by the American archival community.
  • Support educational efforts related to DACS by SAA.
  • Develop members of the archives profession who are capable of promoting and maintaining DACS over time.
  • Communicate its activities to relevant SAA components.
  • Foster communication between other entities developing standards related to DACS.
  • Work to ensure that DACS is compatible with other national and international descriptive standards.

TS-DACS shall work within the guidelines for ongoing review of an SAA-adopted standard, and may develop more detailed procedures for meeting those requirements.

 VI. Meetings

TS-DACS shall carry out its charge primarily via electronic mail, regular mail, and conference calls. It shall meet at the SAA Annual Meeting and as necessary, provided that SAA Council-approved funding is available.

Approved by the SAA Council: February 2010
Revised: January 2011; August 2013; February 2017; March 2024;

Technical Subcommittee on Encoded Archival Standards (TS-EAS)

I. Purpose

The Technical Subcommittee for Encoded Archival Standards (TS-EAS) is responsible for the ongoing maintenance of EAD and EAC-CPF, including all schemas and related code, as well as the development of future companion standards, such as the proposed Encoded Archival Context for Functions. Its membership will be sufficient to encompass the necessary domain expertise for each standard and schema development, and will include broad international representation including SAA members and other professionals from the international archival community. The members of the committee will foster the thoughtful evolution of archival encoding standards on behalf of and in consultation with the global archival community and in close collaboration with the International Council on Archives Experts Group on Archival Description.

II. Committee Selection, Size, and Length of Term

The technical subcommittee shall be composed of between fifteen and twenty-five members (excluding two co-chairs) appointed by the SAA Vice President / President-Elect for staggered three-year terms so that a minimum of three individuals are appointed by the Vice President each year. The committee will reflect the international nature of the standards it develops, and will include balanced representation from its user communities.  A majority of the committee members will be members of SAA unless sufficient expertise is not available within the SAA membership, in which case the composition of the committee may be adjusted at the discretion of the Council. All members shall demonstrate significant knowledge of and experience with archival schemas generally, and with EAD and EAC-CPF specifically. The chairs and members of TS-EAS may be reappointed.

The Technical Subcommittee for Encoded Archival Standards co-chairs will be appointed by the SAA Vice President / President-Elect, and serve as the primary contact between TS-EAS, SAA, the Standards Committee, and other related organizations. At least one co-chair will be a member of SAA.

Ex officio members of TS-EAS shall include the following if they are not regular members of the subcommittee:

  • Co-chairs of the Standards Committee;
  • Chair or co-chairs of the EAS Section;
  • Representative from International Council on Archives Experts Group on Archival Description, Committee on Best Practices and Standards, or other groups as appropriate.
  • Representatives from institutions hosting technical documentation for standards maintained by TS-EAS (e.g., Library of Congress for EAD and the Staatsbibliotek zu Berlin for EAC-CPF).

III. Reporting Procedures

The co-chairs of TS-EAS shall report at least annually to the chairs of the SAA Standards Committee. They will coordinate meeting logistics at the SAA annual meeting and elsewhere, establish TS-EAS priorities and agendas, work with related SAA section leaders, and oversee and support the work of various TS-EAS standard leads. If extramural funding is obtained by SAA, the co-chairs shall provide all necessary narrative reports to the SAA office in order that the reporting requirements of SAA and the funding source are met.

IV. Duties and Responsibilities

Within TS-EAS, a member will be designated by the co-chairs as the lead for each standard being maintained or developed. Each standard lead will be responsible, with the support of the co-chairs, for soliciting and compiling comments, logging bugs, leading discussion of proposed changes, articulating and justifying changes to the international community, and coordinating as necessary with other standard leads. There will also be a lead for schema design who will be responsible, with the support of the co-chairs, for coordinating work on schemas and related code and maintaining appropriate GitHub repositories.  The TS-EAS co-chairs will also designate a committee member to serve as a secretary, responsible for taking and distributing meeting minutes. 

Additional ad hoc subgroups within TS-EAS may be formed to address specific issues on a project basis (e.g., a tag library editorial team).

VI. Meetings

TS-EAS shall carry out its charge primarily via electronic mail, regular mail, and on-line meetings. To ensure the inclusion of all members, TS-EAS shall meet in a hybrid setting at the SAA annual meeting and as necessary with funding from SAA or from extramural sources (with prior approval by the SAA Council).

Approved by the SAA Council: November 2015, Revised May 2023

Technical Subcommittee on Guidelines for Reappraisal and Deaccessioning (TS-GRD)

I. Purpose

The Technical Subcommittee on Guidelines for Reappraisal and Deaccessioning (TS-GRD) of the SAA Standards Committee is responsible for overseeing the timely and ongoing maintenance, review, promotion, outreach, and education-related to the and development of Guidelines for Reappraisal and Deaccessioning. These guidelines provide resources, recommended procedures, and other information for archivists who may be involved in reviewing their institutional holdings. Guidelines for Reappraisal and Deaccessioning is an SAA-approved standard and is available via the SAA Standards Portal (http://www2.archivists.org/standards/).

II. Committee Selection, Size, and Length of Term

The TS-GRD was charged for five years, beginning August 2012, to develop the standard, with the charge expiring at the SAA Annual Meeting of the fifth year. The Guidelines continue to be an approved standard of SAA. In May 2017, the Council extended the technical subcommittee for another  5-year review cycle, to be completed by August 2022. In 2022, the Council approved an extension of the second review cycle to August 2025.

The technical subcommittee shall be composed of five to eight individuals, including the Chair and Vice-chair, to be recommended by the Standards Committee for appointment by the Vice President. The Chair of the second review cycle will serve until August 2023. A Vice Chair will be appointed for a three-year term beginning August 2022: the first year as Vice Chair, and the second and third years as Chair. All members shall demonstrate significant knowledge of and experience with archival appraisal, reappraisal, reprocessing, and/or deaccessioning. Members and chairs may be reappointed to the TS-GRD for two consecutive review cycles, but at least two new SAA members must be appointed per review cycle.

Ex officio members of the Technical Subcommittee for Guidelines for Reappraisal and Deaccessioning shall include the following if they are not regular members of the Subcommittee:

  • Chair of the Standards Committee (or an appointed representative);
  • Chair of the Acquisitions and Appraisal Section.

III. Reporting Procedures

The chair(s) of the TS-GRD shall report at least annually to the chair(s) of the SAA Standards Committee on the occasion of the SAA Annual Meeting.  If extramural funding is obtained by SAA, the chair (or co-chairs) shall provide all necessary narrative reports to the SAA office in order that the reporting requirements of SAA and the funding source are met.

IV. Duties and Responsibilities

To fulfill this mission, the TS-GRD is specifically charged to:

  • Carry out the maintenance and review of Guidelines for Reappraisal and Deaccessioning, an SAA standard, in accordance with the schedule laid out by the charges and SAA's Procedures for Review and Approval of an SAA-Developed Standard.
  • Promote the understanding and use of Guidelines for Reappraisal and Deaccessioning by the archival community.
  • Support SAA’s educational efforts related to Guidelines for Reappraisal and Deaccessioning by SAA.

VI. Meetings

The TS-GRD shall carry out its charge primarily via electronic mail, and conference calls. It shall meet at the SAA Annual Meeting and as necessary with funding from SAA or from extramural sources (with prior approval by the SAA Council.

Adopted by the SAA Council: May 23, 2012. Revised: May 2017. June 2023.