Guidance

Scenario 3 process: proposing that a new standard developed by public sector organisations in response to a policy or interoperability problem

Updated 29 November 2023

Applies to England

Identifying the need for a common data standard

Step

Representatives from one or more departments identify a policy or interoperability problem that could be resolved by adopting a common data standard.

Descriptions

One or more departments identify a potential data problem, and initial assessments lead them to conclude that no existing data standard meets the needs.

There is a high cost of ownership for bodies creating standards to ensure it is governed, supported and maintained. As such, we expect limited instances where this would be undertaken. Furthermore, new standards pose risks associated with low maturity levels.

Step

The lead/challenge owner completes a proforma developed by the DSA [D.N add link to the proforma]

Description

The proforma helps ensure the lead considers and describes the problem and the full background to the existing standard, along with any reference implementation, including any dependencies or embedded standards.

The proforma must be submitted to the DSA via [email protected], where the proposal will be assessed to determine the level of support required from the DSA. The proposal will be prioritised by the Chief Data Officer and Deputy Director responsible for the DSA per its prioritisation framework. [D.N add link to framework]

If the DSA prioritises the proposed standard, it will work with the lead(s) to fast-track consideration of the standard and agree specific support the DSA will provide. The support provided will be decided by the DSA and the lead. It may encompass helping to coordinate engagement, support with writing of any documentation, and due diligence considerations to secure DSA governance approval.

Non-prioritised proposals will be captured in the DSA catalogue and will be subject to light-touch oversight and guidance from the DSA.

All proposed standards for common adoption will need to be communicated to department representatives for testing and to start building the stakeholder mapping and consultation plans. In addition, Leads are asked to conduct a short presentation to the Peer Review Group and raise awareness of the proposal.

Review and review

Step

Developing the proposal.

Description

The lead/challenge owner should carry out some stakeholder mapping to identify interested parties at a policy/business objective and technical level within the public sector and external parties.

A working group should be set up to ensure the use case(s) and options for standardisation are considered. In addition, leads may wish to use existing cross-sector groups/governance bodies wherever they are already in place.

It is essential to conduct an exhaustive review of existing standards before creating a new one. The DSA recommends engaging with the BSI (and other standards bodies) to see what standards currently exist, are in development. In addition, leads may wish to work with the BSI to create a new standard.

As part of developing the proposal, the lead should understand the lessons from where the standard was implemented in other sectors domestically or internationally. Leads should consider factors supporting the standard’s implementation, such as:

• the need to change government policy
• effects beyond Government Digital and Data functions
• any recurring costs that departments may incur

The DSA recommends piloting the standard between willing organisations to understand implementation challenges and strengthen the proposal.

Leads may seek approval for the recommended use of the standard instead of a mandated common standard. The lead may wish to set a notional period to effectively trial the recommended standard. At the end of the trial period, the standard can be reviewed. A decision to seek DSA endorsement of the standard will be mandatory, withdrawn or continued as recommended.

Step

Documenting the proposal.

Description

Once the lead has carried out research, reviewed input from stakeholders and developed a proposal for a standard for common adoption in government, work should begin to document the proposal in further detail than the initial proforma.

The DSA requires the Open Standards Board (OSB) to review all open standards. The OSB process needs the selected leads or challenge owners to answer 47 questions as part of the assessment, which are based on the EU Common Assessment Method for Standards and Specifications (CAMSS). The questions cover 7 topics:

1. The proposed open standard’s specifications.

2. How organisations can implement the proposed standard.

3. The proposed standard’s openness and public availability.

4. The versatility and flexibility of the proposed standard.

5. The proposed standard’s effects and benefits for the end user.

6. How organisations can maintain the standard’s use.

7. Related European standards.

If the standard is not open, the lead should still consider many of the questions for open standards as they will still be relevant factors.

If it is determined that the standard should proceed to the consultation stage, the standard and its documentation should be submitted to the DSA for inclusion in its standards catalogue.

Consultation

Step

Proposal goes for public consultation, targeted at experts with a close interest in the subject matter.

Description

Same as scenario 1, but it is highly recommended that any supporting policy or implementation requirements placed on public sector organisations are understood. As such, the lead should carry out formal public consultation and secure cabinet committee collective agreement.

Approval

Step

Obtaining approval for an open standard.

Description

If the standard meets the criteria for an open standard and has successfully undergone the consultation process, it must be presented to the OSB for its consideration. The OSB can make one of three recommendations:

1. accepted - The lead (with support from the DSA) will write a summary profile for the open standard to publish with the standard on GOV.UK.
2. accepted with conditions - the proposal is returned to the challenge owner with questions and suggestions for amendments.
3. rejected - the Open Standards team records the result in the minutes of the meeting and publishes them on the Open Standards Board page.

As the role of the OSB is advisory, the standards and the OSB’s recommendation are then moved onto the DSA Steering Board for endorsement as a standard to be adopted in central government.

If it is rejected on the basis that it’s determined to be a closed standard, the standard can still be submitted to the DSA Steering Board for approval, as long as it meets user needs.

Where the standard is rejected on other grounds, it should not proceed to the DSA Steering Board unless there are exceptional reasons for doing so.

Once the standard has been accepted by the OSB, the DSA will notify the Peer Review Group and arrange for the standard to be formally submitted to the DSA Steering Board for endorsement.

The lead will be required to draft a short summary paper [D.N include link to template]. The Steering Board will then consider the standard at its next meeting (or via correspondence in exceptional circumstances with timetabling issues).

The role of the Steering Board is to check whether the lead/challenge owner has carried out due diligence on the proposed standard. Members may decide to comment on the specific standard and reject it if they feel sufficient consultation hasn’t taken place or failed to consider their department’s view. If the Steering Board declines to endorse the standard, the reasons are communicated to PRG and the OSB.

Step

Obtaining approval for a closed standard.

Description

Government should not be developing closed data standards.

Publication and monitoring

Step

Publication, compliance and review

Description

Once a standard is endorsed, it’s published in the standards catalogue, with the PRG and OSB informed.

The DSA will advise the lead/challenge owner and support any communications activity via their existing channels, such as the Data in Government blog or weekly email summaries.

The lead/challenge owner is expected to keep the standard under review.

Once the standard has been included in the catalogue as an endorsed standard, the CDDO’s delegated spend controls apply to its adoption by departments and are assessed against relevant service assessments.

Leads/challenge owners are expected to keep standards under review. The DSA recommends carrying out assessments with stakeholders after 2 years or formal DSA endorsement.